[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2019 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 40
Protection of Environment
________________________
Parts 1000 to 1059
Revised as of July 1, 2017
Containing a codification of documents of general
applicability and future effect
As of July 1, 2017
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 735
Alphabetical List of Agencies Appearing in the CFR...... 755
List of CFR Sections Affected........................... 765
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 1027.101
refers to title 40, part
1027, section 101.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
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Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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collection request.
[[Page vi]]
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register.
July 1, 2017.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-seven
volumes. The parts in these volumes are arranged in the following order:
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
60.499), part 60 (60.500-end of part 60, sections), part 60
(Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63
(63.6580-63.8830), part 63 (63.8980-end of part 63), parts 64-71, parts
72-79, part 80, part 81, parts 82-86, parts 87-95, parts 96-99, parts
100-135, parts 136-149, parts 150-189, parts 190-259, parts 260-265,
parts 266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to
end. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 2017.
Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. Regulations issued by the Council on Environmental
Quality, including an Index to Parts 1500 through 1508, appear in the
volume containing parts 1060 to end. The OMB control numbers for title
40 appear in Sec. 9.1 of this chapter.
For this volume, Gabrielle E. Burns was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 1000 to 1059)
--------------------------------------------------------------------
Part
chapter i--Environmental Protection Agency (Continued)...... 1027
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
--------------------------------------------------------------------
Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000, and 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER U--AIR POLLUTION CONTROLS
Part Page
1000-1026 [Reserved]
1027 Fees for engine, vehicle, and equipment
compliance programs..................... 5
1033 Control of emissions from locomotives....... 12
1036 Control of emissions from new and in-use
heavy-duty highway engines.............. 94
1037 Control of emissions from new heavy-duty
motor vehicles.......................... 154
1039 Control of emissions from new and in-use
nonroad compression-ignition engines.... 291
1042 Control of emissions from new and in-use
marine compression-ignition engines and
vessels................................. 376
1043 Control of NOX, SOX,
and PM emissions from marine engines and
vessels subject to the MARPOL protocol.. 463
1045 Control of emissions from spark-ignition
propulsion marine engines and vessels... 474
1048 Control of emissions from new, large nonroad
spark-ignition engines.................. 539
1051 Control of emissions from recreational
engines and vehicles.................... 597
1054 Control of emissions from new, small nonroad
spark-ignition engines and equipment.... 663
[[Page 5]]
SUBCHAPTER U_AIR POLLUTION CONTROLS
PARTS 1000 1026 [RESERVED]
PART 1027_FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE PROGRAMS
--Table of Contents
Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to
motor vehicles?
1027.115 What special provisions apply for certification related to
nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under this
part?
1027.150 What definitions apply to this part?
1027.155 What abbreviations apply to this subpart?
Authority: 42 U.S.C. 7401-7671q.
Source: 73 FR 59184, Oct. 8, 2008, unless otherwise noted.
Sec. 1027.101 To whom do these requirements apply?
(a) This part prescribes fees manufacturers must pay for activities
related to EPA's engine, vehicle, and equipment compliance program
(EVECP). This includes activities related to approving certificates of
conformity and performing tests and taking other steps to verify
compliance with emission standards. You must pay fees as described in
this part if you are a manufacturer of any of the following products:
(1) Motor vehicles and motor vehicle engines we regulate under 40
CFR part 86. This includes light-duty vehicles, light-duty trucks,
medium-duty passenger vehicles, highway motorcycles, and heavy-duty
highway engines and vehicles.
(2) The following nonroad engines and equipment:
(i) Locomotives and locomotive engines we regulate under 40 CFR part
92 or 1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR
part 89 or 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 94, 1042, or 1043.
(iv) Marine spark-ignition engines and vessels we regulate under 40
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
(v) Nonroad spark-ignition engines above 19 kW we regulate under 40
CFR part 1048. We refer to these as Large SI engines.
(vi) Recreational vehicles we regulate under 40 CFR part 1051.
(vii) Nonroad spark-ignition engines and equipment at or below 19 kW
we regulate under 40 CFR part 90, 1054, or 1060. We refer to these as
Small SI engines.
(3) The following stationary internal combustion engines:
(i) Stationary compression-ignition engines we certify under 40 CFR
part 60, subpart IIII.
(ii) Stationary spark-ignition engines we certify under 40 CFR part
60, subpart JJJJ.
(4) Portable fuel containers we regulate under 40 CFR part 59,
subpart F.
(b) This part applies to applications for certification that we
receive on or after December 8, 2008. Earlier applications are subject
to the provisions of 40 CFR part 85, subpart Y, as that provision read
before December 8, 2008.
(c) Nothing in this part limits our authority to conduct testing or
to require you to conduct testing as provided in the Act, including our
authority to require you to conduct in-use testing under section 208 of
the Act (42 U.S.C. 7542).
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines, vehicles, and fuel-system components. This part 1027
refers to each of these other parts generically as the ``standard-
setting part.'' For example, 40 CFR part 1051 is always the standard-
setting
[[Page 6]]
part for recreational vehicles. For some nonroad engines, we allow for
certification related to evaporative emissions separate from exhaust
emissions. In this case, 40 CFR part 1060 is the standard-setting part
for the equipment or fuel system components you produce.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22981, Apr. 30, 2010]
Sec. 1027.105 How much are the fees?
(a) Fees are determined based on the date we receive a complete
application for certification. Each reference to a year in this subpart
refers to the calendar year, unless otherwise specified. Paragraph (b)
of this section specifies baseline fees, which applied for certificates
received in 2005. For engine and vehicles not yet subject to standards
in 2005, these values represent the fees that apply initially based on
available information to characterize what the fees would have been in
2005. See paragraph (c) of this section for provisions describing how we
calculate fees for future years.
(b) The following baseline fees for each application for
certification:
(1) Except as specified in paragraph (b)(2) of this section for
Independent Commercial Importers, the following fees apply for motor
vehicles and motor vehicle engines:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks Federal............. $33,883
(ii) Light-duty vehicles and California-only..... 16,944
trucks.
(iii) Medium-duty passenger Federal............. 33,883
vehicles.
(iv) Medium-duty passenger California-only..... 16,944
vehicles.
(v) Highway motorcycle............ All................. 2,414
(vi) Heavy-duty highway engine.... Federal............. 21,578
(vii) Heavy-duty highway engine... California-only..... 826
(viii) Complete heavy-duty highway Federal............. 33,883
vehicles.
(ix) Complete heavy-duty highway California-only..... 16,944
vehicles.
(x) Heavy-duty vehicle............ Evap................ 826
------------------------------------------------------------------------
(2) A fee of $8,387 applies for Independent Commercial Importers
with respect to the following motor vehicles:
(i) Light-duty vehicles and light-duty trucks.
(ii) Medium-duty passenger vehicles.
(iii) Complete heavy-duty highway vehicles.
(3) The following fees apply for nonroad and stationary engines,
vehicles, equipment, and components:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $826
engines.
(ii) Marine compression-ignition All, including EIAPP 826
engines and stationary
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
(iii) Other nonroad compression- All................. 1,822
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines............. All................. 826
(v) Stationary spark-ignition All................. 826
engines above 19 kW.
(vi) Marine SI engines and Small Exhaust only........ 826
SI engines.
(vii) Stationary spark-ignition Exhaust only........ 826
engines at or below 19 kW.
(viii) Recreational vehicles...... Exhaust (or combined 826
exhaust and evap).
(ix) Equipment and fuel-system Evap (where separate 241
components associated with certification is
nonroad and stationary spark- required).
ignition engines, including
portable fuel containers.
------------------------------------------------------------------------
(c) We will calculate adjusted fees for later years based on changes
in the Consumer Price Index and the number of certificates. We will
announce adjusted fees for a given year by January 31 of the preceding
year.
(1) We will adjust the values specified in paragraph (b) of this
section for later years as follows:
(i) Use the fee identified in Sec. 1027.105(b)(3) through 2014 for
certification related to evaporative emissions from nonroad and
stationary engines
[[Page 7]]
when a separate fee applies for certification to evaporative emission
standards. Use the following equation starting with 2015:
[GRAPHIC] [TIFF OMITTED] TR24FE09.003
Where:
Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each category's
compliance program, including any fixed costs associated with
EPA's testing laboratory, as described in paragraph (d)(1) of
this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as
described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of November
two years before the applicable calendar year, as described in
paragraph (d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value of
the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all
costs.
certMY-2 = the total number of certificates issued for a fee
category in the model year two years before the calendar year
for the applicable fees as described in paragraph (d)(3) of
this section.
certMY-3 = the total number of certificates issued for a fee
category in the model year three years before the calendar
year for the applicable fees as described in paragraph (d)(3)
of this section.
(ii) Use the following equation for all other certificates for 2006
and later:
[GRAPHIC] [TIFF OMITTED] TR24FE09.004
Where:
CPI2002 = 180.9. This is based on the December 2002 value of
the Consumer Price Index as described in paragraph (d)(2) of
this section.
(2) The fee for any year will remain at the previous year's amount
until the value calculated in paragraph (c)(1) of this section differs
by at least $50 from the amount specified for the previous year.
(d) Except as specified in Sec. 1027.110(a) for motor vehicles and
motor vehicle engines, we will use the following values to determine
adjusted fees using the equation in paragraph (c) of this section:
(1) The following values apply for operating costs and labor costs:
------------------------------------------------------------------------
Engine or Vehicle Category Op L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger, $3,322,039 $2,548,110
and complete heavy-duty highway vehicle
certification..........................
(ii) Light-duty, medium-duty passenger, 2,858,223 2,184,331
and complete heavy-duty highway vehicle
in-use testing.........................
(iii) Independent Commercial Importers 344,824 264,980
identified in Sec. 1027.105(b)(2)....
(iv) Highway motorcycles................ 225,726 172,829
(v) Heavy-duty highway engines.......... 1,106,224 1,625,680
(vi) Nonroad compression-ignition 486,401 545,160
engines that are not locomotive or
marine engines, and stationary
compression-ignition engines with per-
cylinder displacement below 10 liters..
(vii) Evaporative certificates related 5,039 236,670
to nonroad and stationary engines......
(viii) All other........................ 177,425 548,081
------------------------------------------------------------------------
(2) The applicable Consumer Price Index is based on the values
published by the Bureau of Labor Statistics for all U.S. cities using
the ``U.S. city average'' area, ``all items,'' and ``not seasonally
adjusted'' numbers (see ftp://
[[Page 8]]
ftp.bls.gov/pub/special.requests/cpi/cpiai.txt). For example, we
calculated the 2006 fees using the Consumer Price Index for November
2004, which is 191.0.
(3) Fee categories for counting the number of certificates issued
are based on the grouping shown in paragraph (d)(1) of this section.
(e) The following example for calculating the 2006 complete federal
heavy duty highway vehicle fee illustrates the fee adjustment:
Op = $1,106,224
L = $1,625,680
CPI2002 = 180.9
CPI2004 = 191.0
cert 2004 = 131
cert2003 = 95
Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] .
1.169/[(131 + 95) . 0.5] = $29,200.88
Assessed Fee = $29,201
[73 FR 59184, Oct. 8, 2008, as amended at 74 FR 8423, Feb. 24, 2009; 75
FR 22981, Apr. 30, 2010]
Sec. 1027.110 What special provisions apply for certification
related to motor vehicles?
(a) We will adjust fees for 2006 and later years for light-duty,
medium-duty passenger, and complete heavy-duty highway vehicles as
follows:
(1) California-only certificates. Calculate adjusted fees for
California-only certificates by applying the light-duty, medium-duty
passenger, and complete heavy-duty highway vehicle certification Op and
L values to the equation in Sec. 1027.105(c). The total number of
certificates issued will be the total number of California-only and
federal light-duty, medium-duty passenger, and complete heavy-duty
highway vehicle certificates issued during the appropriate model years.
(2) Federal certificates. Calculate adjusted fees for federal
certificates with the following three steps:
(i) Apply the light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certification Op and L values to the equation in
Sec. 1027.105(c) to determine the certification portion of the light-
duty fee. The total number of certificates issued will be the total
number of California-only and federal light-duty, medium-duty passenger
and complete heavy-duty highway vehicle certificates issued during the
appropriate model years.
(ii) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle in-use testing Op and L values to the
equation in Sec. 1027.105(c) to determine the in-use testing portion of
the fee. The total number of certificates issued will be the total
number of federal light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certificates issued during the appropriate model
years.
(iii) Add the certification and in-use testing portions determined
in paragraphs (a)(2)(i) and (ii) of this section to determine the total
light-duty, medium-duty passenger, and complete heavy-duty highway
vehicle fee for each federal certificate.
(b) For light-duty vehicles, light-duty trucks, medium-duty
passenger vehicles, highway motorcycles, and complete heavy-duty highway
vehicles subject to exhaust emission standards, the number of
certificates issued as specified in Sec. 1027.105(d)(3) is based only
on engine families with respect to exhaust emissions. A separate fee
applies for each evaporative family for heavy-duty engines.
(c) If you manufacture a heavy-duty vehicle that another company has
certified as an incomplete vehicle such that you exceed the maximum fuel
tank size specified by the original manufacturer in the applicable
certificate of conformity, you must submit a new application for
certification and certification fee for the vehicle.
Sec. 1027.115 What special provisions apply for certification related
to nonroad and stationary engines?
(a) For spark-ignition engines above 19 kW that we regulate under 40
CFR part 1048 and for all compression-ignition engines, the applicable
fee is based only on engine families with respect to exhaust emissions.
(b) For manufacturers certifying recreational vehicles with respect
to both exhaust and evaporative emission standards, fees are determined
using one of the following approaches:
(1) If your engine family includes demonstration of compliance with
both exhaust and evaporative emission
[[Page 9]]
standards, the applicable fee is based on certification related to the
combined family. No separate fee applies for certification with respect
to evaporative emission standards. These are all considered engine
families complying with exhaust emissions for determining the number of
certificates for calculating fees for later years.
(2) If you have separate families for demonstrating compliance with
exhaust and evaporative emission standards, a separate fee from the
appropriate fee category applies for each unique family. Also, the
number of certificates issued as specified in Sec. 1027.105(d)(3) is
based on a separate count of emission families for exhaust and
evaporative emissions for each respective fee category.
(c) For manufacturers certifying other spark-ignition engines or
equipment with respect to exhaust and evaporative emission standards, a
separate fee from the appropriate fee category applies for each unique
family. A single engine or piece of equipment may involve separate
emission families and certification fees for exhaust and evaporative
emissions. Also, the number of certificates issued as specified in Sec.
1027.105(d)(3) is based on a separate count of emission families for
exhaust and evaporative emissions for each respective fee category.
(d) For any certification related to evaporative emissions from
engines, equipment, or components not covered by paragraph (a) through
(c) of this section, the fee applies for each certified product
independent of certification for exhaust emissions, as illustrated in
the following examples:
(1) A fuel tank certified to meet permeation and diurnal emission
standards would count as a single family for assessing the certification
fee and for calculating fee amounts for future years.
(2) If an equipment manufacturer applies for certification to
generate or use emission credits for fuel tanks and fuel lines, each
affected fuel-tank and fuel-line family would count as a single family
for assessing the certification fee and for calculating fee amounts for
future years. This fee applies whether or not the equipment manufacturer
is applying for certification to demonstrate compliance with another
emission standard, such as running losses.
(e) If you certify fuel system components under 40 CFR part 1060, a
single fee applies for each emission family even if those components are
used with different types of nonroad or stationary engines.
(f) If your application for certification relates to emission
standards that apply only in California, you must pay the same fee
identified for meeting EPA standards.
(g) For marine compression-ignition engines, if you apply for a
Federal certificate and an EIAPP certificate for the same engine family,
a single fee applies for the engine family (see 40 CFR parts 94, 1042,
and 1043).
(h) If you produce engines for multiple categories in a single
engine family, a single fee applies for the engine family. For example,
40 CFR 60.4210 allows you to produce stationary and nonroad compression-
ignition engines in a single engine family. If the certification fee for
the different types of engines is different, the fee that applies for
these engines is based on the emission standards to which you certify
the engine family. For example, if you certify marine diesel engines to
the standards that apply to land-based nonroad diesel engines under 40
CFR 94.912, the certification fee is based on the rate that applies for
land-based nonroad diesel engines.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1027.120 Can I qualify for reduced fees?
(a) Eligibility requirements. Both of the following conditions must
be met before you are eligible for a reduced fee:
(1) The certificate is to be used for sale of vehicles or engines
within the United States.
(2) The full fee for an application for certification for a model
year exceeds 1.0% of the aggregate projected retail sales price of all
vehicles or engines covered by the certificate.
(b) Initial reduced fee calculation. (1) If the conditions of
paragraph (a) of this section are met, the initial fee paid must be $750
or 1.0% of the aggregate projected retail sales price of all the
[[Page 10]]
vehicles or engines to be covered by the certificate, whichever is
greater.
(2) For vehicles or engines that are converted to operate on an
alternative fuel using as the basis for the conversion a vehicle or
engine that is covered by an existing certificate of conformity, the
cost basis used in this section must be the aggregate projected retail
value-added to the vehicle or engine by the conversion rather than the
full cost of the vehicle or engine. For this provision to apply, the
existing certificate must cover the same sales area and model year as
the requested certificate for the converted vehicle or engine.
(3) For remanufacturing systems, the cost basis used in this section
must be the aggregate projected retail cost of a complete remanufacture,
including the cost of the replacement components, software, and
assembly.
(4) For ICI certification applications, the cost basis of this
section must be the aggregate projected retail cost of the entire
vehicle(s) or engine(s), not just the value added by the conversion. If
the vehicles/engines covered by an ICI certificate are not being offered
for sale, the manufacturer shall use the fair retail market value of the
vehicles/engines as the retail sale price required in this section. For
an ICI application for certification, the retail sales price (or fair
retail market value) must be based on the applicable National Automobile
Dealer's Association (NADA) appraisal guide and/or other evidence of the
actual market value.
(5) The aggregate cost used in this section must be based on the
total projected sales of all vehicles and engines under a certificate,
including vehicles and engines modified under the modification and test
option in 40 CFR 85.1509 and 89.609. The projection of the number of
vehicles or engines to be covered by the certificate and their projected
retail selling price must be based on the latest information available
at the time of the fee payment.
(6) You may submit a reduced fee as described in this section if it
is accompanied by a calculation of the fee based on the number of
vehicles covered and the projected aggregate retail sales price as
specified on the fee filing form. Your reduced fee calculation shall be
deemed approved unless we determine that the criteria of this section
have not been met. We may make such a determination either before or
after issuing a certificate of conformity. If we determine that the
requirements of this section have not been met, we may deny future
reduced fee applications and require submission of the full fee payment
until you demonstrate to our satisfaction that your reduced fee
submissions are based on accurate data and that final fee payments are
made within 45 days of the end of the model year.
(7) If we deny your request for a reduced fee, you must send us the
appropriate fee within 30 days after we notify you.
(c) Revision of the number of vehicles or engines covered by the
certificate. (1) You must take both of the following steps if the number
of vehicles or engines to be produced or imported under the certificate
exceeds the number indicated on the certificate (including a certificate
under which modification and test vehicles are imported under 40 CFR
85.1509 and 89.609):
(i) Request that we revise the certificate with a number that
indicates the new projection of the vehicles or engines to be covered by
the certificate. We must issue the revised certificate before the
additional number of vehicles or engines may be sold or finally imported
into the United States.
(ii) Submit payment of 1.0% of the aggregate projected retail sales
price of all the additional vehicles or engines.
(2) You must receive a revised certificate before the sale or final
importation of any vehicles or engines, including modification and test
vehicles, that are not originally included in the certificate issued
under paragraph (b) of this section, or as indicated in a revised
certificate issued under paragraph (c)(1) of this section. Such vehicles
that are sold or imported before we issue a revised certificate are
deemed to be not covered by a certificate of conformity.
(d) Final reduced fee calculation and adjustment. (1) If the initial
fee payment is less than the final reduced fee, you must pay the
difference between the initial reduced fee and the final reduced fee
using the provisions of
[[Page 11]]
Sec. 1027.130. Calculate the final reduced fee using the procedures of
paragraph (c) of this section but using actual production figures rather
than projections and actual retail sales value rather than projected
retail sales value.
(2) You must pay the difference between the initial reduced fee and
the final reduced fee within 45 days of the end of the model year. The
total fees paid for a certificate may not exceed the applicable full fee
specified in Sec. 1027.105. We may void the applicable certificate if
you fail to make a complete payment within the specified period. We may
also refuse to grant reduced fee requests submitted under paragraph
(b)(5) of this section.
(3) If the initial fee payment exceeds the final reduced fee, you
may request a refund using the procedures of Sec. 1027.125.
(e) Records retention. You are subject to the applicable
requirements to maintain records under this chapter. If you fail to
maintain required records or provide them to us, we may void the
certificate associated with such records. You must also record the basis
you used to calculate the projected sales and fair retail market value
and the actual sales and retail price for the vehicles and engines
covered by each certificate issued under this section. You must keep
this information for at least three years after we issue the certificate
and provide it to us within 30 days of our request.
Sec. 1027.125 Can I get a refund?
(a) We will refund the total fee imposed under this part if you ask
for a refund after failing to get a certificate for any reason.
(b) If your actual sales or the actual retail prices in a given year
are less than you projected for calculating a reduced fee under Sec.
1027.120, we will refund the appropriate portion of the fee. We will
also refund a portion of the initial payment if it exceeds the final fee
for the engines, vehicles, or equipment covered by the certificate
application.
(1) You are eligible for a partial refund related only to a
certificate used for the sale of engines, vehicles, or equipment under
that certificate in the United States.
(2) Include all the following in your request for a partial refund
of reduced fee payments:
(i) State that you sold engines, vehicles, or equipment under the
applicable certificate in the United States.
(ii) Identify the number of engines, vehicles, or equipment you
produced or imported under the certificate, and whether the engines,
vehicles, or equipment have been sold.
(iii) Identify the reduced fee that you paid under the applicable
certificate.
(iv) Identify the actual retail sales price for the engines,
vehicles, or equipment produced or imported under the certificate.
(v) Calculate the final value of the reduced fee using actual
production figures and retail prices.
(vi) Calculate the refund amount.
(c) We will approve your request to correct errors in the amount of
the fee.
(d) All refunds must be applied for within six months after the end
of the model year.
(e) Send refund and correction requests to the Fee Program
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online at
www.Pay.gov, or as specified in guidance by the Administrator.
(f) You may request to have refund amounts applied to the amount due
on another application for certification.
Sec. 1027.130 How do I make a fee payment?
(a) Pay fees to the order of the Environmental Protection Agency in
U.S. dollars using any of the following methods: money order, bank
draft, certified check, corporate check, electronic funds transfer, any
method available for payment online at www.Pay.gov., or as specified in
EPA guidance.
(b) Send a completed fee filing form to the address designated on
the form for each fee payment or electronically at www.Pay.gov., or as
provided in EPA guidance. These forms are available on the Internet at
http://www.epa.gov/otaq/guidance.htm.
(c) You must pay the fee amount due before we will start to process
an application for certification.
[[Page 12]]
(d) If we deny a reduced fee, you must pay the proper fee within 30
days after we notify you of our decision.
Sec. 1027.135 What provisions apply to a deficient filing?
(a) Any filing under this part is deficient if it is not accompanied
by a completed fee filing form and full payment of the appropriate fee.
(b) A deficient filing will be rejected unless the completed form
and full payment are submitted within a time limit we specify. We will
not process an application for certification if the associated filing is
deficient.
Sec. 1027.140 What reporting and recordkeeping requirements apply
under this part?
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and recordkeeping
specified in the applicable regulations. The following items illustrate
the kind of reporting and recordkeeping we require for engines,
vehicles, and equipment regulated under this part:
(a) Filling out fee filing forms under Sec. 1027.130.
(b) Retaining fee records, including reduced fee documentation,
under Sec. 1027.120.
(c) Requesting refunds under Sec. 1027.125.
Sec. 1027.150 What definitions apply to this part?
The definitions in this section apply to this part. As used in this
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
Application for Certification means a manufacturer's submission of
an application for certification.
California-only certificate is a certificate of conformity issued by
EPA showing compliance with emission standards established by
California.
Federal certificate is a certificate of conformity issued by EPA
showing compliance with EPA emission standards specified in one of the
standard-setting parts specified in Sec. 1027.101(a).
Light-duty means relating to light-duty vehicles and light-duty
trucks.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, vessel, or piece of equipment for sale in the United States or
otherwise introduces a new engine, vehicle, vessel, or piece of
equipment into commerce in the United States. This includes importers
who import such products for resale, but not dealers.
Total number of certificates issued means the number of certificates
for which fees have been paid. This term is not intended to represent
multiple certificates that are issued within a single family or test
group.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1027.155 What abbreviations apply to this subpart?
The following symbols, acronyms, and abbreviations apply to this
part:
CFR....................................... Code of Federal Regulations.
EPA....................................... U.S. Environmental
Protection Agency.
Evap...................................... Evaporative Emissions.
EVECP..................................... Engine, vehicle, and
equipment compliance
program.
ICI....................................... Independent Commercial
Importer.
U.S....................................... United States.
PART 1033_CONTROL OF EMISSIONS FROM LOCOMOTIVES--Table of Contents
Subpart A_Overview and Applicability
Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
1033.30 Submission of information.
Subpart B_Emission Standards and Related Requirements
1033.101 Exhaust emission standards.
[[Page 13]]
1033.102 Transition to the standards specified in this subpart.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine installation.
1033.135 Labeling.
1033.140 Rated power.
1033.150 Interim provisions.
Subpart C_Certifying Engine Families
1033.201 General requirements for obtaining a certificate of conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.
Subpart D_Manufacturer and Remanufacturer Production Line Testing and
Audit Programs
1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit requirements.
1033.340 Suspension and revocation of certificates of conformity.
Subpart E_In-use Testing
1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.
Subpart F_Test Procedures
1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives and
locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.
Subpart G_Special Compliance Provisions
1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this
part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-specific
engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
1033.652 Special provisions for exported locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.
Subpart H_Averaging, Banking, and Trading for Certification
1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.
Subpart I_Requirements for Owners and Operators
1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.
[[Page 14]]
Subpart J_Definitions and Other Reference Information
1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.
1033.925 Reporting and recordkeeping requirements.
Appendix I to Part 1033--Original Standards for Tier 0, Tier 1 and Tier
2 Locomotives
Authority: 42 U.S.C. 7401-7671q.
Source: 73 FR 37197, June 30, 2008, unless otherwise noted.
Subpart A_Overview and Applicability
Sec. 1033.1 Applicability.
The regulations in this part 1033 apply for all new locomotives and
all locomotives containing a new locomotive engine, except as provided
in Sec. 1033.5.
(a) Standards begin to apply each time a locomotive or locomotive
engine is originally manufactured or otherwise becomes new (defined in
Sec. 1033.901). The requirements of this part continue to apply as
specified after locomotives cease to be new.
(b) Standards apply to the locomotive. However, in certain cases,
the manufacturer/remanufacturer is allowed to test a locomotive engine
instead of a complete locomotive, such as for certification. Also, you
are not required to complete assembly of a locomotive to obtain a
certificate of conformity for it, provided you meet the definition of
``manufacturer'' or ``remanufacturer'' (as applicable) in Sec.
1033.901. For example, an engine manufacturer may obtain a certificate
for locomotives which it does not manufacture, if the locomotives use
its engines.
(c) Standards apply based on the year in which the locomotive was
originally manufactured. The date of original manufacture is generally
the date on which assembly is completed for the first time. For example,
all locomotives originally manufactured in calendar years 2002, 2003,
and 2004 are subject to the Tier 1 emission standards for their entire
service lives.
(d) The following provisions apply when there are multiple persons
meeting the definition of manufacturer or remanufacturer in Sec.
1033.901:
(1) Each person meeting the definition of manufacturer must comply
with the requirements of this part that apply to manufacturers; and each
person meeting the definition of remanufacturer must comply with the
requirements of this part that apply to remanufacturers. However, if one
person complies with a specific requirement for a given locomotive, then
all manufacturers/remanufacturers are deemed to have complied with that
specific requirement.
(2) We will apply the requirements of subparts C, D, and E of this
part to the manufacturer/remanufacturer that obtains the certificate of
conformity for the locomotive. Other manufacturers and remanufacturers
are required to comply with the requirements of subparts C, D, and E of
this part only when notified by us. In our notification, we will specify
a reasonable time period in which you need to comply with the
requirements identified in the notice. See Sec. 1033.601 for the
applicability of 40 CFR part 1068 to these other manufacturers and
remanufacturers.
(3) For example, we may require a railroad that installs certified
kits but does not hold the certificate to perform production line
auditing of the locomotives that it remanufactures. However, if we did,
we would allow the railroad a reasonable amount of time to develop the
ability to perform such auditing.
(e) The provisions of this part apply as specified for locomotives
manufactured or remanufactured on or after July 7, 2008. See Sec.
1033.102 to determine whether the standards of this part or the
standards specified in Appendix I of this part apply for model years
2008 through 2012. For example, for a locomotive that was originally
manufactured in 2007 and remanufactured on April 10, 2014, the
provisions of this part begin to apply on April 10, 2014.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74004, Oct. 25, 2016]
[[Page 15]]
Sec. 1033.5 Exemptions and exclusions.
(a) Subpart G of this part exempts certain locomotives from the
standards of this part.
(b) The definition of ``locomotive'' in Sec. 1033.901 excludes
certain vehicles. In general, the engines used in such excluded
equipment are subject to standards under other regulatory parts. For
example, see 40 CFR part 1039 for requirements that apply to diesel
engines used in equipment excluded from the definition of ``locomotive''
in Sec. 1033.901. The following locomotives are also excluded from the
provisions of this part 1033:
(1) Historic locomotives powered by steam engines. For a locomotive
that was originally manufactured after January 1, 1973 to be excluded
under this paragraph (b)(1), it may not use any internal combustion
engines and must be used only for historical purposes such as at a
museum or similar public attraction.
(2) Locomotives powered only by an external source of electricity.
(c) The requirements and prohibitions of this part apply only for
locomotives that have become ``new'' (as defined in Sec. 1033.901) on
or after July 7, 2008.
(d) The provisions of this part do not apply for any auxiliary
engine that only provides hotel power. In general, these engines are
subject to the provisions of 40 CFR part 1039. However, depending on the
engine cycle, model year and power rating, the engines may be subject to
other regulatory parts instead.
(e) Manufacturers and owners of locomotives that operate only on
non-standard gauge rails may ask us to exclude such locomotives from
this part by excluding them from the definition of ``locomotive''.
Sec. 1033.10 Organization of this part.
The regulations in this part 1033 contain provisions that affect
locomotive manufacturers, remanufacturers, and others. However, the
requirements of this part are generally addressed to the locomotive
manufacturer/remanufacturer. The term ``you'' generally means the
manufacturer/remanufacturer, as defined in Sec. 1033.901. This part
1033 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1033
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify locomotives under this
part. Note that Sec. 1033.150 discusses certain interim requirements
and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part describes general provisions for testing
and auditing production locomotives.
(e) Subpart E of this part describes general provisions for testing
in-use locomotives.
(f) Subpart F of this part and 40 CFR part 1065 describe how to test
locomotives and engines.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, exemptions, and other provisions that apply
to locomotive manufacturer/remanufacturers, owners, operators, and all
others.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify your locomotives.
(i) Subpart I of this part describes provisions for locomotive
owners and operators.
(j) Subpart J of this part contains definitions and other reference
information.
Sec. 1033.15 Other regulation parts that apply for locomotives.
(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1033 describes how to apply the provisions of part 1065
of this chapter to test locomotives to determine whether they meet the
exhaust emission standards in this part.
(b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, remanufactures,
imports, maintains, owns, or operates any of the locomotives subject to
this part 1033. See Sec. 1033.601 to determine how to
[[Page 16]]
apply the part 1068 regulations for locomotives. Part 1068 of this
chapter describes general provisions, including the following areas:
(1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
(2) Exclusions and exemptions for certain locomotives.
(3) Importing locomotives.
(4) Selective enforcement audits of your production.
(5) Defect reporting and recall.
(6) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1033.30 Submission of information.
Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1033.901). See
Sec. 1033.925 for additional reporting and recordkeeping provisions.
[81 FR 74004, Oct. 25, 2016]
Subpart B_Emission Standards and Related Requirements
Sec. 1033.101 Exhaust emission standards.
See Sec. Sec. 1033.102 and 1033.150 to determine how the emission
standards of this section apply before 2023.
(a) Emission standards for line-haul locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 1 to this section during the useful life of the
locomotive. (Note: Sec. 1033.901 defines locomotives to be ``new'' when
originally manufactured and when remanufactured.) Measure emissions
using the applicable test procedures described in subpart F of this
part.
Table 1 to Sec. 1033.101--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards ---------------------------------------------------
NOX PM HC CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\....................... Tier 0 \b\............ 8.0 0.22 1.00 5.0
1993 \a\-2004....................... Tier 1 \b\............ 7.4 0.22 0.55 2.2
2005-2011........................... Tier 2 \b\............ 5.5 \e\ 0.10 0.30 1.5
2012-2014........................... Tier 3 \c\............ 5.5 0.10 0.30 1.5
2015 or later....................... Tier 4 \d\............ 1.3 0.03 0.14 1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX + HC standard of 1.4 g/bhp-hr instead of the otherwise
applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
2013, except as specified in Sec. 1033.150(a).
(b) Emission standards for switch locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 2 to this section during the useful life of the
locomotive. (Note: Sec. 1033.901 defines locomotives to be ``new'' when
originally manufactured and when remanufactured.) Measure emissions
using the applicable test procedures described in subpart F of this
part.
Table 2 to Sec. 1033.101--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards ---------------------------------------------------
NOX PM HC CO
----------------------------------------------------------------------------------------------------------------
1973-2001........................... Tier 0................ 11.8 0.26 2.10 8.0
2002-2004........................... Tier 1 \a\............ 11.0 0.26 1.20 2.5
2005-2010........................... Tier 2 \a\............ 8.1 \b\ 0.13 0.60 2.4
2011-2014........................... Tier 3................ 5.0 0.10 0.60 2.4
2015 or later....................... Tier 4................ \c\ 1.3 0.03 \c\ 0.14 2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.
[[Page 17]]
\c\ Manufacturers may elect to meet a combined NOX + HC standard of 1.4 g/bhp-hr instead of the otherwise
applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
(c) Smoke standards. The smoke opacity standards specified in Table
3 to this section apply only for locomotives certified to one or more PM
standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when
measured in accordance with the provisions of Subpart F of this part,
shall not exceed these standards.
Table 3 to Sec. 1033.101--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
Steady-state 30-sec peak 3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0.......................................................... 30 40 50
Tier 1.......................................................... 25 40 50
Tier 2 and later................................................ 20 40 50
----------------------------------------------------------------------------------------------------------------
(d) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT) program
as described in subpart H of this part to comply with the NOX
and/or PM standards of this part. You may also use ABT to comply with
the Tier 4 HC standards of this part as described in paragraph (j) of
this section. Generating or using emission credits requires that you
specify a family emission limit (FEL) for each pollutant you include in
the ABT program for each engine family. These FELs serve as the emission
standards for the engine family with respect to all required testing
instead of the standards specified in paragraphs (a) and (b) of this
section. FELs may not be higher than the following limits:
(1) FELs for Tier 0 and Tier 1 locomotives originally manufactured
before 2002 may have any value.
(2) FELs for Tier 1 locomotives originally manufactured 2002 through
2004 may not exceed 9.5 g/bhp-hr for NOX emissions or 0.60 g/
bhp-hr for PM emissions measured over the line-haul duty cycle. FELs for
these locomotives may not exceed 14.4 g/bhp-hr for NOX
emissions or 0.72 g/bhp-hr for PM emissions measured over the switch
duty cycle.
(3) FELs for Tier 2 and Tier 3 locomotives may not exceed the Tier 1
standards of this section.
(4) FELs for Tier 4 locomotives may not exceed the Tier 3 standards
of this section.
(e) Notch standards. (1) Exhaust emissions from locomotives may not
exceed the notch standards specified in paragraph (e)(2) of this
section, except as allowed in paragraph (e)(3) of this section, when
measured using any test procedures under any test conditions.
(2) Except as specified in paragraph (e)(5) of this section,
calculate the applicable notch standards for each pollutant for each
notch from the certified notch emission rate as follows:
Notch standard = (Ei) x (1.1 + (1--ELHi/std))
Where:
Ei = The deteriorated brake-specific emission rate (for
pollutant i) for the notch (i.e., the brake-specific emission
rate calculated under subpart F of this part, adjusted by the
deterioration factor in the application for certification);
where i is NOX, HC, CO or PM.
ELHi = The deteriorated line-haul duty-cycle weighted brake-
specific emission rate for pollutant i, as reported in the
application for certification, except as specified in
paragraph (e)(6) of this section.
std = The applicable line-haul duty-cycle standard/FEL, except as
specified in paragraph (e)(6) of this section.
(3) Exhaust emissions that exceed the notch standards specified in
paragraph (e)(2) of this section are allowed only if one of the
following is true:
(i) The same emission controls are applied during the test
conditions causing the noncompliance as were applied during
certification test conditions (and to the same degree).
(ii) The exceedance result from a design feature that was described
(including its effect on emissions) in the approved application for
certification, and is:
(A) Necessary for safety;
[[Page 18]]
(B) Addresses infrequent regeneration of an aftertreatment device;
or
(C) Otherwise allowed by this part.
(4) Since you are only required to test your locomotive at the
highest emitting dynamic brake point, the notch caps that you calculate
for the dynamic brake point that you test also apply for other dynamic
brake points.
(5) No PM notch caps apply for locomotives certified to a PM
standard or FEL of 0.05 g/bhp-hr or lower.
(6) For switch locomotives that are not subject to line-haul
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted
brake-specific emission rate for pollutant i and std is the applicable
switch cycle standard/FEL.
(f) Fuels. The exhaust emission standards in this section apply for
locomotives using the fuel type on which the locomotives in the engine
family are designed to operate.
(1) You must meet the numerical emission standards for HC in this
section based on the following types of hydrocarbon emissions for
locomotives powered by the following fuels:
(i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and
earlier locomotives and NMHCE for Tier 4.
(ii) Gaseous-fueled locomotives: Nonmethane-nonethane emissions
(NMNEHC). This includes dual-fuel and flexible-fuel locomotives that use
a combination of a gaseous fuel and a nongaseous fuel.
(iii) Diesel-fueled and other locomotives: THC emissions for Tier 3
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
(2) You must certify your diesel-fueled locomotives to use the
applicable grades of diesel fuel as follows:
(i) Certify your Tier 4 and later diesel-fueled locomotives for
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the
test fuel for these locomotives. You may alternatively certify Tier 4
and later locomotives using Low Sulfur Diesel Fuel (LSD).
(ii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with only ULSD fuel if they include sulfur-sensitive
technology and you demonstrate compliance using a ULSD test fuel.
(iii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with either ULSD fuel or LSD fuel if they do not include
sulfur-sensitive technology or if you demonstrate compliance using an
LSD test fuel (including commercial LSD fuel).
(iv) For Tier 1 and earlier diesel-fueled locomotives, if you
demonstrate compliance using a ULSD test fuel, you must adjust the
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent to
tests with LSD. We will not apply this adjustment for our testing.
(g) Useful life. The emission standards and requirements in this
subpart apply to the emissions from new locomotives for their useful
life. The useful life is generally specified as MW-hrs and years, and
ends when either of the values (MW-hrs or years) is exceeded or the
locomotive is remanufactured.
(1) The minimum useful life in terms of MW-hrs is equal to the
product of the rated horsepower multiplied by 7.50. The minimum useful
life in terms of years is ten years. For locomotives originally
manufactured before January 1, 2000 and not equipped with MW-hr meters,
the minimum useful life is equal to 750,000 miles or ten years,
whichever is reached first. See Sec. 1033.140 for provisions related to
rated power.
(2) You must specify a longer useful life if the locomotive or
locomotive engine is designed to last longer than the applicable minimum
useful life. Recommending a time to remanufacture that is longer than
the minimum useful life is one indicator of a longer design life.
(3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in Sec. 1033.901) may ask us
(before certification) to allow a shorter useful life for an engine
family containing only non-locomotive-specific engines. We may approve a
shorter useful life, in MW-hrs of locomotive operation but not in years,
if we determine that these locomotives will rarely operate longer than
the shorter useful life. If engines identical to those in the engine
family have
[[Page 19]]
already been produced and are in use, your demonstration must include
documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your demonstration
must also include any overhaul interval that you recommend, any
mechanical warranty that you offer for the engine or its components, and
any relevant customer design specifications. Your demonstration may
include any other relevant information.
(4) Remanufacturers of locomotive or locomotive engine
configurations that have been previously certified under paragraph
(g)(3) of this section to a useful life that is shorter than the value
specified in paragraph (g)(1) of this section may certify to that same
shorter useful life value without request.
(5) In unusual circumstances, you may ask us to allow you to certify
some locomotives in your engine family to a partial useful life. This
allowance is limited to cases in which some or all of the locomotive's
power assemblies have been operated previously such that the locomotive
will need to be remanufactured prior to the end of the otherwise
applicable useful life. Unless we specify otherwise, define the partial
useful life based on the total MW-hrs since the last remanufacture to be
consistent with other locomotives in the family. For example, this may
apply for a previously uncertified locomotive that becomes ``new'' when
it is imported, but that was remanufactured two years earlier
(representing 25 percent of the normal useful life period). If such a
locomotive could be brought into compliance with the applicable
standards without being remanufactured, you may ask to include it in
your engine family for the remaining 75 percent of its useful life
period.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification testing,
production-line testing, and in-use testing.
(i) Alternate CO standards. Manufacturers/remanufacturers may
certify locomotives to an alternate CO emission standard of 10.0 g/bhp-
hr instead of the otherwise applicable CO standard if they also certify
those locomotives to alternate PM standards as follows:
(1) The alternate PM standard for Tier 0, Tier 1, and Tier 2
locomotives is one-half of the otherwise applicable PM standard. For
example, a manufacturer certifying Tier 2 switch locomotives to a 0.065
g/bhp-hr PM standard may certify those locomotives to the alternate CO
standard of 10.0 g/bhp-hr.
(2) The alternate PM standard for Tier 3 and Tier 4 locomotives is
0.01 g/bhp-hr.
(j) Alternate NOX + HC standards for Tier 4.
Manufacturers/remanufacturers may use credits accumulated through the
ABT program to certify Tier 4 locomotives to an alternate NOX
+ HC emission standard of 1.4 g/bhp-hr (instead of the otherwise
applicable NOX and NMHC standards). You may use
NOX credits to show compliance with this standard by
certifying your family to a NOX + HC FEL. Calculate the
NOX credits needed as specified in subpart H of this part
using the NOX + HC emission standard and FEL in the
calculation instead of the otherwise applicable NOX standard
and FEL. You may not generate credits relative to the alternate standard
or certify to the standard without using credits.
(k) Upgrading. Upgraded locomotives that were originally
manufactured prior to January 1, 1973 are subject to the Tier 0
standards. (See the definition of upgrade in Sec. 1033.901.)
(l) Other optional standard provisions. Locomotives may be certified
to a higher tier of standards than would otherwise be required. Tier 0
switch locomotives may be certified to both the line-haul and switch
cycle standards. In both cases, once the locomotives become subject to
the additional standards, they remain subject to those standards for the
remainder of their service lives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59188, Oct. 8, 2008; 75
FR 22982, Apr. 30, 2010; 81 FR 74004, Oct. 25, 2016]
[[Page 20]]
Sec. 1033.102 Transition to the standards specified in this subpart.
(a) The Tier 0 and Tier 1 standards of Sec. 1033.101 apply for new
locomotives beginning January 1, 2010, except as specified in Sec.
1033.150(a). The Tier 0 and Tier 1 standards specified in Appendix I of
this part apply for earlier model years.
(b) Except as specified in Sec. 1033.150(a), the Tier 2 standards
of Sec. 1033.101 apply for new locomotives beginning January 1, 2013.
The Tier 2 standards specified in Appendix I of this part apply for
earlier model years.
(c) The Tier 3 and Tier 4 standards of Sec. 1033.101 apply for the
model years specified in that section.
[81 FR 74004, Oct. 25, 2016]
Sec. 1033.110 Emission diagnostics--general requirements.
The provisions of this section apply if you equip your locomotives
with a diagnostic system that will detect significant malfunctions in
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. See Sec. 1033.420
for information about how to select and maintain diagnostic-equipped
locomotives for in-use testing. Notify the owner/operator that the
presence of this diagnostic system affects their maintenance obligations
under Sec. 1033.815. Except as specified in Sec. 1033.112, this
section does not apply for diagnostics that you do not include in your
emission-related maintenance instructions. The provisions of this
section address diagnostic systems based on malfunction-indicator lights
(MILs). You may ask to use other indicators instead of MILs.
(a) The MIL must be readily visible to the operator. When the MIL
goes on, it must display ``Check Emission Controls'' or a similar
message that we approve. You may use sound in addition to the light
signal.
(b) To ensure that owner/operators consider MIL illumination
seriously, you may not illuminate it for malfunctions that would not
otherwise require maintenance. This section does not limit your ability
to display other indicator lights or messages, as long as they are
clearly distinguishable from MILs affecting the owner/operator's
maintenance obligations under Sec. 1033.815.
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction, it must remain on during all later engine operation until
servicing corrects the malfunction. If the engine is not serviced, but
the malfunction does not recur during the next 24 hours, the MIL may
stay off during later engine operation.
(d) Record and store in computer memory any diagnostic trouble codes
showing a malfunction that should illuminate the MIL. The stored codes
must identify the malfunctioning system or component as uniquely as
possible. Make these codes available through the data link connector as
described in paragraph (e) of this section. You may store codes for
conditions that do not turn on the MIL. The system must store a separate
code to show when the diagnostic system is disabled (from malfunction or
tampering). Provide instructions to the owner/operator regarding how to
interpret malfunction codes.
(e) Make data, access codes, and devices accessible. Make all
required data accessible to us without any access codes or devices that
only you can supply. Ensure that anyone servicing your locomotive can
read and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Follow standard references for formats, codes, and connections.
Sec. 1033.112 Emission diagnostics for SCR systems.
Engines equipped with SCR systems using separate reductant tanks
must also meet the requirements of this section in addition to the
requirements of Sec. 1033.110. This section does not apply for SCR
systems using the engine's fuel as the reductant.
(a) The diagnostic system must monitor reductant quality and tank
levels and alert operators to the need to refill the reductant tank
before it is empty, or to replace the reductant if it does not meet your
concentration specifications. Unless we approve other alerts, use a
malfunction-indicator light (MIL) as specified in Sec. 1033.110 and an
[[Page 21]]
audible alarm. You do not need to separately monitor reductant quality
if you include an exhaust NOX sensor (or other sensor) that
allows you to determine inadequate reductant quality. However, tank
level must be monitored in all cases.
(b) Your onboard computer must record in nonvolatile computer memory
all incidents of engine operation with inadequate reductant injection or
reductant quality. It must record the total amount of operation without
adequate reductant. It may total the operation by hours, work, or excess
NOX emissions.
Sec. 1033.115 Other requirements.
Locomotives that are required to meet the emission standards of this
part must meet the requirements of this section. These requirements
apply when the locomotive is new (for freshly manufactured or
remanufactured locomotives) and continue to apply throughout the useful
life.
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any locomotive, except as
follows:
(1) Locomotives may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage of this exception, you must do both of the following things:
(i) Manufacture the locomotives so that all crankcase emissions can
be routed into the applicable sampling systems specified in 40 CFR part
1065, consistent with good engineering judgment.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(2) For purposes of this paragraph (a), crankcase emissions that are
routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
(b) Adjustable parameters. Locomotives that have adjustable
parameters must meet all the requirements of this part for any
adjustment in the approved adjustable range. You must specify in your
application for certification the adjustable range of each adjustable
parameter on a new locomotive or new locomotive engine to:
(1) Ensure that safe locomotive operating characteristics are
available within that range, as required by section 202(a)(4) of the
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the
production tolerances.
(2) Limit the physical range of adjustability to the maximum extent
practicable to the range that is necessary for proper operation of the
locomotive or locomotive engine.
(c) Prohibited controls. You may not design or produce your
locomotives 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 locomotive emits a noxious or toxic substance it would
otherwise not emit that contributes to such an unreasonable risk.
(d) Evaporative and refueling controls. For locomotives fueled with
a volatile fuel you must design and produce them to minimize evaporative
emissions during normal operation, including periods when the engine is
shut down. You must also design and produce them to minimize the escape
of fuel vapors during refueling. Hoses used to refuel gaseous-fueled
locomotives may not be designed to be bled or vented to the atmosphere
under normal operating conditions. No valves or pressure relief vents
may be used on gaseous-fueled locomotives except as emergency safety
devices that do not operate at normal system operating flows and
pressures.
(e) Altitude requirements. All locomotives must be designed to
include features that compensate for changes in altitude so that the
locomotives will comply with the applicable emission standards when
operated at any altitude less than:
(1) 7000 feet above sea level for line-haul locomotives.
(2) 5500 feet above sea level for switch locomotives.
(f) Defeat devices. You may not equip your locomotives with a defeat
device.
[[Page 22]]
A defeat device is an auxiliary emission control device (AECD) that
reduces the effectiveness of emission controls under conditions that the
locomotive may reasonably be expected to encounter during normal
operation and use.
(1) This does not apply to AECDs you identify in your application
for certification if any of the following is true:
(i) The conditions of concern were substantially included in the
applicable duty cycle test procedures described in subpart F of this
part.
(ii) You show your design is necessary to prevent locomotive damage
or accidents.
(iii) The reduced effectiveness applies only to starting the
locomotive.
(iv) The locomotive emissions when the AECD is functioning are at or
below the notch caps of Sec. 1033.101.
(2) This does not apply to AECDs related to hotel mode that conform
to the specifications of this paragraph (f)(2). This provision is
intended for AECDs that have the primary function of operating the
engine at a different speed than would be done to generate the same
propulsive power when not operating in hotel mode. Identify and describe
these AECDs in your application for certification. We may allow the
AECDs to modify engine calibrations where we determine that such
modifications are environmentally beneficial or needed for proper engine
function. You must obtain preliminary approval under Sec. 1033.210
before incorporating such modifications. Otherwise, you must apply the
same injection timing and intake air cooling strategies in hotel mode
and non-hotel mode.
(g) Idle controls. All new locomotives must be equipped with
automatic engine stop/start as described in this paragraph (g). All new
locomotives must be designed to allow the engine(s) to be restarted at
least six times per day without causing engine damage that would affect
the expected interval between remanufacturing. Note that it is a
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this
paragraph (g).
(1) Except as allowed by paragraph (g)(2) of this section, the stop/
start systems must shut off the main locomotive engine(s) after 30
minutes of idling (or less).
(2) Stop/start systems may restart or continue idling for the
following reasons:
(i) To prevent engine damage such as to prevent the engine coolant
from freezing.
(ii) To maintain air pressure for brakes or starter system, or to
recharge the locomotive battery.
(iii) To perform necessary maintenance.
(iv) To otherwise comply with federal regulations.
(3) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.
(4) See Sec. 1033.201 for provisions that allow you to obtain a
separate certificate for idle controls.
(5) It is not considered circumvention to allow a locomotive to idle
to heat or cool the cab, provided such heating or cooling is necessary.
(h) Power meters. Tier 1 and later locomotives must be equipped with
MW-hr meters (or the equivalent) consistent with the specifications of
Sec. 1033.140.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75
FR 22982, Apr. 30, 2010]
Sec. 1033.120 Emission-related warranty requirements.
(a) General requirements. Manufacturers/remanufacturers must warrant
to the ultimate purchaser and each subsequent purchaser that the new
locomotive, including all parts of its emission control system, meets
two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of
[[Page 23]]
operation (or miles for Tier 0 locomotives not equipped with MW-hr
meters) and years, whichever comes first. You may offer an emission-
related warranty more generous than we require. The emission-related
warranty for the locomotive may not be shorter than any basic mechanical
warranty you provide without charge for the locomotive. Similarly, the
emission-related warranty for any component may not be shorter than any
warranty you provide without charge for that component. This means that
your warranty may not treat emission-related and nonemission-related
defects differently for any component. If you provide an extended
warranty to individual owners for any components covered in paragraph
(c) of this section for an additional charge, your emission-related
warranty must cover those components for those owners to the same
degree. If the locomotive does not record MW-hrs, we base the warranty
periods in this paragraph (b) only on years. The warranty period begins
when the locomotive is placed into service, or back into service after
remanufacture.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase a locomotive's emissions of any
regulated pollutant. This includes components listed in 40 CFR part
1068, Appendix I, and components from any other system you develop to
control emissions. The emission-related warranty covers the components
you sell even if another company produces the component. Your emission-
related warranty does not need to cover components whose failure would
not increase a locomotive's emissions of any regulated pollutant. For
remanufactured locomotives, your emission-related warranty is required
to cover only those parts that you supply or those parts for which you
specify allowable part manufacturers. It does not need to cover used
parts that are not replaced during the remanufacture.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the
locomotive.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75
FR 22983, Apr. 30, 2010; 81 FR 74004, Oct. 25, 2016]
Sec. 1033.125 Maintenance instructions.
Give the owner of each new locomotive written instructions for
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners
and operators must comply with the requirements of subpart I of this
part 1033. The emission-related maintenance instructions also apply to
any service accumulation on your emission-data locomotives, as described
in Sec. 1033.245 and in 40 CFR part 1065. If you equip your locomotives
with a diagnostic system that will detect significant malfunctions in
their emission-control systems, specify the extent to which your
emission-related maintenance instructions include such diagnostics.
Sec. 1033.130 Instructions for engine remanufacturing or engine
installation.
(a) If you do not complete assembly of the new locomotive (such as
selling a kit that allows someone else to remanufacture a locomotive
under your certificate), give the assembler instructions for completing
assembly consistent with the requirements of this part. Include all
information necessary to ensure that the locomotive will be assembled in
its certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related assembly instructions''
(2) Describe any instructions necessary to make sure the assembled
locomotive will operate according to design specifications in your
application for certification.
(3) Describe how to properly label the locomotive. This will
generally include instructions to remove and destroy the previous Engine
Emission Control Information label.
(4) State one of the following as applicable:
[[Page 24]]
(i) ``Failing to follow these instructions when remanufacturing a
locomotive or locomotive engine violates federal law (40 CFR
1068.105(b)), and may subject you to fines or other penalties as
described in the Clean Air Act.''
(ii) ``Failing to follow these instructions when installing this
locomotive engine violates federal law (40 CFR 1068.105(b)), and may
subject you to fines or other penalties as described in the Clean Air
Act.''
(c) You do not need installation instructions for locomotives you
assemble.
(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 assembler is informed of the assembly requirements.
(e) Your emission-related assembly instructions may not include
specifications for parts unrelated to emissions. For the basic
mechanical parts listed in this paragraph (e), you may not specify a
part manufacturer unless we determine that such a specification is
necessary. You may include design specifications for such parts
addressing the dimensions and material constraints as necessary. You may
also specify a part number, as long you make it clear that alternate
part suppliers may be used. This paragraph (e) covers the following
parts or other parts we determine qualify as basic mechanical parts:
(1) Intake and exhaust valves.
(2) Intake and exhaust valve retainers.
(3) Intake and exhaust valve springs.
(4) Intake and exhaust valve rotators.
(5) Oil coolers.
Sec. 1033.135 Labeling.
As described in this section, each locomotive must have a label on
the locomotive and a separate label on the engine. The label on the
locomotive stays on the locomotive throughout its service life. It
generally identifies the original certification of the locomotive, which
is when it was originally manufactured for Tier 1 and later locomotives.
The label on the engine is replaced each time the locomotive is
remanufactured and identifies the most recent certification.
(a) Serial numbers. At the point of original manufacture, assign
each locomotive and each locomotive engine a serial number or other
unique identification number and permanently affix, engrave, or stamp
the number on the locomotive and engine in a legible way.
(b) Locomotive labels. (1) Locomotive labels meeting the
specifications of paragraph (b)(2) of this section must be applied as
follows:
(i) The manufacturer must apply a locomotive label at the point of
original manufacture.
(ii) The remanufacturer must apply a locomotive label at the point
of original remanufacture, unless the locomotive was labeled by the
original manufacturer.
(iii) Any remanufacturer certifying a locomotive to an FEL or
standard different from the previous FEL or standard to which the
locomotive was previously certified must apply a locomotive label.
(2) The locomotive label must meet all of the following criteria:
(i) The label must be permanent and legible and affixed to the
locomotive in a position in which it will remain readily visible. Attach
it to a locomotive chassis part necessary for normal operation and not
normally requiring replacement during the service life of the
locomotive. You may not attach this label to the engine or to any
equipment that is easily detached from the locomotive. Attach the label
so that it cannot be removed without destroying or defacing the label.
For Tier 0 and Tier 1 locomotives, the label may be made up of more than
one piece, as long as all pieces are permanently attached to the
locomotive.
(ii) The label must be lettered in the English language using a
color that contrasts with the background of the label.
(iii) The label must include all the following information:
(A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL
INFORMATION.'' Manufacturers/remanufacturers may add a subheading
[[Page 25]]
to distinguish this label from the engine label described in paragraph
(c) of this section.
(B) Full corporate name and trademark of the manufacturer (or
remanufacturer).
(C) The applicable engine family and configuration identification.
In the case of locomotive labels applied by the manufacturer at the
point of original manufacture, this will be the engine family and
configuration identification of the certificate applicable to the
freshly manufactured locomotive. In the case of locomotive labels
applied by a remanufacturer during remanufacture, this will be the
engine family and configuration identification of the certificate under
which the remanufacture is being performed.
(D) Date of original manufacture of the locomotive, as defined in
Sec. 1033.901.
(E) The standards/FELs to which the locomotive was certified and the
following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE EMISSION
LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR
1033.750.''
(3) Label diesel-fueled locomotives near the fuel inlet to identify
the allowable fuels, consistent with Sec. 1033.101. For example, Tier 4
locomotives with sulfur-sensitive technology (or that otherwise require
ULSD for compliance) should be labeled ``ULTRA LOW SULFUR DIESEL FUEL
ONLY''. You do not need to label Tier 3 and earlier locomotives
certified for use with both LSD and ULSD.
(c) Engine labels. (1) For engines not requiring aftertreatment
devices, apply engine labels meeting the specifications of paragraph
(c)(2) of this section once an engine has been assembled in its
certified configuration. For engines that require aftertreatment
devices, apply the label after the engine has been fully assembled,
which may occur before installing the aftertreatment devices. These
labels must be applied by:
(i) The manufacturer at the point of original manufacture; and
(ii) The remanufacturer at the point of each remanufacture
(including the original remanufacture and subsequent remanufactures).
(2) The engine label must meet all of the following criteria:
(i) The label must be durable throughout the useful life of the
engine, be legible and affixed to the engine in a position in which it
will be readily visible after installation of the engine in the
locomotive. Attach it to an engine part necessary for normal operation
and not normally requiring replacement during the useful life of the
locomotive. You may not attach this label to any equipment that is
easily detached from the engine. Attach the label so it cannot be
removed without destroying or defacing the label. The label may be made
up of more than one piece, as long as all pieces are permanently
attached to the same engine part.
(ii) The label must be lettered in the English language using a
color that contrasts with the background of the label.
(iii) The label must include all the following information:
(A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.''
Manufacturers/remanufacturers may add a subheading to distinguish this
label from the locomotive label described in paragraph (b) of this
section.
(B) Full corporate name and trademark of the manufacturer/
remanufacturer.
(C) Engine family and configuration identification as specified in
the certificate under which the locomotive is being manufactured or
remanufactured.
(D) A prominent unconditional statement of compliance with U.S.
Environmental Protection Agency regulations which apply to locomotives,
as applicable:
(1) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 0 + switch locomotives.''
(2) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 0 + line-haul locomotives.''
(3) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 1 + locomotives.''
(4) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 2 + locomotives.''
[[Page 26]]
(5) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 3 switch locomotives.''
(6) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 3 line-haul locomotives.''
(7) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 4 switch locomotives.''
(8) ``This locomotive conforms to U.S. EPA regulations applicable to
Tier 4 line-haul locomotives.''
(E) The useful life of the locomotive.
(F) The standards/FELS to which the locomotive was certified.
(iv) You may include other critical operating instructions such as
specifications for adjustments or reductant use for SCR systems.
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards). You
may include this information by adding it to the statement we specify or
by including a separate statement.
(2) You may add other information to ensure that the locomotive will
be properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
(e) You may ask us to approve modified labeling requirements in this
part 1033 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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 81
FR 74004, Oct. 25, 2016]
Sec. 1033.140 Rated power.
This section describes how to determine the rated power of a
locomotive for the purposes of this part.
(a) A locomotive configuration's rated power is the maximum brake
power point on the nominal power curve for the locomotive configuration,
as defined in this section. See Sec. 1033.901 for the definition of
brake power. Round the power value to the nearest whole horsepower.
Generally, this will be the brake power of the engine in notch 8.
(b) The nominal power curve of a locomotive configuration is its
maximum available brake power at each possible operator demand setpoint
or ``notch''. See 40 CFR 1065.1001 for the definition of operator
demand. The maximum available power at each operator demand setpoint is
based on your design and production specifications for that locomotive.
The nominal power curve does not include any operator demand setpoints
that are not achievable during in-use operation. For example, for a
locomotive with only eight discrete operator demand setpoints, or
notches, the nominal power curve would be a series of eight power points
versus notch, rather than a continuous curve.
(c) The nominal power curve must be within the range of the actual
power curves of production locomotives considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production locomotives, we may
require you to amend your application for certification under Sec.
1033.225.
(d) For the purpose of determining useful life, you may need to use
a rated power based on power other than brake power according to the
provisions of this paragraph (d). The useful life must be based on the
power measured by the locomotive's megawatt-hour meter. For example, if
your megawatt-hour meter reads and records the electrical work output of
the alternator/generator rather than the brake power of the engine, and
the power output of the alternator/generator at notch 8 is 4000
horsepower, calculate your useful life as 30,000MW-hrs (7.5 x 4000).
Sec. 1033.150 Interim provisions.
The provisions of this section apply instead of other provisions of
this part for a limited time. This section describes when these
provisions apply.
(a) Early availability of Tier 0, Tier 1, or Tier 2 systems. Except
as specified in paragraph (a)(2) of this section, for model years 2008
and 2009, you may remanufacture locomotives to meet the applicable
standards in 40 CFR part 92
[[Page 27]]
only if no remanufacture system has been certified to meet the standards
of this part and is available at a reasonable cost at least 90 days
prior to the completion of the remanufacture as specified in paragraph
(a)(3) of this section. This same provision continues to apply after
2009, but only for Tier 2 locomotives. Note that remanufacturers may
certify remanufacturing systems that will not be available at a
reasonable cost; however such certification does not trigger the
requirements of this paragraph (a).
(1) For the purpose of this paragraph (a), ``available at a
reasonable cost'' means available for use where all of the following are
true:
(i) The total incremental cost to the owner and operators of the
locomotive due to meeting the new standards (including initial hardware,
increased fuel consumption, and increased maintenance costs) during the
useful life of the locomotive is less than $250,000, adjusted as
specified in paragraph (a)(4)(i) of this section.
(ii) The initial incremental hardware costs are reasonably related
to the technology included in the remanufacturing system and are less
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this
section.
(iii) The remanufactured locomotive will have reliability throughout
its useful life that is similar to the reliability the locomotive would
have had if it had been remanufactured without the certified
remanufacture system.
(iv) The remanufacturer must demonstrate at the time of
certification that the system meets the requirements of this paragraph
(a)(1).
(v) The system does not generate or use emission credits.
(2) The number of locomotives that each railroad must remanufacture
under this paragraph (a) is capped as follows:
(i) For the period October 3, 2008 to December 31, 2008, the maximum
number of locomotives that a railroad must remanufacture under this
paragraph (a) is 50 percent of the total number of the railroad's
locomotives that are remanufactured during this period under this part
or 40 CFR part 92. Include in the calculation both locomotives you own
and locomotives you lease.
(ii) For the period January 1, 2009 to December 31, 2009, the
maximum number of locomotives that a railroad must remanufacture under
this paragraph (a) is 70 percent of the total number of the railroad's
locomotives that are remanufactured during this period under this part
or 40 CFR part 92. Include in the calculation both locomotives you own
and locomotives you lease.
(3) Remanufacturers applying for certificates under this paragraph
(a) are responsible to notify owner/operators (and other customers as
applicable) that they have requested such certificates. The notification
should occur at the same time that the remanufacturer submits its
application, and should include a description of the remanufacturing
system, price, expected incremental operating costs, and draft copies of
your installation and maintenance instructions. The system is considered
to be available for a customer 120 days after this notification, or 90
days after the certificate is issued, whichever is later. Where we issue
a certificate of conformity under this part based on carryover data from
an engine family that we previously considered available for the
configuration, the system is considered to be available when we issue
the certificate.
(4) Estimate costs as follows:
(i) The cost limits described in paragraph (a)(1) of this section
are specified in terms of 2007 dollars. Adjust these values for future
years according to the following equation:
Actual Limit = (2007 Limit) x [(0.6000) x (Commodity Index) + (0.4000) x
(Earnings Index)]
Where:
2007 Limit = The value specified in paragraph (a)(1) of this section
($250,000 or $125,000).
Commodity Index = The U.S. Bureau of Labor Statistics Producer Price
Index for Industrial Commodities Less Fuel (Series
WPU03T15M05) for the month prior to the date you submit your
application divided by 173.1.
Earnings Index = The U.S. Bureau of Labor Statistics Estimated Average
Hourly Earnings of Production Workers for Durable
Manufacturing (Series CES3100000008) for the month prior to
the date you submit your application divided by 18.26.
(ii) Calculate all costs in current dollars (for the month prior to
the date
[[Page 28]]
you submit your application). Calculate fuel costs based on a fuel price
adjusted by the Association of American Railroads' monthly railroad fuel
price index (P), which is available at https://www.aar.org/data-center/
rail-cost-indexes. (Use values indexed to a price of 100.0 for July 15,
1990.) Calculate a new fuel price using the following equation:
Fuel Price = ($2.76 per gallon) x (P/539.8)
(b) Idle controls. A locomotive equipped with an automatic engine
stop/start system that was originally installed before January 1, 2009
and that conforms to the requirements of Sec. 1033.115(g) is deemed to
be covered by a certificate of conformity with respect to the
requirements of Sec. 1033.115(g). Note that the provisions of subpart C
of this part also allow you to apply for a conventional certificate of
conformity for such systems.
(c) Locomotive labels for transition to new standards. This
paragraph (c) applies when you remanufacture a locomotive that was
previously certified under 40 CFR part 92. You must remove the old
locomotive label and replace it with the locomotive label specified in
Sec. 1033.135.
(d) Small manufacturer/remanufacturer provisions. The production-
line testing requirements and in-use testing requirements of this part
do not apply until January 1, 2013 for manufacturers/remanufacturers
that qualify as small manufacturers under Sec. 1033.901.
(e) Producing switch locomotives using certified nonroad engines.
You may use the provisions of this paragraph (e) to produce any number
of freshly manufactured or refurbished switch locomotives in model years
2008 through 2017. Locomotives produced under this paragraph (e) are
exempt from the standards and requirements of this part and 40 CFR part
92 subject to the following provisions:
(1) All of the engines on the switch locomotive must be covered by a
certificate of conformity issued under 40 CFR part 89 or 1039 for model
year 2008 or later (or earlier model years if the same standards applied
as in 2008). Engines over 750 hp certified to the Tier 4 standards for
non-generator set engines are not eligible for this allowance after
2014.
(2) You must reasonably project that more of the engines will be
sold and used for non-locomotive use than for use in locomotives.
(3) You may not generate or use locomotive credits under this part
for these locomotives.
(4) Include the following statement on a permanent locomotive label:
``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE ENGINES
USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR PARTS 1039
(or 89) AND 1068.''
(5) The rebuilding requirements of 40 CFR part 1068 apply when
remanufacturing engines used in these locomotives.
(f) In-use compliance limits. For purposes of determining compliance
other than for certification or production-line testing, calculate the
applicable in-use compliance limits by adjusting the applicable
standards/FELs. The PM adjustment applies only for model year 2017 and
earlier locomotives and does not apply for locomotives with a PM FEL
higher than 0.03 g/bhp-hr. The NOX adjustment applies only
for model year 2017 and earlier locomotives and does not apply for
locomotives with a NOX FEL higher than 2.0 g/bhp-hr. Add the
applicable adjustments in Tables 1 or 2 of this section (which follow)
to the otherwise applicable standards (or FELs) and notch caps. You must
specify during certification which add-ons, if any, will apply for your
locomotives.
Table 1 to Sec. 1033.150--In-use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
In-use adjustments (g/bhp-hr)
-------------------------------
For model year For model year
Fraction of useful life already used 2017 and 2017 and
earlier Tier 4 earlier Tier 4
NOX standards PM standards
------------------------------------------------------------------------
0 75% of UL............. 1.3 0.01
------------------------------------------------------------------------
Table 2 to Sec. 1033.150--Optional In-Use Adjustments for Tier 4
Locomotives
------------------------------------------------------------------------
In-use adjustments (g/bhp-hr)
-----------------------------------
For model year For model year
Fraction of useful life already used 2017 and earlier 2017 and earlier
Tier 4 NOX Tier 4 PM
standards standards
------------------------------------------------------------------------
0 75% of UL......... 0.4 0.03
------------------------------------------------------------------------
(g) Optional interim Tier 4 compliance provisions for NOX
emissions. For model years 2015 through 2022, manufacturers may choose
to certify some or all of their Tier 4 line-haul engine families
according to the optional compliance provisions of this paragraph (g).
The following provisions apply to all locomotives in those families:
(1) The provisions of this paragraph (g) apply instead of the
deterioration factor requirements of Sec. Sec. 1033.240 and 1033.245
for NOX emissions. You must certify that the locomotives in
the engine family will conform to the requirements of this paragraph (g)
for their full useful lives.
(2) The applicable NOX emission standard for locomotives
certified under this paragraph (g) is:
(i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50
hours of operation.
(ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50
hours or more of operation.
(3) The engine family may not generate NOX emission
credits.
(4) The design certification provisions of Sec. 1033.240(c) do not
apply for these locomotives for the next remanufacture.
(5) Manufacturers must comply with the production-line testing
program in subpart D of this part for these engine families or the
following optional program:
(i) You are not required to test locomotives in the family under
subpart D of this part if you comply with the requirements of this
paragraph (g)(5).
(ii) Test the locomotives as specified in subpart E of this part,
with the following exceptions:
(A) The minimum test sample size is one percent of the number of
locomotives in the family or five, whichever is less.
(B) The locomotives must be tested after they have accumulated 50
hours or more of operation but before they have reached 50 percent of
their useful life.
(iii) The standards in this part for pollutants other than
NOX apply as specified for testing conducted under this
optional program.
(6) The engine family may use NOX emission credits to
comply with this paragraph (g). However, a 1.5 g/bhp-hr NOX
FEL cap applies for engine families certified under this paragraph (g).
The applicable standard for locomotives that have accumulated 50 hours
or more of operation is the FEL plus 0.6 g/bhp-hr.
(7) The in-use NOX add-ons specified in paragraph (f) of
this section do not apply for these locomotives.
(8) All other provisions of this part apply to such locomotives,
except as specified otherwise in this paragraph (g).
(h) Test procedures. You are generally required to use the test
procedures
[[Page 30]]
specified in subpart F of this part (including the applicable test
procedures in 40 CFR part 1065). As specified in this paragraph (h), you
may use a combination of the test procedures specified in this part and
the test procedures specified in 40 CFR part 92 prior to January 1,
2015. After this date, you must use only the test procedures specified
in this part.
(1) Prior to January 1, 2015, you may ask to use some or all of the
procedures specified in 40 CFR part 92 for locomotives certified under
this part 1033.
(2) If you ask to rely on a combination of procedures under this
paragraph (h), we will approve your request only if you show us that it
does not affect your ability to demonstrate compliance with the
applicable emission standards. Generally this requires that the combined
procedures would result in emission measurements at least as high as
those that would be measured using the procedures specified in this
part. Alternatively, you may demonstrate that the combined effects of
the different procedures is small relative to your compliance margin
(the degree to which your emissions are below the applicable standards).
(i) Certification testing. Prior to model year 2014, you may use the
simplified steady-state engine test procedure specified in this
paragraph (i) for certification testing. The normal certification
procedures and engine testing procedures apply, except as specified in
this paragraph (i).
(1) Use good engineering judgment to operate the engine consistent
with its expected operation in the locomotive, to the extent practical.
You are not required to exactly replicate the transient behavior of the
engine.
(2) You may delay sampling during notch transition for up to 20
seconds after you begin the notch change.
(3) We may require you provide additional information in your
application for certification to support the expectation that production
locomotives will meet all applicable emission standards when tested as
locomotives.
(4) You may not use this simplified procedure for production-line or
in-use testing.
(j) Administrative requirements. For model years 2008 and 2009, you
may use a combination of the administrative procedures specified in this
part and the test procedures specified in 40 CFR part 92. For example,
this would allow you to use the certification procedures of 40 CFR part
92 to apply for certificates under this part 1033.
(k) Test fuels. Testing performed during calendar years 2008 and
2009 may be performed using test fuels that meet the specifications of
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr
to account for the difference in sulfur content of the fuel.
(l) Refurbished switch locomotives. In 2008 and 2009 remanufactured
Tier 0 switch locomotives that are deemed to be refurbished may be
certified as remanufactured switch locomotives under 40 CFR part 92.
(m) Assigned deterioration factors. The provisions of this paragraph
(m) apply for Tier 0 and Tier 1 locomotives to the standards of this
part during model years 2008 or 2009. Remanufacturers certifying such
locomotives to the standards of this part during these model years may
use an assigned deterioration factor of 0.03 g/bhp-hr for PM and an
assigned deterioration factor of zero for other pollutants. For purposes
of determining compliance other than for certification or production-
line testing, calculate the applicable in-use compliance limits for
these locomotives by adjusting the applicable PM standards/FELs upward
by 0.03 g/bhp-hr.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 74
FR 8423, Feb. 24, 2009; 75 FR 22983, Apr. 30, 2010; 75 FR 68460, Nov. 8,
2010; 81 FR 74004, Oct. 25, 2016]
Subpart C_Certifying Engine Families
Sec. 1033.201 General requirements for obtaining a certificate
of conformity.
Certification is the process by which you demonstrate to us that
your freshly manufactured or remanufactured locomotives will meet the
applicable emission standards throughout their useful lives (explaining
to us how you plan to manufacture or remanufacture locomotives, and
providing test data showing that such locomotives will comply with all
applicable emission
[[Page 31]]
standards). Anyone meeting the definition of manufacturer in Sec.
1033.901 may apply for a certificate of conformity for freshly
manufactured locomotives. Anyone meeting the definition of
remanufacturer in Sec. 1033.901 may apply for a certificate of
conformity for remanufactured locomotives.
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
for new production from the indicated effective date, until the end of
the model year for which it is issued, which may not extend beyond
December 31 of that year. No certificate will be issued after December
31 of the model year. You may amend your application for certification
after the end of the model year in certain circumstances as described in
Sec. Sec. 1033.220 and 1033.225. You must renew your certification
annually for any locomotives you continue to produce.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1033.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1033.250.
(d) You must use good engineering judgment for all decisions related
to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1033.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test locomotives (including
test engines, as applicable) to a facility we designate for our testing
(see Sec. 1033.235(c)). Alternatively, you may choose to deliver
another engine/locomotive that is identical in all material respects to
the test locomotive, or another engine/locomotive that we determine can
appropriately serve as an emission-data locomotive for the engine
family.
(h) By applying for a certificate of conformity, you are accepting
responsibility for the in-use emission performance of all properly
maintained and used locomotives covered by your certificate. This
responsibility applies without regard to whether you physically
manufacture or remanufacture the entire locomotive. If you do not
physically manufacture or remanufacture the entire locomotive, you must
take reasonable steps (including those specified by this part) to ensure
that the locomotives produced under your certificate conform to the
specifications of your application for certification. Note that this
paragraph does not limit any liability under this part or the Clean Air
Act for entities that do not obtain certificates. This paragraph also
does not prohibit you from making contractual arrangements with
noncertifiers related to recovering damages for noncompliance.
(i) The provisions of this subpart describe how to obtain a
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does
not cover the idle control requirements of Sec. 1033.115 or one that
only covers the idle control requirements of Sec. 1033.115.
Remanufacturers obtaining such partial certificates must include a
statement in their installation instructions that two certificates and
labels are required for a locomotive to be in a fully certified
configuration. We may modify the certification requirements for
certificates that will only cover idle control systems.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]
Sec. 1033.205 Applying for a certificate of conformity.
(a) Send the Designated Compliance Officer a complete application
for each engine family for which you are requesting a certificate of
conformity.
(b) [Reserved]
(c) You must update and correct your application to accurately
reflect your production, as described in Sec. 1033.225.
(d) Include the following information in your application:
(1) A description of the basic engine design including, but not
limited to, the engine family specifications listed in Sec. 1033.230.
For freshly manufactured locomotives, a description of the basic
locomotive design. For remanufactured
[[Page 32]]
locomotives, a description of the basic locomotive designs to which the
remanufacture system will be applied. Include in your description, a
list of distinguishable configurations to be included in the engine
family. Note whether you are requesting a certificate that will or will
not cover idle controls.
(2) An explanation of how the emission control system operates,
including detailed descriptions of:
(i) All emission control system components.
(ii) Injection or ignition timing for each notch (i.e., degrees
before or after top-dead-center), and any functional dependence of such
timing on other operational parameters (e.g., engine coolant
temperature).
(iii) Each auxiliary emission control device (AECD).
(iv) All fuel system components to be installed on any production or
test locomotives.
(v) Diagnostics.
(3) A description of the test locomotive.
(4) A description of the test equipment and fuel used. Identify any
special or alternate test procedures you used.
(5) A description of the operating cycle and the period of operation
necessary to accumulate service hours on the test locomotive and
stabilize emission levels. You may also include a Green Engine Factor
that would adjust emissions from zero-hour engines to be equivalent to
stabilized engines.
(6) A description of all adjustable operating parameters (including,
but not limited to, injection timing and fuel rate), including the
following:
(i) The nominal or recommended setting and the associated production
tolerances.
(ii) The intended adjustable range, and the physically adjustable
range.
(iii) The limits or stops used to limit adjustable ranges.
(iv) Production tolerances of the limits or stops used to establish
each physically adjustable range.
(v) Information relating to why the physical limits or stops used to
establish the physically adjustable range of each parameter, or any
other means used to inhibit adjustment, are the most effective means
possible of preventing adjustment of parameters to settings outside your
specified adjustable ranges on in-use engines.
(7) Projected U.S. production information for each configuration. If
you are projecting substantially different sales of a configuration than
you had previously, we may require you to explain why you are projecting
the change.
(8)(i) All test data you obtained for each test engine or
locomotive. As described in Sec. 1033.235, we may allow you to
demonstrate compliance based on results from previous emission tests,
development tests, or other testing information. Include data for NOx,
PM, HC, CO, and CO2.
(ii) Report measured CO2, N2O, and
CH4 as described in Sec. 1033.235. Small manufacturers/
remanufacturers may omit reporting N2O and CH4.
(9) The intended deterioration factors for the engine family, in
accordance with Sec. 1033.245. If the deterioration factors for the
engine family were developed using procedures that we have not
previously approved, you should request preliminary approval under Sec.
1033.210.
(10) The intended useful life period for the engine family, in
accordance with Sec. 1033.101(g). If the useful life for the engine
family was determined using procedures that we have not previously
approved, you should request preliminary approval under Sec. 1033.210.
(11) Copies of your proposed emission control label(s), maintenance
instructions, and installation instructions (where applicable).
(12) An unconditional statement declaring that all locomotives
included in the engine family comply with all requirements of this part
and the Clean Air Act.
(e) If we request it, you must supply such additional information as
may be required to evaluate the application.
(f) Provide the information to read, record, and interpret all the
information broadcast by a locomotive's onboard computers and electronic
control units. State that, upon request, you will give us any hardware,
software, or tools we would need to do this. You may reference any
appropriate publicly
[[Page 33]]
released standards that define conventions for these messages and
parameters. Format your information consistent with publicly released
standards.
(g) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1033.725 if you
participate in the ABT program.
(h) Include other applicable information, such as information
specified in this part or part 1068 of this chapter related to requests
for exemptions.
(i) 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.
(j) For imported locomotives, we may require you to describe your
expected importation process.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 56508, Oct. 30, 2008]
Sec. 1033.210 Preliminary approval.
(a) If you send us information before you finish the application, we
will review it and make any appropriate determinations for questions
related to engine family definitions, auxiliary emission-control
devices, deterioration factors, testing for service accumulation,
maintenance, and useful lives.
(b) 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.
(c) 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 three years ahead of time.
(d) You must obtain preliminary approval for your plan to develop
deterioration factors prior to the start of any service accumulation to
be used to develop the factors.
Sec. 1033.220 Amending maintenance instructions.
You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 1033.125.
You must send the Designated Compliance Officer a request to amend your
application for certification for an engine 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 owners/operators follow the original
maintenance instructions rather than the newly specified maintenance,
this does not allow you to disqualify those locomotives from in-use
testing or deny a warranty claim.
(a) If you are decreasing or eliminating any of the specified
maintenance, you may distribute the new maintenance instructions to your
customers 30 days after we receive your request, unless we disapprove
your request. This would generally include replacing one maintenance
step with another. We may approve a shorter time or waive this
requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions anytime
after you send your request. For example, this paragraph (b) would cover
adding instructions to increase the frequency of filter changes for
locomotives in severe-duty applications.
(c) You do not need to 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).
[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]
[[Page 34]]
Sec. 1033.225 Amending applications for certification.
Before we issue you a certificate of conformity, you may amend your
application to include new or modified locomotive 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 locomotive configurations
within the scope of the certificate, subject to the provisions of this
section. You must also amend your application if any changes occur with
respect to any information that is included or should be included in
your application. For example, you must amend your application if you
determine that your actual production variation for an adjustable
parameter exceeds the tolerances specified in your application.
(a) You must amend your application before you take either of the
following actions:
(1) Add a locomotive configuration to an engine family. In this
case, the locomotive added must be consistent with other locomotives in
the engine family with respect to the criteria listed in Sec. 1033.230.
For example, you must amend your application if you want to produce 12-
cylinder versions of the 16-cylinder locomotives you described in your
application.
(2) Change a locomotive already included in an engine family in a
way that may affect emissions, or change any of the components you
described in your application for certification. This includes
production and design changes that may affect emissions any time during
the locomotive's lifetime. For example, you must amend your application
if you want to change a part supplier if the part was described in your
original application and is different in any material respect than the
part you described.
(3) Modify an FEL for an engine family as described in paragraph (f)
of this section.
(b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the locomotive
model or configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended
engine family complies with all applicable requirements. You may do this
by showing that the original emission-data locomotive is still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission-data locomotive for the engine family
is not appropriate to show compliance for the new or modified
locomotive, include new test data showing that the new or modified
locomotive meets the requirements of this part.
(4) Include any other information needed to make your application
correct and complete.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified locomotive. You may ask for a
hearing if we deny your request (see Sec. 1033.920).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified locomotive
anytime after you send us your amended application, before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected locomotives do not meet applicable requirements, we
will notify you to cease production of the locomotives and may require
you to recall the locomotives at no expense to the owner. Choosing to
produce locomotives under this paragraph (e) is deemed to be consent to
recall all locomotives 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 locomotives.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The
[[Page 35]]
changed FEL may not apply to locomotives 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
locomotives produced after the change. You may ask us to approve a
change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to meet
the emission standards as specified in subparts B and H of this part. If
you amend your application by submitting new test data to include a
newly added or modified locomotive, as described in paragraph (b)(3) of
this section, use the appropriate FELs with corresponding production
volumes to calculate emission credits for the model year, as described
in subpart H of this part. In all other circumstances, you must use the
higher FEL for the entire family to calculate emission credits under
subpart H of this part.
(2) You may ask to lower the FEL for your emission family only if
you have test data from production locomotives showing that emissions
are below the proposed lower FEL. The lower FEL applies only to engines
or fuel-system components 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.
(g) You may produce engines as described in your amended application
for certification and consider those engines to be in a certified
configuration if we approve a new or modified engine configuration
during the model year under paragraph (d) of this section. Similarly,
you may modify in-use engines as described in your amended application
for certification and consider those engines to be in a certified
configuration if we approve a new or modified engine configuration at
any time under paragraph (d) of this section. Modifying a new or in-use
engine to be in a certified configuration does not violate the tampering
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve
changing to a certified configuration with a higher family emission
limit.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010;
81 FR 74005, Oct. 25, 2016]
Sec. 1033.230 Grouping locomotives into engine families.
(a) Divide your product line into engine families of locomotives
that are expected to have similar emission characteristics throughout
the useful life. Your engine family is limited to a single model year.
Freshly manufactured locomotives may not be included in the same engine
family as remanufactured locomotives, except as allowed by paragraph (f)
of this section. Paragraphs (b) and (c) of this section specify default
criteria for dividing locomotives into engine families. Paragraphs (d)
and (e) of this section allow you deviate from these defaults in certain
circumstances.
(b) This paragraph (b) applies for all locomotives other than Tier 0
locomotives. Group locomotives in the same engine family if they are the
same in all the following aspects:
(1) The combustion cycle (e.g., diesel cycle).
(2) The type of engine cooling employed and procedure(s) employed to
maintain engine temperature within desired limits (thermostat, on-off
radiator fan(s), radiator shutters, etc.).
(3) The nominal bore and stroke dimensions.
(4) The approximate intake and exhaust event timing and duration
(valve or port).
(5) The location of the intake and exhaust valves (or ports).
(6) The size of the intake and exhaust valves (or ports).
(7) The overall injection or ignition timing characteristics (i.e.,
the deviation of the timing curves from the optimal fuel economy timing
curve must be similar in degree).
(8) The combustion chamber configuration and the surface-to-volume
ratio of the combustion chamber when the piston is at top dead center
position, using nominal combustion chamber dimensions.
(9) The location of the piston rings on the piston.
[[Page 36]]
(10) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
(11) The general performance characteristics of the turbocharger or
supercharger (e.g., approximate boost pressure, approximate response
time, approximate size relative to engine displacement).
(12) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
(13) The intake manifold induction port size and configuration.
(14) The type of fuel and fuel system configuration.
(15) The configuration of the fuel injectors and approximate
injection pressure.
(16) The type of fuel injection system controls (i.e., mechanical or
electronic).
(17) The type of smoke control system.
(18) The exhaust manifold port size and configuration.
(19) The type of exhaust aftertreatment system (oxidation catalyst,
particulate trap), and characteristics of the aftertreatment system
(catalyst loading, converter size vs. engine size).
(c) Group Tier 0 locomotives in the same engine family if they are
the same in all the following aspects:
(1) The combustion cycle (e.g., diesel cycle).
(2) The type of engine cooling employed and procedure(s) employed to
maintain engine temperature within desired limits (thermostat, on-off
radiator fan(s), radiator shutters, etc.).
(3) The approximate bore and stroke dimensions.
(4) The approximate location of the intake and exhaust valves (or
ports).
(5) The combustion chamber general configuration and the approximate
surface-to-volume ratio of the combustion chamber when the piston is at
top dead center position, using nominal combustion chamber dimensions.
(6) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
(7) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
(8) The type of fuel and general fuel system configuration.
(9) The general configuration of the fuel injectors and approximate
injection pressure.
(10) The type of fuel injection system control (electronic or
mechanical).
(d) You may subdivide a group of locomotives that is identical under
paragraph (b) or (c) of this section into different engine families if
you show the expected emission characteristics are different during the
useful life. This allowance also covers locomotives for which only
calculated emission rates differ, such as locomotives with and without
energy-saving design features. For the purposes of determining whether
an engine family is a small engine family in Sec. 1033.405(a)(2), we
will consider the number of locomotives that could have been classed
together under paragraph (b) or (c) of this section, instead of the
number of locomotives that are included in a subdivision allowed by this
paragraph (d).
(e) In unusual circumstances, you may group locomotives that are not
identical with respect to the things listed in paragraph (b) or (c) of
this section in the same engine family if you show that their emission
characteristics during the useful life will be similar.
(f) During the first six calendar years after a new tier of
standards becomes applicable, remanufactured engines/locomotives may be
included in the same engine family as freshly manufactured locomotives,
provided the same engines and emission controls are used for locomotive
models included in the engine family.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
Sec. 1033.235 Emission testing required for certification.
This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. 1033.101.
(a) Select an emission-data locomotive (or engine) from each engine
family for testing. It may be a low mileage locomotive, or a development
engine (that is equivalent in design to the engines of the locomotives
being certified), or another low hour engine.
[[Page 37]]
Use good engineering judgment to select the locomotive configuration
that is most likely to exceed (or have emissions nearest to) an
applicable emission standard or FEL. In making this selection, consider
all factors expected to affect emission control performance and
compliance with the standards, including emission levels of all exhaust
constituents, especially NOX and PM.
(b) Test your emission-data locomotives using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
locomotives, measure emissions when operating with each type of fuel for
which you intend to certify the locomotive. In the case of flexible-fuel
locomotives, measure emissions when operating with the fuel mixture that
best represents in-use operation or is most likely to have the highest
NOX emissions, though you may ask us instead to perform tests
with both fuels separately if you can show that intermediate mixtures
are not likely to occur in use.
(c) We may perform confirmatory testing by measuring emissions from
any of your emission-data locomotives or other locomotives from the
engine family.
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the locomotive to a test
facility we designate. If we do the testing at your plant, you must
schedule it as soon as possible and make available the instruments,
personnel, and equipment we need.
(2) If we measure emissions from one of your locomotives, the
results of that testing become the official emission results for the
locomotive. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets applicable
requirements.
(3) Before we test one of your locomotives, we may set its
adjustable parameters to any point within the adjustable ranges (see
Sec. 1033.115(b)).
(4) Before we test one of your locomotives, we may calibrate it
within normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for a parameter that
is subject to production variability because it is adjustable during
production, but is not considered an adjustable parameter (as defined in
Sec. 1033.901) because it is permanently sealed.
(d) You may ask to use carryover emission data from a previous model
year instead of doing new tests if all the following are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year, items identified
in Sec. 1033.225(a), or other factors not related to emissions. We may
waive this criterion for differences we determine not to be relevant.
(2) The emission-data locomotive from the previous model year
remains the appropriate emission-data locomotive under paragraph (b) of
this section.
(3) The data show that the emission-data locomotive would meet all
the requirements that apply to the engine family covered by the
application for certification.
(e) You may ask to use emission data from a different engine family
you have already certified instead of testing a locomotive in the second
engine family if all the following are true:
(1) The same engine is used in both engine families.
(2) You demonstrate to us that the differences in the two families
are sufficiently small that the locomotives in the untested family will
meet the same applicable notch standards calculated from the test data.
(f) We may require you to test a second locomotive of the same or
different configuration in addition to the locomotive tested under
paragraph (b) of this section.
(g) 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.
(h) The requirement to measure smoke emissions is waived for
certification and production line testing, except where there is reason
to believe your locomotives do not meet the applicable smoke standards.
[[Page 38]]
(i) Measure CO2 with each test. Measure CH4
with each low-hour certification test using the procedures specified in
40 CFR part 1065 starting in the 2012 model year. Also measure
N2O with each low-hour certification test using the
procedures specified in 40 CFR part 1065 for any engine family that
depends on NOx aftertreatment to meet emission standards. Small
manufacturers/remanufacturers may omit measurement of N2O and
CH4. Use the same units and modal calculations as for your
other results to report a single weighted value for CO2,
N2O, and CH4. Round the final values as follows:
(1) Round CO2 to the nearest 1 g/bhp-hr.
(2) Round N2O to the nearest 0.001 g/bhp-hr.
(3) Round CH4 to the nearest 0.001g/bhp-hr.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22984, Apr. 30, 2010; 81 FR 74005, Oct. 25, 2016]
Sec. 1033.240 Demonstrating compliance with exhaust emission standards.
(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1033.101 if all emission-data locomotives representing that family have
test results showing official emission results and deteriorated emission
levels at or below these standards.
(1) If you include your locomotive in the ABT program in subpart H
of this part, your FELs are considered to be the applicable emission
standards with which you must comply.
(2) If you do not include your remanufactured locomotive in the ABT
program in subpart H of this part, but it was previously included in the
ABT program in subpart H of this part, the previous FELs are considered
to be the applicable emission standards with which you must comply.
(b) Your engine family is deemed not to comply if any emission-data
locomotive representing that family has test results showing an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Use the following steps to
determine the deteriorated emission level for the test locomotive:
(1) Collect emission data using measurements with enough significant
figures to calculate the cycle-weighted emission rate to at least one
more decimal place than the applicable standard. Apply any applicable
humidity corrections before weighting emissions.
(2) Apply the regeneration factors if applicable. At this point the
emission rate is generally considered to be an official emission result.
(3) Apply the deterioration factor to the official emission result,
as described in Sec. 1033.245, then round the adjusted figure to the
same number of decimal places as the emission standard. This adjusted
value is the deteriorated emission level. Compare these emission levels
from the emission-data locomotive with the applicable emission
standards. In the case of NOX + NMHC standards, apply the
deterioration factor to each pollutant and then add the results before
rounding.
(4) The highest deteriorated emission levels for each pollutant are
considered to be the certified emission levels.
(c) An owner/operator remanufacturing its locomotives to be
identical to their previously certified configuration may certify by
design without new emission test data. To do this, submit the
application for certification described in Sec. 1033.205, but instead
of including test data, include a description of how you will ensure
that your locomotives will be identical in all material respects to
their previously certified condition. You may use reconditioned parts
consistent with good engineering judgment. You have all of the
liabilities and responsibilities of the certificate holder for
locomotives you certify under this paragraph.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
Sec. 1033.245 Deterioration factors.
Establish deterioration factors for each pollutant to determine
whether your locomotives will meet emission standards for each pollutant
throughout the useful life, as described in Sec. 1033.240. Determine
deterioration factors as described in this section, either with an
engineering analysis, with pre-
[[Page 39]]
existing test data, or with new emission measurements. The deterioration
factors are intended to reflect the deterioration expected to result
during the useful life of a locomotive maintained as specified in Sec.
1033.125. If you perform durability testing, the maintenance that you
may perform on your emission-data locomotive is limited to the
maintenance described in Sec. 1033.125. You may carry across a
deterioration factor from one engine family to another consistent with
good engineering judgment.
(a) Your deterioration factors must take into account any available
data from in-use testing with similar locomotives, consistent with good
engineering judgment. For example, it would not be consistent with good
engineering judgment to use deterioration factors that predict emission
increases over the useful life of a locomotive or locomotive engine that
are significantly less than the emission increases over the useful life
observed from in-use testing of similar locomotives.
(b) Apply deterioration factors as follows:
(1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (b)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor for a pollutant 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 locomotive at the selected test point by adding the factor to the
measured emissions. The deteriorated emission level is intended to
represent the highest emission level during the useful life. Thus, if
the factor is less than zero, use zero. Additive deterioration factors
must be specified to one more decimal place than the applicable
standard.
(2) Multiplicative deterioration factor for exhaust emissions. Use a
multiplicative deterioration factor if good engineering judgment calls
for the deterioration factor for a pollutant to be the ratio of exhaust
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that
controls emissions of a pollutant proportionally to engine-out
emissions, it is often appropriate to use a multiplicative deterioration
factor. Adjust the official emission results for each tested locomotive
at the selected test point by multiplying the measured emissions by the
deterioration factor. The deteriorated emission level is intended to
represent the highest emission level during the useful life. Thus, 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 locomotive-to-locomotive variability.
Multiplicative deterioration factors must be specified to one more
significant figure than the applicable standard.
(3) Sawtooth and other nonlinear deterioration patterns. The
deterioration factors described in paragraphs (b)(1) and (2) of this
section assume that the highest useful life emissions occur either at
the end of useful life or at the low-hour test point. The provisions of
this paragraph (b)(3) apply where good engineering judgment indicates
that the highest emissions over the useful life will occur between these
two points. For example, emissions may increase with service
accumulation until a certain maintenance step is performed, then return
to the low-hour emission levels and begin increasing again. Base
deterioration factors for locomotives with such emission patterns on the
difference between (or ratio of) the point at which the highest
emissions occur and the low-hour test point. Note that this applies for
maintenance-related deterioration only where we allow such critical
emission-related maintenance.
(4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel locomotives, apply deterioration factors separately
for each fuel type by measuring emissions with each fuel type at each
test point. You may accumulate service hours on a single emission-data
engine using the type of fuel or the fuel mixture expected to have the
highest combustion and exhaust temperatures; you may ask us to approve a
different fuel mixture if you demonstrate that a different criterion is
more appropriate.
[[Page 40]]
(5) Deterioration factor for crankcase emissions. If your engine
vents crankcase emissions to the exhaust or to the atmosphere, you must
account for crankcase emission deterioration, using good engineering
judgment. You may use separate deterioration factors for crankcase
emissions of each pollutant (either multiplicative or additive) or
include the effects in combined deterioration factors that include
exhaust and crankcase emissions together for each pollutant.
(c) Deterioration factors for smoke are always additive.
(d) If your locomotive vents crankcase emissions to the exhaust or
to the atmosphere, you must account for crankcase emission
deterioration, using good engineering judgment. You may use separate
deterioration factors for crankcase emissions of each pollutant (either
multiplicative or additive) or include the effects in combined
deterioration factors that include exhaust and crankcase emissions
together for each pollutant.
(e) Include the following information in your application for
certification:
(1) If you determine your deterioration factors based on test data
from a different engine family, explain why this is appropriate and
include all the emission measurements on which you base the
deterioration factor.
(2) If you determine your deterioration factors based on engineering
analysis, explain why this is appropriate and include a statement that
all data, analyses, evaluations, and other information you used are
available for our review upon request.
(3) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including a rationale for
selecting the service-accumulation period and the method you use to
accumulate hours.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]
Sec. 1033.250 Reporting and recordkeeping.
(a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about locomotives you produced during the model year:
(1) Report the total number of locomotives you produced in each
engine family by locomotive model and engine model.
(2) If you produced exempted locomotives, report the number of
exempted locomotives you produced for each locomotive model and identify
the buyer or shipping destination for each exempted locomotive. You do
not need to report under this paragraph (a)(2) locomotives that were
temporarily exempted, exported locomotives, locomotives exempted as
manufacturer/remanufacturer-owned locomotives, or locomotives exempted
as test locomotives.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1033.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data locomotive. For each
locomotive, describe all of the following:
(i) The emission-data locomotive's construction, including its
origin and buildup, steps you took to ensure that it represents
production locomotives, any components you built specially for it, and
all the components you include in your application for certification.
(ii) How you accumulated locomotive operating hours (service
accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
(iv) All your emission tests (valid and invalid), including the date
and purpose of each test and documentation of test parameters as
specified in part 40 CFR part 1065, and the date and purpose of each
test.
(v) All tests to diagnose locomotive or emission control
performance, giving the date and time of each and the reasons for the
test.
(vi) Any other significant events.
(4) If you test a development engine for certification, you may omit
information otherwise required by paragraph (b)(3) of this section that
is unrelated to emissions and emission-related components.
[[Page 41]]
(5) Production figures for each engine family divided by assembly
plant.
(6) Keep a list of locomotive identification numbers for all the
locomotives you produce under each certificate of conformity.
(c) Keep required data from emission tests and all other information
specified in this section for eight years after we issue your
certificate. If you use the same emission data or other information for
a later model year, the eight-year period restarts with each year that
you continue to rely on the information.
(d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we ask
for them. You must keep these records readily available. We may review
them at any time.
(e) Send us copies of any locomotive maintenance instructions or
explanations if we ask for them.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]
Sec. 1033.255 EPA decisions.
(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Clean Air
Act, we will issue a certificate of conformity for your engine family
for that model year. We may make the approval subject to additional
conditions.
(b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or other
requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce locomotives for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all locomotives being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also violations
of 40 CFR 1068.101(a)(2).
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1033.920).
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010;
81 FR 74006, Oct. 25, 2016]
Subpart D_Manufacturer and Remanufacturer Production Line Testing and
Audit Programs
Sec. 1033.301 Applicability.
The requirements of this part apply to manufacturers/remanufacturers
of locomotives certified under this part, with the following exceptions:
(a) The requirements of Sec. Sec. 1033.310, 1033.315, 1033.320, and
1033.330 apply only to manufacturers of freshly manufactured locomotives
or locomotive engines (including those used for repowering). We may also
apply these requirements to remanufacturers of any locomotives for which
there is reason to believe production problems exist that could affect
emission performance. When we make a determination that production
problems may
[[Page 42]]
exist that could affect emission performance, we will notify the
remanufacturer(s). The requirements of Sec. Sec. 1033.310, 1033.315,
1033.320, and 1033.330 will apply as specified in the notice.
(b) The requirements of Sec. 1033.335 apply only to
remanufacturers.
(c) As specified in Sec. 1033.1(d), we may apply the requirements
of this subpart to manufacturers/remanufacturers that do not certify the
locomotives. However, unless we specify otherwise, the requirements of
this subpart apply to manufacturers/remanufacturers that hold the
certificates for the locomotives.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]
Sec. 1033.305 General requirements.
(a) Manufacturers (and remanufacturers, where applicable) are
required to test production line locomotives using the test procedures
specified in Sec. 1033.315. While this subpart refers to locomotive
testing, you may ask to test locomotive engines instead of testing
locomotives.
(b) Remanufacturers are required to conduct audits according to the
requirements of Sec. 1033.335 to ensure that remanufactured locomotives
comply with the requirements of this part.
(c) If you certify an engine family with carryover emission data, as
described in Sec. 1033.235, and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. If we reduce your
testing rate, we may limit our approval to any number of model years. In
determining whether to approve your request, we may consider the number
of locomotives that have failed emission tests.
(d) You may ask to use an alternate program or measurement method
for testing production-line engines. In your request, you must show us
that the alternate program gives equal assurance that your engines meet
the requirements of this part. We may waive some or all of this
subpart's requirements if we approve your alternate program.
Sec. 1033.310 Sample selection for testing.
(a) At the start of each model year, begin randomly selecting
locomotives from each engine family for production line testing at a
rate of one percent. Make the selection of the test locomotive after it
has been assembled. Perform the testing throughout the entire model year
to the extent possible, unless we specify a different schedule for your
tests. For example, we may require you to disproportionately select
locomotives from the early part of a model year for a new locomotive
model that has not been subject to PLT previously.
(1) The required sample size for an engine family (provided that no
locomotive tested fails to meet applicable emission standards) is the
lesser of five tests per model year or one percent of projected annual
production, with a minimum sample size for an engine family of one test
per model year. See paragraph (d) of this section to determine the
required number of test locomotives if any locomotives fail to comply
with any standards.
(2) You may elect to test additional locomotives. All additional
locomotives must be tested in accordance with the applicable test
procedures of this part.
(b) You must assemble the test locomotives using the same production
process that will be used for locomotives to be introduced into
commerce. You may ask us to allow special assembly procedures for
catalyst-equipped locomotives.
(c) Unless we approve it, you may not use any quality control,
testing, or assembly procedures that you do not use during the
production and assembly of all other locomotives of that family. This
applies for any test locomotive or any portion of a locomotive,
including engines, parts, and subassemblies.
(d) If one or more locomotives fail a production line test, then you
must test two additional locomotives from the next fifteen produced in
that engine family for each locomotive that fails. These two additional
locomotives do not count towards your minimum number of locomotives. For
example, if you are required to test a minimum of four locomotives under
paragraph (a) of this section and the second locomotive
[[Page 43]]
fails to comply with one or more standards, then you must test two
additional locomotives from the next fifteen produced in that engine
family. If both of those locomotives pass all standards, you are
required to test two additional locomotives to complete the original
minimum number of four. If they both pass, you are done with testing for
that family for the year since you tested six locomotives (the four
originally required plus the two additional locomotives).
Sec. 1033.315 Test procedures.
(a) Test procedures. Use the test procedures described in subpart F
of this part, except as specified in this section.
(1) You may ask to use other test procedures. We will approve your
request if we determine that it is not possible to perform satisfactory
testing using the specified procedures. We may also approve alternate
test procedures under Sec. 1033.305(d).
(2) If you used test procedures other than those in subpart F of
this part during certification for the engine family (other than
alternate test procedures necessary for testing a development engine or
a low hour engine instead of a low mileage locomotive), use the same
test procedures for production line testing that you used in
certification.
(b) Modifying a test locomotive. Once an engine is selected for
testing, you may adjust, repair, maintain, or modify it or check its
emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Adjustable parameters. (1) Confirm that adjustable parameters
are set to values or positions that are within the range recommended to
the ultimate purchaser.
(2) We may require to be adjusted any adjustable parameter to any
setting within the specified adjustable range of that parameter prior to
the performance of any test.
(d) Stabilizing emissions. You may stabilize emissions from the
locomotives to be tested through service accumulation by running the
engine through a typical duty cycle. Emissions are considered stabilized
after 300 hours of operation. You may accumulate fewer hours, consistent
with good engineering judgment. You may establish a Green Engine Factor
for each regulated pollutant for each engine family, instead of (or in
combination with) accumulating actual operation, to be used in
calculating emissions test results. You must obtain our approval prior
to using a Green Engine Factor. For catalyst-equipped locomotives, you
may operate the locomotive for up to 1000 hours (in revenue or other
service) prior to testing.
(e) Adjustment after shipment. If a locomotive is shipped to a
facility other than the production facility for production line testing,
and an adjustment or repair is necessary because of such shipment, you
may perform the necessary adjustment or repair only after the initial
test of the locomotive, unless we determine that the test would be
impossible to perform or would permanently damage the locomotive.
(f) Malfunctions. If a locomotive cannot complete the service
accumulation or an emission test because of a malfunction, you may
request that we authorize either the repair of that locomotive or its
deletion from the test sequence.
(g) Retesting. If you determine that any production line emission
test of a locomotive is invalid, you must retest it in accordance with
the requirements of this subpart. Report emission results from all tests
to us, including test results you determined are invalid. You must also
include a detailed explanation of the reasons for invalidating any test
in the quarterly report required in Sec. 1033.320(e). In the event a
retest is performed, you may ask us within ten days of the end of the
production quarter for permission to substitute the after-repair test
results for the original test results. We will respond to the request
within ten working days of our receipt of the request.
[[Page 44]]
Sec. 1033.320 Calculation and reporting of test results.
(a) Calculate initial test results using the applicable test
procedure specified in Sec. 1033.315(a). Include applicable non-
deterioration adjustments such as a Green Engine Factor or regeneration
adjustment factor. Round the results to one more decimal place than the
applicable emission standard.
(b) If you conduct multiple tests on any locomotives, calculate
final test results by summing the initial test results derived in
paragraph (a) of this section for each test locomotive, dividing by the
number of tests conducted on the locomotive, and rounding to one more
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us to allow you to exclude an initial
failed test if all of the following are true:
(1) The catalyst was in a green condition when tested initially.
(2) The locomotive met all emission standards when retested after
degreening the catalyst.
(3) No additional emission-related maintenance or repair was
performed between the initial failed test and the subsequent passing
test.
(c) Calculate the final test results for each test locomotive by
applying the appropriate deterioration factors, derived in the
certification process for the engine family, to the final test results,
and rounding to one more decimal place than the applicable emission
standard.
(d) If, subsequent to an initial failure of a production line test,
the average of the test results for the failed locomotive and the two
additional locomotives tested, is greater than any applicable emission
standard or FEL, the engine family is deemed to be in non-compliance
with applicable emission standards, and you must notify us within ten
working days of such noncompliance.
(e) Within 45 calendar days of the end of each quarter, you must
send to the Designated Compliance Officer a report with the following
information:
(1) The location and description of the emission test facilities
which you used to conduct your testing.
(2) Total production and sample size for each engine family tested.
(3) The applicable standards against which each engine family was
tested.
(4) For each test conducted, include all of the following:
(i) A description of the test locomotive, including:
(A) Configuration and engine family identification.
(B) Year, make, and build date.
(C) Engine identification number.
(D) Number of megawatt-hours (or miles if applicable) of service
accumulated on locomotive prior to testing.
(E) Description of Green Engine Factor; how it is determined and how
it is applied.
(ii) Location(s) where service accumulation was conducted and
description of accumulation procedure and schedule, if applicable. If
the locomotive was introduced into service between assembly and testing,
you are only required to summarize the service accumulation, rather than
identifying specific locations.
(iii) Test number, date, test procedure used, initial test results
before and after rounding, and final test results for all production
line emission tests conducted, whether valid or invalid, and the reason
for invalidation of any test results, if applicable.
(iv) A complete description of any adjustment, modification, repair,
preparation, maintenance, and testing which was performed on the test
locomotive, has not been reported pursuant to any other paragraph of
this subpart, and will not be performed on other production locomotives.
(v) Any other information we may ask you to add to your written
report so we can determine whether your new engines conform with the
requirements of this part.
(5) For each failed locomotive as defined in Sec. 1033.330(a), a
description of the remedy and test results for all retests as required
by Sec. 1033.340(g).
(6) The following signed statement and endorsement by an authorized
representative of your company:
We submit this report under sections 208 and 213 of the Clean Air
Act. Our production-line testing conformed completely with the
requirements of 40 CFR part 1033. We have not changed production
processes or quality-control procedures for the test locomotives in a
way that might affect emission controls. All the information in this
report is true and
[[Page 45]]
accurate to the best of my knowledge. I know of the penalties for
violating the Clean Air Act and the regulations. (Authorized Company
Representative)
[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]
Sec. 1033.325 Maintenance of records; submittal of information.
(a) You must establish, maintain, and retain the following
adequately organized and indexed test records:
(1) A description of all equipment used to test locomotives. The
equipment requirements in subpart F of this part apply to tests
performed under this subpart. Maintain these records for each test cell
that can be used to perform emission testing under this subpart.
(2) Individual test records for each production line test or audit
including:
(i) The date, time, and location of each test or audit.
(ii) The method by which the Green Engine Factor was calculated or
the number of hours of service accumulated on the test locomotive when
the test began and ended.
(iii) The names of all supervisory personnel involved in the conduct
of the production line test or audit;
(iv) A record and description of any adjustment, repair, preparation
or modification performed on test locomotives, giving the date,
associated time, justification, name(s) of the authorizing personnel,
and names of all supervisory personnel responsible for the conduct of
the action.
(v) If applicable, the date the locomotive was shipped from the
assembly plant, associated storage facility or port facility, and the
date the locomotive was received at the testing facility.
(vi) A complete record of all emission tests or audits performed
under this subpart (except tests performed directly by us), including
all individual worksheets and/or other documentation relating to each
test, or exact copies thereof, according to the record requirements
specified in subpart F of this part and 40 CFR part 1065.
(vii) A brief description of any significant events during testing
not otherwise described under this paragraph (a)(2), commencing with the
test locomotive selection process and including such extraordinary
events as engine damage during shipment.
(b) Keep all records required to be maintained under this subpart
for a period of eight years after completion of all testing. Store these
records in any format and on any media, as long as you can promptly
provide to us organized, written records in English if we ask for them
and all the information is retained.
(c) Send us the following information with regard to locomotive
production if we ask for it:
(1) Projected production for each configuration within each engine
family for which certification has been requested and/or approved.
(2) Number of locomotives, by configuration and assembly plant,
scheduled for production.
(d) Nothing in this section limits our authority to require you to
establish, maintain, keep or submit to us information not specified by
this section. We may also ask you to send less information.
(e) Send all reports, submissions, notifications, and requests for
approval made under this subpart to the Designated Compliance Officer
using an approved format.
(f) You must keep a copy of all reports submitted under this
subpart.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
Sec. 1033.330 Compliance criteria for production line testing.
There are two types of potential failures: failure of an individual
locomotive to comply with the standards, and a failure of an engine
family to comply with the standards.
(a) A failed locomotive is one whose final test results pursuant to
Sec. 1033.320(c), for one or more of the applicable pollutants, exceed
an applicable emission standard or FEL.
(b) An engine family is deemed to be in noncompliance, for purposes
of this subpart, if at any time throughout the model year, the average
of an initial failed locomotive and the two additional locomotives
tested, is greater than any applicable emission standard or FEL.
[[Page 46]]
Sec. 1033.335 Remanufactured locomotives: installation audit
requirements.
The section specifies the requirements for certifying
remanufacturers to audit the remanufacture of locomotives covered by
their certificates of conformity for proper components, component
settings and component installations on randomly chosen locomotives in
an engine family.
(a) You must ensure that all emission related components are
properly installed on the locomotive and are set to the proper
specification as indicated in your instructions. You may submit audits
performed by the owners/operators of the locomotives, provided the
audits are performed in accordance with the provisions of this section.
We may require that you obtain affidavits for audits performed by
owners/operators.
(b) Audit at least five percent of your annual production per model
year per installer or ten per engine family per installer, whichever is
less. You must perform more audits if there are any failures. Randomly
select the locomotives to be audited after the remanufacture is
complete. We may allow you to select locomotives prior to the completion
of the remanufacture, if the preselection would not have the potential
to affect the manner in which the locomotive was remanufactured (e.g.,
where the installer is not aware of the selection prior to the
completion of the remanufacture). Unless we specify otherwise, you are
not required to audit installers that remanufacture fewer than 10
locomotives per year under your certificates (combined for all of your
engine families).
(c) The audit should be completed as soon as is practical after the
remanufacture is complete. In no case may the remanufactured locomotive
accumulate more than 45,000 miles prior to an audit.
(d) A locomotive fails if any emission related components are found
to be improperly installed, improperly adjusted or incorrectly used.
(e) If a remanufactured locomotive fails an audit, then you must
audit two additional locomotives from the next ten remanufactured in
that engine family by that installer.
(f) An engine family is determined to have failed an audit, if at
any time during the model year, you determine that the three locomotives
audited are found to have had any improperly installed, improperly
adjusted or incorrectly used components. You must notify us within 2
working days of a determination of an engine family audit failure.
(g) Within 45 calendar days of the end of each quarter, the
remanufacturer must send the Designated Compliance Officer a report
which includes the following information:
(1) The location and description of your audit facilities which were
utilized to conduct auditing reported pursuant to this section;
(2) Total production and sample size for each engine family;
(3) The applicable standards and/or FELs against which each engine
family was audited;
(4) For each audit conducted:
(i) A description of the audited locomotive, including:
(A) Configuration and engine family identification;
(B) Year, make, build date, and remanufacture date; and
(C) Locomotive and engine identification numbers;
(ii) Any other information we request relevant to the determination
whether the new locomotives being remanufactured do in fact conform with
the regulations with respect to which the certificate of conformity was
issued;
(5) For each failed locomotive as defined in paragraph (d) of this
section, a description of the remedy as required by Sec. 1033.340(g);
(6) The following signed statement and endorsement by your
authorized representative:
We submit this report under sections 208 and 213 of the Clean Air
Act. Our production-line auditing conformed completely with the
requirements of 40 CFR part 1033. We have not changed production
processes or quality-control procedures for the audited locomotives in a
way that might affect emission controls. All the information in this
report is true and accurate to the best of my knowledge. I know of the
penalties for violating the Clean Air Act and the regulations.
(Authorized Company Representative)
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
[[Page 47]]
Sec. 1033.340 Suspension and revocation of certificates of conformity.
(a) A certificate can be suspended for an individual locomotive as
follows:
(1) The certificate of conformity is automatically suspended for any
locomotive that fails a production line test pursuant to Sec.
1033.330(a), effective from the time the testing of that locomotive is
completed.
(2) The certificate of conformity is automatically suspended for any
locomotive that fails an audit pursuant to Sec. 1033.335(d), effective
from the time that auditing of that locomotive is completed.
(b) A certificate can be suspended for an engine family as follows:
(1) We may suspend the certificate of conformity for an engine
family that is in noncompliance pursuant to Sec. 1033.330(b), thirty
days after the engine family is deemed to be in noncompliance.
(2) We may suspend the certificate of conformity for an engine
family that is determined to have failed an audit pursuant to Sec.
1033.335(f). This suspension will not occur before thirty days after the
engine family is deemed to be in noncompliance.
(c) If we suspend your certificate of conformity for an engine
family, the suspension may apply to all facilities producing engines
from an engine family, even if you find noncompliant engines only at one
facility.
(d) We may revoke a certificate of conformity for any engine family
in whole or in part if:
(1) You fail to comply with any of the requirements of this subpart.
(2) You submit false or incomplete information in any report or
information provided to us under this subpart.
(3) You render inaccurate any test data submitted under this
subpart.
(4) An EPA enforcement officer is denied the opportunity to conduct
activities authorized in this subpart.
(5) An EPA enforcement officer is unable to conduct authorized
activities for any reason.
(e) We will notify you in writing of any suspension or revocation of
a certificate of conformity in whole or in part; a suspension or
revocation is effective upon receipt of such notification or thirty days
from the time a locomotive or engine family is deemed to be in
noncompliance under Sec. Sec. 1033.320(d), 1033.330(a), 1033.330(b), or
1033.335(f) is made, whichever is earlier, except that the certificate
is immediately suspended with respect to any failed locomotives as
provided for in paragraph (a) of this section.
(f) We may revoke a certificate of conformity for an engine family
when the certificate has been suspended under paragraph (b) or (c) of
this section if the remedy is one requiring a design change or changes
to the locomotive, engine and/or emission control system as described in
the application for certification of the affected engine family.
(g) Once a certificate has been suspended for a failed locomotive,
as provided for in paragraph (a) of this section, you must take all the
following actions before the certificate is reinstated for that failed
locomotive:
(1) Remedy the nonconformity.
(2) Demonstrate that the locomotive conforms to applicable standards
or family emission limits by retesting, or reauditing if applicable, the
locomotive in accordance with this part.
(3) Submit a written report to us after successful completion of
testing (or auditing, if applicable) on the failed locomotive, which
contains a description of the remedy and testing (or auditing) results
for each locomotive in addition to other information that may be
required by this part.
(h) Once a certificate for a failed engine family has been suspended
pursuant to paragraph (b) or (c) of this section, you must take the
following actions before we will consider reinstating the certificate:
(1) Submit a written report to us identifying the reason for the
noncompliance of the locomotives, describing the remedy, including a
description of any quality control measures you will use to prevent
future occurrences of the problem, and stating the date on which the
remedies will be implemented.
(2) Demonstrate that the engine family for which the certificate of
conformity has been suspended does in fact comply with the regulations
of this
[[Page 48]]
part by testing (or auditing) locomotives selected from normal
production runs of that engine family. Such testing (or auditing) must
comply with the provisions of this subpart. If you elect to continue
testing (or auditing) individual locomotives after suspension of a
certificate, the certificate is reinstated for any locomotive actually
determined to be in conformance with the applicable standards or family
emission limits through testing (or auditing) in accordance with the
applicable test procedures, provided that we have not revoked the
certificate under paragraph (f) of this section.
(i) If the certificate has been revoked for an engine family, you
must take the following actions before we will issue a certificate that
would allow you to continue introduction into commerce of a modified
version of that family:
(1) If we determine that the change(s) in locomotive design may have
an effect on emission deterioration, we will notify you within five
working days after receipt of the report in paragraph (h) of this
section, whether subsequent testing/auditing under this subpart will be
sufficient to evaluate the change(s) or whether additional testing (or
auditing) will be required.
(2) After implementing the change or changes intended to remedy the
nonconformity, you must demonstrate that the modified engine family does
in fact conform with the regulations of this part by testing locomotives
(or auditing for remanufactured locomotives) selected from normal
production runs of that engine family. When both of these requirements
are met, we will reissue the certificate or issue a new certificate. If
this subsequent testing (or auditing) reveals failing data the
revocation remains in effect.
(j) At any time subsequent to an initial suspension of a certificate
of conformity for a test or audit locomotive pursuant to paragraph (a)
of this section, but not later than 30 days (or such other period as may
we allow) after the notification our decision to suspend or revoke a
certificate of conformity in whole or in part pursuant to this section,
you may request a hearing as to whether the tests or audits have been
properly conducted or any sampling methods have been properly applied.
(See Sec. 1033.920.)
(k) Any suspension of a certificate of conformity under paragraphs
(a) through (d) of this section will be made only after you have been
offered an opportunity for a hearing conducted in accordance with Sec.
1033.920. It will not apply to locomotives no longer in your possession.
(l) If we suspend, revoke, or void a certificate of conformity, and
you believe that our decision was based on erroneous information, you
may ask us to reconsider our decision before requesting a hearing. If
you demonstrate to our satisfaction that our decision was based on
erroneous information, we will reinstate the certificate.
(m) We may conditionally reinstate the certificate for that family
so that you do not have to store non-test locomotives while conducting
subsequent testing or auditing of the noncomplying family subject to the
following condition: you must commit to recall all locomotives of that
family produced from the time the certificate is conditionally
reinstated if the family fails subsequent testing, or auditing if
applicable, and must commit to remedy any nonconformity at no expense to
the owner.
Subpart E_In-use Testing
Sec. 1033.401 Applicability.
The requirements of this subpart are applicable to certificate
holders for locomotives subject to the provisions of this part. These
requirements may also be applied to other manufacturers/remanufacturers
as specified in Sec. 1033.1(d).
Sec. 1033.405 General provisions.
(a) Each year, we will identify engine families and configurations
within families that you must test according to the requirements of this
section.
(1) We may require you to test one engine family each year for which
you have received a certificate of conformity. If you are a manufacturer
that holds certificates of conformity for both freshly manufactured and
remanufactured locomotive engine families, we may require you to test
one freshly manufactured engine family
[[Page 49]]
and one remanufactured engine family. We may require you to test
additional engine families if we have reason to believe that locomotives
in such families do not comply with emission standards in use.
(2) For engine families of less than 10 locomotives per year, no in-
use testing will be required, unless we have reason to believe that
those engine families are not complying with the applicable emission
standards in use.
(b) Test a sample of in-use locomotives from an engine family, as
specified in Sec. 1033.415. We will use these data, and any other data
available to us, to determine the compliance status of classes of
locomotives, including for purposes of recall under 40 CFR part 1068,
and whether remedial action is appropriate.
Sec. 1033.410 In-use test procedure.
(a) You must test the complete locomotives; you may not test engines
that are not installed in locomotives at the time of testing.
(b) Test the locomotive according to the test procedures outlined in
subpart F of this part, except as provided in this section.
(c) Use the same test procedures for in-use testing as were used for
certification, except for cases in which certification testing was not
conducted with a locomotive, but with a development engine or other
engine. In such cases, we will specify deviations from the certification
test procedures as appropriate. We may allow or require other alternate
procedures, with advance approval.
(d) Set all adjustable locomotive or engine parameters to values or
positions that are within the range specified in the certificate of
conformity. We may require you to set these parameters to specific
values.
(e) We may waive a portion of the applicable test procedure that is
not necessary to determine in-use compliance.
Sec. 1033.415 General testing requirements.
(a) Number of locomotives to be tested. Determine the number of
locomotives to be tested by the following method:
(1) Test a minimum of 2 locomotives per engine family, except as
provided in paragraph (a)(2) of this section. You must test additional
locomotives if any locomotives fail to meet any standard. Test 2 more
locomotives for each failing locomotive, but stop testing if the total
number of locomotives tested equals 10.
(2) If an engine family has been certified using carryover emission
data from a family that has been previously tested under paragraph
(a)(1) of this section (and we have not ordered or begun to negotiate
remedial action of that family), you need to test only one locomotive
per engine family. If that locomotive fails to meet applicable standards
for any pollutant, testing for that engine family must be conducted as
outlined under paragraph (a)(1) of this section.
(3) You may ask us to allow you to test more locomotives than the
minimum number described above or you may concede failure before testing
10 locomotives.
(b) Compliance criteria. We will consider failure rates, average
emission levels and the existence of any defects among other factors in
determining whether to pursue remedial action. We may order a recall
pursuant to 40 CFR part 1068 before testing reaches the tenth
locomotive.
(c) Collection of in-use locomotives. Procure in-use locomotives
that have been operated for 50 to 75 percent of the locomotive's useful
life for testing under this subpart. Complete testing required by this
section for any engine family before useful life of the locomotives in
the engine family passes. (Note: Sec. 1033.820 specifies that railroads
must make reasonable efforts to enable you to perform this testing.)
Sec. 1033.420 Maintenance, procurement and testing of in-use
locomotives.
(a) A test locomotive must have a maintenance history that is
representative of actual in-use conditions, and identical or equivalent
to your recommended emission-related maintenance requirements.
(1) When procuring locomotives for in-use testing, ask the end users
about the accumulated usage, maintenance, operating conditions, and
storage of the test locomotives.
[[Page 50]]
(2) Your selection of test locomotives is subject to our approval.
Maintain the information you used to procure locomotives for in-use
testing in the same manner as is required in Sec. 1033.250.
(b) You may perform minimal set-to-spec maintenance on a test
locomotive before conducting in-use testing. Maintenance may include
only that which is listed in the owner's instructions for locomotives
with the amount of service and age of the acquired test locomotive.
Maintain documentation of all maintenance and adjustments.
(c) If the locomotive selected for testing is equipped with emission
diagnostics meeting the requirements in Sec. 1033.110 and the MIL is
illuminated, you may read the code and repair the malfunction according
to your emission-related maintenance instructions, but only to the
degree that an owner/operator would be required to repair the
malfunction under Sec. 1033.815.
(d) Results of at least one valid set of emission tests using the
test procedure described in subpart F of this part is required for each
in-use locomotive.
(e) If in-use testing results show that an in-use locomotive fails
to comply with any applicable emission standards, you must determine the
reason for noncompliance and report your findings in the quarterly in-
use test result report described in Sec. 1033.425.
Sec. 1033.425 In-use test program reporting requirements.
(a) Within 90 days of completion of testing, send us all emission
test results generated from the in-use testing program. Report all of
the following information for each locomotive tested:
(1) Engine family, and configuration.
(2) Locomotive and engine models.
(3) Locomotive and engine serial numbers.
(4) Date of manufacture or remanufacture, as applicable.
(5) Megawatt-hours of use (or miles, as applicable).
(6) Date and time of each test attempt.
(7) Results of all emission testing.
(8) Results (if any) of each voided or failed test attempt.
(9) Summary of all maintenance and/or adjustments performed.
(10) Summary of all modifications and/or repairs.
(11) Determinations of noncompliance.
(12) The following signed statement and endorsement by an authorized
representative of your company.
We submit this report under sections 208 and 213 of the Clean Air
Act. Our in-use testing conformed completely with the requirements of 40
CFR part 1033. All the information in this report is true and accurate
to the best of my knowledge. I know of the penalties for violating the
Clean Air Act and the regulations. (Authorized Company Representative)
(b) Report to us within 90 days of completion of testing the
following information for each engine family tested:
(1) The serial numbers of all locomotive that were excluded from the
test sample because they did not meet the maintenance requirements of
Sec. 1033.420.
(2) The owner of each locomotive identified in paragraph (b)(1) of
this section (or other entity responsible for the maintenance of the
locomotive).
(3) The specific reasons why the locomotives were excluded from the
test sample.
(c) Submit the information outlined in paragraphs (a) and (b) of
this section electronically using an approved format. We may exempt you
from this requirement upon written request with supporting
justification.
(d) Send all testing reports and requests for approvals to the
Designated Compliance Officer.
Subpart F_Test Procedures
Sec. 1033.501 General provisions.
(a) Except as specified in this subpart, use the equipment and
procedures for compression-ignition engines in 40 CFR part 1065 to
determine whether your locomotives meet the duty-cycle emission
standards in Sec. 1033.101. Use the applicable duty cycles specified in
this subpart. Measure emissions of all the pollutants we regulate in
Sec. 1033.101 plus CO2. Measure N2O, and
CH4 as described in Sec. 1033.235. The general test
procedure is the procedure specified in 40 CFR part 1065 for steady-
state discrete-mode
[[Page 51]]
cycles. However, if you use the optional ramped modal cycle in Sec.
1033.520, follow the procedures for ramped modal testing in 40 CFR part
1065. The following exceptions from the 1065 procedures apply:
(1) You must average power and emissions over the sampling periods
specified in this subpart for both discrete-mode testing and ramped
modal testing.
(2) The test cycle is considered to be steady-state with respect to
operator demand rather than engine speed and load.
(3) The following provisions apply for engine mapping, duty-cycle
generation, and cycle validation to account for the fact that locomotive
operation and locomotive duty cycles are based on operator demand from
locomotive notch settings, not on target values for engine speed and
load:
(i) The provisions related to engine mapping, duty-cycle generation,
and cycle validation in 40 CFR 1065.510, 1065.512, and 1065.514 do not
apply for testing complete locomotives.
(ii) The provisions related to engine mapping and duty-cycle
generation in 40 CFR 1065.510 and 1065.512 are not required for testing
with an engine dynamometer; however, the cycle validation criteria of 40
CFR 1065.514 apply for such testing. Demonstrate compliance with cycle
validation criteria based on manufacturer-declared values for maximum
torque, maximum power, and maximum test speed, or determine these values
from an engine map generated according to 40 CFR 1065.510. If you test
using a ramped-modal cycle, you may perform cycle validation over all
the test intervals together.
(4) If you perform discrete-mode testing and use only one batch fuel
measurement to determine your mean raw exhaust flow rate, you must
target a constant sample flow rate over the mode. Verify proportional
sampling as described in 40 CFR 1065.545 using the mean raw exhaust
molar flow rate paired with each recorded sample flow rate.
(5) If you perform discrete-mode testing by grouping the modes in
the same manner as the test intervals of the ramped modal cycle using
three different dilution settings for the groups, as allowed in Sec.
1033.515(c)(5)(ii), you may verify proportional sampling over each group
instead of each discrete mode.
(b) You may use special or alternate procedures to the extent we
allow as them under 40 CFR 1065.10. In some cases, we allow you to use
procedures that are less precise or less accurate than the specified
procedures if they do not affect your ability to show that your
locomotives 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 greater imprecision or
inaccuracy do not affect your ability to state unconditionally that the
locomotives meet all applicable emission standards.
(c) This part allows (with certain limits) testing of either a
complete locomotive or a separate uninstalled engine. When testing a
locomotive, you must test the complete locomotive in its in-use
configuration, except that you may disconnect the power output and fuel
input for the purpose of testing. To calculate power from measured
alternator/generator output, use an alternator/generator efficiency
curve that varies with speed/load, consistent with good engineering
judgment.
(d) Unless smoke standards do not apply for your locomotives or the
testing requirement is waived, measure smoke emissions using the
procedures in Sec. 1033.525.
(e) Use the applicable fuel listed in 40 CFR part 1065, subpart H,
to perform valid tests.
(1) For diesel-fueled locomotives, use the appropriate diesel fuel
specified in 40 CFR part 1065, subpart H, for emission testing. The
applicable diesel test fuel is either the ultra low-sulfur diesel or
low-sulfur diesel fuel, as specified in Sec. 1033.101. Identify the
test fuel in your application for certification and ensure that the fuel
inlet label is consistent with your selection of the test fuel (see
Sec. Sec. 1033.101 and 1033.135).
(2) You may ask to use as a test fuel commercially available diesel
fuel similar but not identical to the applicable fuel specified in 40
CFR part 1065,
[[Page 52]]
subpart H; we will approve your request if you show us that it does not
affect your ability to demonstrate compliance with the applicable
emission standards. If your locomotive uses sulfur-sensitive technology,
you may not use an in-use fuel that has a lower sulfur content than the
range specified for the otherwise applicable test fuel in 40 CFR part
1065. If your locomotive does not use sulfur-sensitive technology, we
may allow you to use an in-use fuel that has a lower sulfur content than
the range specified for the otherwise applicable test fuel in 40 CFR
part 1065, but may require that you correct PM emissions to account for
the sulfur differences.
(3) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use
locomotives will use.
(f) See Sec. 1033.505 for information about allowable ambient
testing conditions for testing.
(g) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for
you, and to us when we perform testing to determine if your locomotives
meet emission standards.
(h) We may also perform other testing as allowed by the Clean Air
Act.
(i) For passenger locomotives that can generate hotel power from the
main propulsion engine, the locomotive must comply with the emission
standards when in non-hotel setting. For hotel mode, the locomotive is
subject to the notch cap provisions of Sec. 1033.101 and the defeat
device prohibition of Sec. 1033.115.
(j) The following provisions apply for locomotives using
aftertreatment technology with infrequent regeneration events that may
occur during testing:
(1) Adjust measured emissions to account for aftertreatment
technology with infrequent regeneration as described in Sec. 1033.535.
(2) Invalidate a smoke test if active regeneration starts to occur
during the test.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22984, Apr. 30, 2010; 81 FR 74006, Oct. 25, 2016]
Sec. 1033.505 Ambient conditions.
This section specifies the allowable ambient conditions (including
temperature and pressure) under which testing may be performed to
determine compliance with the emission standards of Sec. 1068.101.
Manufacturers/remanufacturers may ask to perform testing at conditions
other than those allowed by this section. We will allow such testing
provided it does not affect your ability to demonstrate compliance with
the applicable standards. See Sec. Sec. 1033.101 and 1033.115 for more
information about the requirements that apply at other conditions.
(a) Temperature. (1) Testing may be performed with ambient
temperatures from 15.5 deg.C (60 deg.F) to 40.5 deg.C (105 deg.F).
Do not correct emissions for temperature effects within this range.
(2) It is presumed that combustion air will be drawn from the
ambient air. Thus, the ambient temperature limits of this paragraph (a)
apply for intake air upstream of the engine. If you do not draw
combustion air from the ambient air, use good engineering judgment to
ensure that any temperature difference (between the ambient air and
combustion air) does not cause the emission measurement to be
unrepresentative of in-use emissions.
(3) If we allow you to perform testing at ambient temperatures below
15.5 deg.C, you must correct NOX emissions for temperature
effects, consistent with good engineering judgment. For example, if the
intake air temperature (at the manifold) is lower at the test
temperature than it would be for equivalent operation at an ambient
temperature of 15.5 deg.C, you generally will need to adjust your
measured NOX emissions to account for the effect of the lower
intake air temperature. However, if you maintain a constant manifold air
temperature, you will generally not need to correct emissions.
(b) Altitude/pressure. Testing may be performed with ambient
pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). This
is intended to correspond to altitudes up to 4000 feet above sea level.
Do not correct emissions for pressure effects within this range.
(c) Humidity. Testing may be performed with any ambient humidity
[[Page 53]]
level. Correct NOX emissions as specified in 40 CFR 1065.670.
Do not correct any other emissions for humidity effects.
(d) Wind. If you test outdoors, use good engineering judgment to
ensure that excessive wind does not affect your emission measurements.
Winds are excessive if they disturb the size, shape, or location of the
exhaust plume in the region where exhaust samples are drawn or where the
smoke plume is measured, or otherwise cause any dilution of the exhaust.
Tests may be conducted if wind shielding is placed adjacent to the
exhaust plume to prevent bending, dispersion, or any other distortion of
the exhaust plume as it passes through the optical unit or through the
sample probe.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
Sec. 1033.510 Auxiliary power units.
If your locomotive is equipped with an auxiliary power unit (APU)
that operates during an idle shutdown mode, you must account for the
APU's emissions rates as specified in this section, unless the APU is
part of an AESS system that was certified separately from the rest of
the locomotive. This section does not apply for auxiliary engines that
only provide hotel power.
(a) Adjust the locomotive main engine's idle emission rate (g/hr) as
specified in Sec. 1033.530. Add the APU emission rate (g/hr) that you
determine under paragraph (b) of this section. Use the locomotive main
engine's idle power as specified in Sec. 1033.530.
(b) Determine the representative emission rate for the APU using one
of the following methods.
(1) Installed APU tested separately. If you separately measure
emission rates (g/hr) for each pollutant from the APU installed in the
locomotive, you may use the measured emissions rates (g/hr) as the
locomotive's idle emissions rates when the locomotive is shutdown and
the APU is operating. For all testing other than in-use testing, apply
appropriate deterioration factors to the measured emission rates. You
may ask to carryover APU emission data for a previous test, or use data
for the same APU installed on locomotives in another engine family.
(2) Uninstalled APU tested separately. If you separately measure
emission rates (g/hr) over an appropriate duty-cycle for each pollutant
from the APU when it is not installed in the locomotive, you may use the
measured emissions rates (g/hr) as the locomotive's idle emissions rates
when the locomotive is shutdown and the APU is operating. For the
purpose of this paragraph (b)(2), an appropriate duty-cycle is one that
approximates the APU engine's cycle-weighted power when operating in the
locomotive. Apply appropriate deterioration factors to the measured
emission rates. You may ask to carryover APU emission data for a
previous test, or use data for the same APU installed on locomotives in
another engine family.
(3) APU engine certification data. If the engine used for the APU
has been certified to EPA emission standards you may calculate the APU's
emissions based upon existing EPA-certification information about the
APU's engine. In this case, calculate the APU's emissions as follows:
(i) For each pollutant determine the brake-specific standard/FEL to
which the APU engine was originally EPA-certified.
(ii) Determine the APU engine's cycle-weighted power when operating
in the locomotive.
(iii) Multiply each of the APU's applicable brake-specific
standards/FELs by the APU engine's cycle-weighted power. The results are
the APU's emissions rates (in g/hr).
(iv) Use these emissions rates as the locomotive's idle emissions
rates when the locomotive is shutdown and the APU is running. Do not
apply a deterioration factor to these values.
(4) Other. You may ask us to approve an alternative means to account
for APU emissions.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
Sec. 1033.515 Discrete-mode steady-state emission tests of locomotives
and locomotive engines.
This section describes how to test locomotives at each notch setting
so that emissions can be weighted according to either the line-haul duty
cycle
[[Page 54]]
or the switch duty cycle. The locomotive test cycle consists of a warm-
up followed by a sequence of nominally steady-state discrete test modes,
as described in Table 1 to this section. The test modes are steady-state
with respect to operator demand, which is the notch setting for the
locomotive. Engine speeds and loads are not necessarily steady-state.
(a) Follow the provisions of 40 CFR part 1065, subpart F for general
pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the
engine in any way you choose to warm it up prior to beginning the sample
preconditioning specified in 40 CFR part 1065.
(b) Begin the test by operating the locomotive over the pre-test
portion of the cycle specified in Table 1 to this section. For
locomotives not equipped with catalysts, you may begin the test as soon
as the engine reaches its lowest idle setting. For catalyst-equipped
locomotives, you may begin the test in normal idle mode if the engine
does not reach its lowest idle setting within 15 minutes. If you do
start in normal idle, run the low idle mode after normal idle, then
resume the specified mode sequence (without repeating the normal idle
mode).
(c) Measure emissions during the rest of the test cycle.
(1) Each test mode begins when the operator demand to the locomotive
or engine is set to the applicable notch setting.
(2) Start measuring gaseous emissions, power, and fuel consumption
at the start of the test mode A and continue until the completion of
test mode 8. You may zero and span analyzers between modes (or take
other actions consistent with good engineering judgment).
(i) The sample period over which emissions for the mode are averaged
generally begins when the operator demand is changed to start the test
mode and ends within 5 seconds of the minimum sampling time for the test
mode is reached. However, you need to shift the sampling period to
account for sample system residence times. Follow the provisions of 40
CFR 1065.308 and 1065.309 to time align emission and work measurements.
(ii) The sample period is 300 seconds for all test modes except mode
8. The sample period for test mode 8 is 600 seconds.
(3) If gaseous emissions are sampled using a batch-sampling method,
begin proportional sampling at the beginning of each sampling period and
terminate sampling once the minimum time in each test mode is reached,
5 seconds.
(4) If applicable, begin the smoke test at the start of the test
mode A. Continue collecting smoke data until the completion of test mode
8. You may perform smoke measurements independent of criteria pollutant
measurements by repeating the test over the duty cycle. If you choose
this option, the minimum time-in-notch is 3.0 minutes for duty cycles in
which only smoke is measured. Refer to Sec. 1033.101 to determine
applicability of smoke testing and Sec. 1033.525 for details on how to
conduct a smoke test.
(5) Begin proportional sampling of PM emissions at the beginning of
each sampling period and terminate sampling within 5 seconds of the specified time in each test mode. If
the PM sample is not sufficiently large, take one of the following
actions consistent with good engineering judgment:
(i) Extend the sampling period up to a maximum of 15 minutes.
(ii) Group the modes in the same manner as the test intervals of the
ramped modal cycle and use three different dilution settings for the
groups. Use one setting for both idle modes, one for dynamic brake
through Notch 5, and one for Notch 6 through Notch 8. For each group,
ensure that the mode with the highest exhaust flow (typically normal
idle, Notch 5, and Notch 8) meets the criteria for minimum dilution
ratio in 40 CFR part 1065.
(6) Proceed through each test mode in the order specified in Table 1
to this section until the locomotive test cycle is completed.
(7) At the end of each numbered test mode, you may continue to
operate sampling and dilution systems to allow corrections for the
sampling system's response time.
[[Page 55]]
(8) Following the completion of Mode 8, conduct the post sampling
procedures in Sec. 1065.530. Note that cycle validation criteria do not
apply to testing of complete locomotives.
Table 1 to Sec. 1033.515--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
Time in mode Sample averaging period for
Test mode Notch setting (minutes) \1\ emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................... Lowest idle setting.. 10 to 15 \3\........ Not applicable
A................................. Low idle \2\......... 5 to 10............. 300 5
seconds
B................................. Normal idle.......... 5 to 10............. 300 5
seconds
C................................. Dynamic brake \2\.... 5 to 10............. 300 5
seconds
1................................. Notch 1.............. 5 to 10............. 300 5
seconds
2................................. Notch 2.............. 5 to 10............. 300 5
seconds
3................................. Notch 3.............. 5 to 10............. 300 5
seconds
4................................. Notch 4.............. 5 to 10............. 300 5
seconds
5................................. Notch 5.............. 5 to 10............. 300 5
seconds
6................................. Notch 6.............. 5 to 10............. 300 5
seconds
7................................. Notch 7.............. 5 to 10............. 300 5
seconds
8................................. Notch 8.............. 10 to 15............ 600 5
seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
sufficiently large PM sample.
\2\ Omit if not so equipped.
\3\ See paragraph (b) of this section for alternate pre-test provisions.
(d) Use one of the following approaches for sampling PM emissions
during discrete-mode steady-state testing:
(1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the locomotive
test cycle according to the procedures specified in paragraph (a)
through (c) of this section. You may ask to use a shorter sampling
period if the total mass expected to be collected would cause
unacceptably high pressure drop across the filter before reaching the
end of the required sampling time. We will not allow sampling times
shorter than 60 seconds. When we conduct locomotive emission tests, we
will adhere to the time limits for each of the numbered modes in Table 1
to this section.
(2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i)
You may use separate PM filter samples for each test mode as described
in paragraph (d)(1) of this section; however, we recommend that you do
not. The low rate of sample filter loading will result in very long
sampling times and the large number of filter samples may induce
uncertainty stack-up that will lead to unacceptable PM measurement
accuracy. Instead, we recommend that you measure PM emissions as
specified in paragraph (d)(2)(ii) of this section.
(ii) You may use a single PM filter for sampling PM over all of the
test modes of the locomotive test cycle as specified in this paragraph
(d)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec. 1033.530 for each
mode. The minimum sampling time for each mode is 400 seconds multiplied
by the weighting factor. For example, for a mode with a weighting factor
of 0.030, the minimum sampling time is 12.0 seconds. PM sampling in each
mode must be proportional to engine exhaust flow as specified in 40 CFR
part 1065. Begin proportional sampling of PM emissions at the beginning
of each test mode as is specified in paragraph (c) of this section. End
the sampling period for each test mode so that sampling times are
proportional to the weighting factors for the applicable duty cycles. If
necessary, you may extend the time limit for each of the test modes
beyond the sampling times in Table 1 to this section to increase the
sampled mass of PM emissions or to account for proper weighting of the
PM emission sample over the entire cycle, using good engineering
judgment.
(e) This paragraph (e) describes how to test locomotive engines when
not installed in a locomotive. Note that the test procedures for
dynamometer engine testing of locomotive engines are intended to produce
emission measurements that are the same as emission measurements
produced during testing
[[Page 56]]
of complete locomotives using the same engine configuration. The
following requirements apply for all engine tests:
(1) Specify a second-by-second set of engine speed and load points
that are representative of in-use locomotive operation for each of the
set-points of the locomotive test cycle described in Table 1 to this
section, including transitions from one notch to the next. This is your
reference cycle for validating your cycle. You may ignore points between
the end of the sampling period for one mode and the point at which you
change the notch setting to begin the next mode.
(2) Keep the temperature of the air entering the engine after any
charge air cooling to within 5 deg.C of the typical intake manifold air
temperature when the engine is operated in the locomotive under similar
ambient conditions.
(3) Proceed as specified in paragraphs (a) through (d) of this
section for testing complete locomotives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8424, Feb. 24, 2009; 75 FR 22985, Apr. 30, 2010; 81 FR 74006, Oct.
25, 2016]
Sec. 1033.520 Alternative ramped modal cycles.
(a) Locomotive testing over a ramped modal cycle is intended to
improve measurement accuracy at low emission levels by allowing the use
of batch sampling of PM and gaseous emissions over multiple locomotive
notch settings. Ramped modal cycles combine multiple test modes of a
discrete-mode steady-state into a single sample period. Time in notch is
varied to be proportional to weighting factors. The ramped modal cycle
for line-haul locomotives is shown in Table 1 to this section. The
ramped modal cycle for switch locomotives is shown in Table 2 to this
section. Both ramped modal cycles consist of a warm-up followed by three
test intervals that are each weighted in a manner that maintains the
duty-cycle weighting of the line-haul and switch locomotive duty cycles
in Sec. 1033.530. You may use ramped modal cycle testing for any
locomotives certified under this part.
(b) Ramped modal testing requires continuous gaseous analyzers and
three separate PM filters (one for each test interval). You may collect
a single batch sample for each test interval, but you must also measure
gaseous emissions continuously to allow calculation of notch caps as
required under Sec. 1033.101.
(c) You may operate the engine in any way you choose to warm it up.
Then follow the provisions of 40 CFR part 1065, subpart F for general
pre-test procedures (including engine and sampling system pre-
conditioning).
(d) Begin the test by operating the locomotive over the pre-test
portion of the cycle. For locomotives not equipped with catalysts, you
may begin the test as soon as the engine reaches its lowest idle
setting. For catalyst-equipped locomotives, you may begin the test in
normal idle mode if the engine does not reach its lowest idle setting
within 15 minutes. If you do start in normal idle, run the low idle mode
after normal idle, then resume the specified mode sequence (without
repeating the normal idle mode).
(e) Start the test according to 40 CFR 1065.530.
(1) Each test interval begins when operator demand is set to the
first operator demand setting of each test interval of the ramped modal
cycle. Each test interval ends when the time in mode is reached for the
last mode in the test interval.
(2) For PM emissions (and other batch sampling), the sample period
over which emissions for the test interval are averaged generally begins
within 10 seconds after the operator demand is changed to start the test
interval and ends within 5 seconds of the sampling time for the test
mode is reached (see Table 1 to this section). You may ask to delay the
start of the sample period to account for sample system residence times
longer than 10 seconds.
(3) Use good engineering judgment when transitioning between test
intervals.
(i) You should come as close as possible to simultaneously:
(A) Ending batch sampling of the previous test interval.
(B) Starting batch sampling of the next test interval.
[[Page 57]]
(C) Changing the operator demand to the notch setting for the first
mode in the next test interval.
(ii) Avoid the following:
(A) Overlapping batch sampling of the two test intervals.
(B) An unnecessarily long delay before starting the next test
interval.
(iii) For example, the following sequence would generally be
appropriate:
(A) End batch sampling for Interval 2 after 304 seconds in Notch 5.
(B) Switch the operator demand to Notch 6 one second later.
(C) Begin batch sampling for Interval 3 one second after switching
to Notch 6.
(4) If applicable, begin the smoke test at the start of the first
test interval of the applicable ramped modal cycle. Continue collecting
smoke data until the completion of final test interval. You may perform
smoke measurements independent of criteria pollutant measurements by
rerunning the test over the duty cycle. If you choose this option, the
minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke
is measured. Refer to Sec. 1033.101 to determine applicability of the
smoke standards and Sec. 1033.525 for details on how to conduct a smoke
test.
(5) Proceed through each test interval of the applicable ramped
modal cycle in the order specified until the test is completed.
(6) If you must void a test interval, you may repeat it. To do so,
begin with a warm engine operating at the notch setting for the last
mode in the previous test interval. You do not need to repeat later test
intervals if they were valid. (Note: You must report test results for
all voided tests and test intervals.)
(7) Following the completion of the third test interval of the
applicable ramped modal cycle, conduct the post-test sampling procedures
specified in 40 CFR 1065.530.
(f) Calculate your cycle-weighted brake-specific emission rates as
follows:
(1) For each test interval j:
(i) Calculate emission rates (Eij) for each pollutant i
as the total mass emissions divided by the total time in the test
interval.
(ii) Calculate average power (Pj) as the total work
divided by the total time in the test interval.
(2) For each pollutant, calculate your cycle-weighted brake-specific
emission rate using the following equation, where wj is the
weighting factor for test interval j:
[GRAPHIC] [TIFF OMITTED] TR25OC16.047
(g) The following tables define applicable ramped modal cycles for
line-haul and switch locomotives:
Table 1 to Sec. 1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting Time in mode
RMC test interval factor RMC mode (seconds) Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................ NA NA 600 to 900 Lowest idle setting.\1\
Interval 1 (Idle test)....... 0.380 A 600 Low Idle.\2\
B 600 Normal Idle.
----------------------------------------------------------------------------------------------------------------
Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2................... 0.389 C 1000 Dynamic Brake.\3\
1 520 Notch 1.
2 520 Notch 2.
3 416 Notch 3.
4 352 Notch 4.
5 304 Notch 5.
----------------------------------------------------------------------------------------------------------------
[[Page 58]]
Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3................... 0.231 6 144 Notch 6.
7 111 Notch 7.
8 600 Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.
Table 2 to Sec. 1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting Time in mode
RMC test interval factor RMC mode (seconds) Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................ NA NA 600 to 900 Lowest idle setting.\1\
Interval 1 (Idle test)....... 0.598 A 600 Low Idle.\2\
B 600 Normal Idle.
----------------------------------------------------------------------------------------------------------------
Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2................... 0.377 1 868 Notch 1.
2 861 Notch 2.
3 406 Notch 3.
4 252 Notch 4.
5 252 Notch 5.
----------------------------------------------------------------------------------------------------------------
Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3................... 0.025 6 1080 Notch 6.
7 144 Notch 7.
8 576 Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
[81 FR 74007, Oct. 25, 2016]
Sec. 1033.525 Smoke testing.
This section describes the equipment and procedures for testing for
smoke emissions when is required.
(a) This section specifies how to measure smoke emissions using a
full-flow, open path light extinction smokemeter. A light extinction
meter consists of a built-in light beam that traverses the exhaust smoke
plume that issues from exhaust the duct. The light beam must be at right
angles to the axis of the plume. Align the light beam to go through the
plume along the hydraulic diameter (defined in 1065.1001) of the exhaust
stack. Where it is difficult to align the beam to have a path length
equal to the hydraulic diameter (such as a long narrow rectangular
duct), you may align the beam to have a different path length and
correct it to be equivalent to a path length equal to the hydraulic
diameter. The light extinction meter must meet the requirements of
paragraph (b) of this section and the following requirements:
(1) Use an incandescent light source with a color temperature range
of 2800K to 3250K, or a light source with a spectral peak between 550
and 570 nanometers.
(2) Collimate the light beam to a nominal diameter of 3 centimeters
and an angle of divergence within a 6 degree included angle.
(3) Use a photocell or photodiode light detector. If the light
source is an incandescent lamp, use a detector that has a spectral
response similar to the photopic curve of the human eye (a maximum
response in the range of 550 to 570 nanometers, to less than four
percent of that maximum response below 430 nanometers and above 680
nanometers).
(4) Attach a collimating tube to the detector with apertures equal
to the beam diameter to restrict the viewing angle of the detector to
within a 16 degree included angle.
[[Page 59]]
(5) Amplify the detector signal corresponding to the amount of
light.
(6) You may use an air curtain across the light source and detector
window assemblies to minimize deposition of smoke particles on those
surfaces, provided that it does not measurably affect the opacity of the
plume.
(7) Minimize distance from the optical centerline to the exhaust
outlet; in no case may it be more than 3.0 meters. The maximum allowable
distance of unducted space upstream of the optical centerline is 0.5
meters. Center the full flow of the exhaust stream between the source
and detector apertures (or windows and lenses) and on the axis of the
light beam.
(8) You may use light extinction meters employing substantially
identical measurement principles and producing substantially equivalent
results, but which employ other electronic and optical techniques.
(b) All smokemeters must meet the following specifications:
(1) A full-scale deflection response time of 0.5 second or less.
(2) You may attenuate signal responses with frequencies higher than
10 Hz with a separate low-pass electronic filter with the following
performance characteristics:
(i) Three decibel point: 10 Hz.
(ii) Insertion loss: 0.0 0.5 dB.
(iii) Selectivity: 12 dB down at 40 Hz minimum.
(iv) Attenuation: 27 dB down at 40 Hz minimum.
(c) Perform the smoke test by continuously recording smokemeter
response over the entire locomotive test cycle in percent opacity to
within one percent resolution and also simultaneously record operator
demand set point (e.g., notch position). Compare the recorded opacities
to the smoke standards applicable to your locomotive.
(d) You may use a partial flow sampling smokemeter if you correct
for the path length of your exhaust plume. If you use a partial flow
sampling meter, follow the instrument manufacturer's installation,
calibration, operation, and maintenance procedures.
Sec. 1033.530 Duty cycles and calculations.
This section describes how to apply the duty cycle to measured
emission rates to calculate cycle-weighted average emission rates.
(a) Standard duty cycles and calculations. Tables 1 and 2 of this
section show the duty cycle to use to calculate cycle-weighted average
emission rates for locomotives equipped with two idle settings, eight
propulsion notches, and at least one dynamic brake notch and tested
using the Locomotive Test Cycle. Use the appropriate weighting factors
for your locomotive application and calculate cycle-weighted average
emissions as specified in 40 CFR part 1065, subpart G.
Table 1 to Sec. 1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
Line-haul
Line-haul weighting Switch
Notch setting Test mode weighting factors (no weighting
factors dynamic factors
brake)
----------------------------------------------------------------------------------------------------------------
Low Idle................................... A........................... 0.190 0.190 0.299
Normal Idle................................ B........................... 0.190 0.315 0.299
Dynamic Brake.............................. C........................... 0.125 (\1\) 0.000
Notch 1.................................... 1........................... 0.065 0.065 0.124
Notch 2.................................... 2........................... 0.065 0.065 0.123
Notch 3.................................... 3........................... 0.052 0.052 0.058
Notch 4.................................... 4........................... 0.044 0.044 0.036
Notch 5.................................... 5........................... 0.038 0.038 0.036
Notch 6.................................... 6........................... 0.039 0.039 0.015
Notch 7.................................... 7........................... 0.030 0.030 0.002
Notch 8.................................... 8........................... 0.162 0.162 0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.
[[Page 60]]
Table 2 to Sec. 1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
Line-haul
Notch setting Test mode Line-haul (no dynamic Switch
brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................ A........................... 0.380 0.505 0.598
Dynamic Brake.............................. C........................... 0.125 (\1\) 0.000
Notch 1.................................... 1........................... 0.065 0.065 0.124
Notch 2.................................... 2........................... 0.065 0.065 0.123
Notch 3.................................... 3........................... 0.052 0.052 0.058
Notch 4.................................... 4........................... 0.044 0.044 0.036
Notch 5.................................... 5........................... 0.038 0.038 0.036
Notch 6.................................... 6........................... 0.039 0.039 0.015
Notch 7.................................... 7........................... 0.030 0.030 0.002
Notch 8.................................... 8........................... 0.162 0.162 0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.
(b) Idle and dynamic brake notches. The test procedures generally
require you to measure emissions at two idle settings and one dynamic
brake, as follows:
(1) If your locomotive is equipped with two idle settings and one or
more dynamic brake settings, measure emissions at both idle settings and
the worst case dynamic brake setting, and weight the emissions as
specified in the applicable table of this section. Where it is not
obvious which dynamic brake setting represents worst case, do one of the
following:
(i) You may measure emissions and power at each dynamic brake point
and average them together.
(ii) You may measure emissions and power at the dynamic brake point
with the lowest power.
(2) If your locomotive is equipped with two idle settings and is not
equipped with dynamic brake, use a normal idle weighting factor of 0.315
for the line-haul cycle. If your locomotive is equipped with only one
idle setting and no dynamic brake, use an idle weighting factor of 0.505
for the line-haul cycle.
(c) Nonstandard notches or no notches. If your locomotive is
equipped with more or less than 8 propulsion notches, recommend an
alternate test cycle based on the in-use locomotive configuration.
Unless you have data demonstrating that your locomotive will be operated
differently from conventional locomotives, recommend weighting factors
that are consistent with the power weightings of the specified duty
cycle. For example, the average load factor for your recommended cycle
(cycle-weighted power divided by rated power) should be equivalent to
those of conventional locomotives. We may also allow the use of the
standard power levels shown in Table 3 to this section for nonstandard
locomotive testing subject to our prior approval. This paragraph (c)
does not allow engines to be tested without consideration of the actual
notches that will be used.
Table 3 to Sec. 1033.530--Standard Notch Power Levels Expressed as a
Percentage of Rated Power
------------------------------------------------------------------------
Percent
------------------------------------------------------------------------
Normal Idle.................................................. 0.00
Dynamic Brake................................................ 0.00
Notch 1...................................................... 4.50
Notch 2...................................................... 11.50
Notch 3...................................................... 23.50
Notch 4...................................................... 35.00
Notch 5...................................................... 48.50
Notch 6...................................................... 64.00
Notch 7...................................................... 85.00
Notch 8...................................................... 100.00
------------------------------------------------------------------------
(d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec.
1033.520 show the weighting factors to use to calculate cycle-weighted
average emission rates for the applicable locomotive ramped modal cycle.
Use the weighting factors for the ramped modal cycle for your locomotive
application and calculate cycle-weighted average emissions as specified
in 40 CFR part 1065, subpart G.
(e) Automated Start-Stop. For a locomotive equipped with features
that shut the engine off after prolonged periods of idle, multiply the
measured idle mass emission rate over the idle
[[Page 61]]
portion of the applicable test cycles by a factor equal to one minus the
estimated fraction reduction in idling time that will result in use from
the shutdown feature. Do not apply this factor to the weighted idle
power. Application of this adjustment is subject to our approval if the
fraction reduction in idling time that is estimated to result from the
shutdown feature is greater than 25 percent. This paragraph (e) does not
apply if the locomotive is (or will be) covered by a separate
certificate for idle control.
(f) Multi-engine locomotives. This paragraph (f) applies for
locomotives using multiple engines where all engines are identical in
all material respects. In cases where we allow engine dynamometer
testing, you may test a single engine consistent with good engineering
judgment, as long as you test it at the operating points at which the
engines will operate when installed in the locomotive (excluding
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
(g) Representative test cycles for freshly manufactured locomotives.
As specified in this paragraph (g), manufacturers may be required to use
an alternate test cycle for freshly manufactured Tier 3 and later
locomotives.
(1) If you determine that you are adding design features that will
make the expected average in-use duty cycle for any of your freshly
manufactured locomotive engine families significantly different from the
otherwise applicable test cycle (including weighting factors), you must
notify us and recommend an alternate test cycle that represents the
expected average in-use duty cycle. You should also obtain preliminary
approval before you begin collecting data to support an alternate test
cycle. We will specify whether to use the default duty cycle, your
recommended cycle, or a different cycle, depending on which cycle we
believe best represents expected in-use operation.
(2) The provisions of this paragraph (g) apply differently for
different types of locomotives, as follows:
(i) For Tier 4 and later line-haul locomotives, use the cycle
required by (g)(1) of this section to show compliance with the line-haul
cycle standards.
(ii) For Tier 3 and later switch locomotives, use the cycle required
by (g)(1) of this section to show compliance with the switch cycle
standards.
(iii) For Tier 3 line-haul locomotives, if we specify an alternate
cycle, use it to show compliance with the line-haul cycle standards. If
you include the locomotives in the ABT program of subpart H of this
part, calculate line-haul cycle credits (positive or negative) using the
alternate cycle and the line-haul cycle standards. Your locomotive is
deemed to also generate an equal amount of switch cycle credits.
(3) For all locomotives certified using an alternate cycle, include
a description of the cycle in the owners manual such that the locomotive
can be remanufactured using the same cycle.
(4) For example, if your freshly manufactured line-haul locomotives
are equipped with load control features that modify how the locomotive
will operate when it is in a consist, and such features will cause the
locomotives to operate differently from the otherwise applicable line-
haul cycle, we may require you to certify using an alternate cycle.
(5) See paragraph (h) of this section for cycle-changing design
features that also result in energy savings.
(h) Calculation adjustments for energy-saving design features. The
provisions of this paragraph (h) apply for locomotives equipped with new
energy-saving locomotive design features. They do not apply for features
that only improve the engine's brake-specific fuel consumption. They
also do not apply for features that were commonly incorporated in
locomotives before 2008. See paragraph (h)(6) of this section for
provisions related to determining whether certain features are
considered to have been commonly incorporated in locomotives before
2008.
(1) Manufacturers/remanufacturers choosing to adjust emissions under
this paragraph (h) must do all of the following for certification:
(i) Describe the energy-saving features in your application for
certification.
[[Page 62]]
(ii) Describe in your installation instruction and/or maintenance
instructions all steps necessary to utilize the energy-saving features.
(2) If your design feature will also affect the locomotives' duty
cycle, you must comply with the requirements of paragraph (g) of this
section.
(3) Calculate the energy savings as follows:
(i) Estimate the expected mean in-use fuel consumption rate (on a
BTU per ton-mile basis) with and without the energy saving design
feature, consistent with the specifications of paragraph (h)(4) of this
section. The energy savings is the ratio of fuel consumed from a
locomotive operating with the new feature to fuel consumed from a
locomotive operating without the feature under identical conditions.
Include an estimate of the 80 percent confidence interval for your
estimate of the mean and other statistical parameters we specify.
(ii) Your estimate must be based on in-use operating data,
consistent with good engineering judgment. Where we have previously
certified your design feature under this paragraph (h), we may require
you to update your analysis based on all new data that are available.
You must obtain approval before you begin collecting operational data
for this purpose.
(iii) We may allow you to consider the effects of your design
feature separately for different route types, regions, or railroads. We
may require that you certify these different locomotives in different
engine families and may restrict their use to the specified
applications.
(iv) Design your test plan so that the operation of the locomotives
with and without is as similar as possible in all material aspects
(other than the design feature being evaluated). Correct all data for
any relevant differences, consistent with good engineering judgment.
(v) Do not include any brake-specific energy savings in your
calculated values. If it is not possible to exclude such effects from
your data gathering, you must correct for these effects, consistent with
good engineering judgment.
(4) Calculate adjustment factors as described in this paragraph
(h)(4). If the energy savings will apply broadly, calculate and apply
the adjustment on a cycle-weighted basis. Otherwise, calculate and apply
the adjustment separately for each notch. To apply the adjustment,
multiply the emissions (either cycle-weighted or notch-specific, as
applicable) by the adjustment. Use the lower bound of the 80 percent
confidence interval of the estimate of the mean as your estimated energy
savings rate. We may cap your energy savings rate for this paragraph
(h)(4) at 80 percent of the estimate of the mean. Calculate the emission
adjustment factors as:
AF = 1.000 - (energy savings rate)
(5) We may require you to collect and report data from locomotives
we allow you to certify under this paragraph (h) and to recalculate the
adjustment factor for future model years based on such data.
(6) Features that are considered to have not been commonly
incorporated in locomotives before 2008 include but are not limited to
those identified in this paragraph (h)(6).
(i) Electronically controlled pneumatic (ECP) brakes, computerized
throttle management control, and advanced hybrid technology were not
commonly incorporated in locomotives before 2008. Manufacturers may
claim full credit for energy savings that result from applying these
features to freshly manufactured and/or remanufactured locomotives.
(ii) Distributed power systems that use radio controls to optimize
operation of locomotives in the middle and rear of a train were commonly
incorporated in some but not all locomotives in 2008. Manufacturers may
claim credit for incorporating these features into locomotives as
follows:
(A) Manufacturers may claim prorated credit for incorporating
distributed power systems in freshly manufactured locomotives. Multiply
the energy saving rate by 0.50 when calculating the adjustment factor:
AF = 1.000-(energy savings rate) x (0.50)
(B) Manufacturers may claim full credit for retrofitting distributed
[[Page 63]]
power systems in remanufactured locomotives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75
FR 22985, Apr. 30, 2010]
Sec. 1033.535 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.
For locomotives using aftertreatment technology with infrequent
regeneration events that may occur during testing, take one of the
following approaches to account for the emission impact of regeneration:
(a) You may use the calculation methodology described in 40 CFR
1065.680 to adjust measured emission results. Do this by developing an
upward adjustment factor and a downward adjustment factor for each
pollutant based on measured emission data and observed regeneration
frequency as follows:
(1) Adjustment factors should generally apply to an entire engine
family, but you may develop separate adjustment factors for different
configurations within an engine family. Use the adjustment factors from
this section for all testing for the engine family.
(2) You may use carryover or carry-across data to establish
adjustment factors for an engine family as described in Sec. 1033.235,
consistent with good engineering judgment.
(3) Determine the frequency of regeneration, F, as described in 40
CFR 1065.680 from in-use operating data or from running repetitive tests
in a laboratory. If the engine is designed for regeneration at fixed
time intervals, you may apply good engineering judgment to determine F
based on those design parameters.
(4) Identify the value of F in each application for the
certification for which it applies.
(5) Apply the provisions for ramped-modal testing based on
measurements for each test interval rather than the whole ramped-modal
test.
(b) You may ask us to approve an alternate methodology to account
for regeneration events. We will generally limit approval to cases where
your engines use aftertreatment technology with extremely infrequent
regeneration and you are unable to apply the provisions of this section.
(c) You may choose to make no adjustments to measured emission
results if you determine that regeneration does not significantly affect
emission levels for an engine family (or configuration) or if it is not
practical to identify when regeneration occurs. If you choose not to
make adjustments under paragraph (a) or (b) of this section, your
locomotives must meet emission standards for all testing, without regard
to regeneration.
[81 FR 74008, Oct. 25, 2016]
Subpart G_Special Compliance Provisions
Sec. 1033.601 General compliance provisions.
Locomotive manufacturer/remanufacturers, as well as owners and
operators of locomotives subject to the requirements of this part, and
all other persons, must observe the provisions of this part, the
requirements and prohibitions in 40 CFR part 1068, and the provisions of
the Clean Air Act. The provisions of 40 CFR part 1068 apply for
locomotives as specified in that part, except as otherwise specified in
this section.
(a) Meaning of terms. When used in 40 CFR part 1068, apply meanings
for specific terms as follows:
(1) ``Manufacturer'' means manufacturer and/or remanufacturer.
(2) ``Date of manufacture'' means date of original manufacture for
freshly manufactured locomotives and the date on which a remanufacture
is completed for remanufactured engines.
(b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not
apply when remanufacturing locomotives under a certificate of conformity
issued under this part.
(c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240
(i.e., exemptions for replacement engines) do not apply for domestic or
imported locomotives. (Note: You may introduce into commerce freshly
manufactured replacement engines under this part, provided the
locomotives into which they are installed are covered by a certificate
of conformity.)
[[Page 64]]
(2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e.,
exemptions for hardship relief) do not apply for domestic or imported
locomotives. See Sec. 1033.620 for provisions related to hardship
relief.
(3) The exemption provisions of 40 CFR 1068.261 (i.e., exemptions
for delegated assembly) do not apply for domestic or imported
locomotives, except as specified in Sec. 1033.630.
(4) The provisions for importing engines and equipment under the
identical configuration exemption of 40 CFR 1068.315(i) do not apply for
locomotives.
(5) The provisions for importing engines and equipment under the
ancient engine exemption of 40 CFR 1068.315(j) do not apply for
locomotives.
(d) SEAs, defect reporting, and recall. The provisions of 40 CFR
part 1068, subpart E (i.e., SEA provisions) do not apply for
locomotives. Except as noted in this paragraph (d), the provisions of 40
CFR part 1068, subpart F, apply to certificate holders for locomotives
as specified for manufacturers in that part.
(1) When there are multiple persons meeting the definition of
manufacturer or remanufacturer, each person meeting the definition of
manufacturer or remanufacturer must comply with the requirements of 40
CFR part 1068, subpart F, as needed so that the certificate holder can
fulfill its obligations under those subparts.
(2) The defect investigation requirements of 40 CFR 1068.501(a)(5),
(b)(1) and (b)(2) do not apply for locomotives. Instead, use good
engineering judgment to investigate emission-related defects consistent
with normal locomotive industry practice for investigating defects. You
are not required to track parts shipments as indicators of possible
defects.
(e) Introduction into commerce. The placement of a new locomotive or
new locomotive engine back into service following remanufacturing is a
violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate of
conformity for its model year and the required label.
(f) Multi-fuel locomotives. Subpart C of this part describes how to
test and certify dual-fuel and flexible-fuel locomotives. Some multi-
fuel locomotives may not fit either of those defined terms. For such
locomotives, we will determine whether it is most appropriate to treat
them as single-fuel locomotives, dual-fuel locomotives, or flexible-fuel
locomotives based on the range of possible and expected fuel mixtures.
For example, a locomotive might burn natural gas but initiate combustion
with a pilot injection of diesel fuel. If the locomotive is designed to
operate with a single fueling algorithm (i.e., fueling rates are fixed
at a given engine speed and load condition), we would generally treat it
as a single-fuel locomotive, In this context, the combination of diesel
fuel and natural gas would be its own fuel type. If the locomotive is
designed to also operate on diesel fuel alone, we would generally treat
it as a dual-fuel locomotive. If the locomotive is designed to operate
on varying mixtures of the two fuels, we would generally treat it as a
flexible-fuel locomotive. To the extent that requirements vary for the
different fuels or fuel mixtures, we may apply the more stringent
requirements.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75
FR 22986, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016]
Sec. 1033.610 Small railroad provisions.
In general, the provisions of this part apply for all locomotives,
including those owned by Class II and Class III railroads. This section
describes how these provisions apply for railroads meeting the
definition of ``small railroad'' in Sec. 1033.901. (Note: The term
``small railroad'' excludes all Class II railroads and some Class III
railroads, such as those owned by large parent companies.)
(a) Locomotives become subject to the provisions of this part when
they become ``new'' as defined in Sec. 1033.901. Under that definition,
a locomotive is ``new'' when first assembled, and generally becomes
``new'' again when remanufactured. As an exception to this general
concept, locomotives that are owned and operated by railroads meeting
the definition of ``small railroad'' in Sec. 1033.901 do not become
``new'' when remanufactured, unless they were previously certified to
EPA emission
[[Page 65]]
standards. Certificate holders may require written confirmation from the
owner/operator that the locomotive qualifies as a locomotive that is
owned and operated by a small railroad. Such written confirmation to a
certificate holder is deemed to also be a submission to EPA and is thus
subject to the reporting requirements of 40 CFR 1068.101.
(b) The provisions of subpart I of this part apply to all owners and
operators of locomotives subject to this part 1033. However, the
regulations of that subpart specify some provisions that apply only for
Class I freight railroads, and others that apply differently to Class I
freight railroads and other railroads.
(c) We may exempt new locomotives that are owned or operated by
small railroads from the prohibition against remanufacturing a
locomotive without a certificate of conformity as specified in this
paragraph (c). This exemption is only available in cases where no
certified remanufacturing system is available for the locomotive. For
example, it is possible that no remanufacturer will certify a system for
very old locomotive models that comprise a tiny fraction of the fleet
and that are remanufactured infrequently. We will grant the exemption in
all cases in which no remanufacturing system has been certified for the
applicable engine family and model year. We may also grant an exemption
where we determine that a certified system is unavailable. We may
consider the issue of excessive costs in determining the availability of
certified systems. If we grant this exemption for a previously certified
locomotive, you are required to return the locomotive to its previously
certified configuration. Send your request for such exemptions to the
Designated Compliance Officer.
(d) Non-Class I railroads that do not meet the definition of ``small
railroad'' in Sec. 1033.901 may ask that their remanufactured
locomotives be excluded from the definition of ``new'' in Sec. 1033.901
in cases where no certified remanufacturing system is available for the
locomotive. We will grant the exemption in all cases in which no
remanufacturing system has been certified for the applicable engine
family and model year. If we grant this exemption for a previously
certified locomotive, you are required to return the locomotive to its
previously certified configuration. Send your request for such
exemptions to the Designated Compliance Officer.
Sec. 1033.615 Voluntarily subjecting locomotives to the standards
of this part.
The provisions of this section specify the cases in which an owner
or manufacturer of a locomotive or similar piece of equipment can
subject it to the standards and requirements of this part. Once the
locomotive or equipment becomes subject to the locomotive standards and
requirements of this part, it remains subject to the standards and
requirements of this part for the remainder of its service life.
(a) Equipment excluded from the definition of ``locomotive''. (1)
Manufacturers/remanufacturers of equipment that is excluded from the
definition of ``locomotive'' because of its total power, but would
otherwise meet the definition of locomotive may ask to have it
considered to be a locomotive. To do this, submit an application for
certification as specified in subpart C of this part, explaining why it
should be considered to be a locomotive. If we approve your request, it
will be deemed to be a locomotive for the remainder of its service life.
(2) In unusual circumstances, we may deem other equipment to be
locomotives (at the request of the owner or manufacturer/remanufacturer)
where such equipment does not conform completely to the definition of
locomotive, but is functionally equivalent to a locomotive.
(b) Locomotives excluded from the definition of ``new''. Owners of
remanufactured locomotives excluded from the definition of ``new'' in
Sec. 1033.901 under paragraph (2) of that definition may choose to
upgrade their locomotives to subject their locomotives to the standards
and requirements of this part by complying with the specifications of a
certified remanufacturing system, including the labeling specifications
of Sec. 1033.135.
[[Page 66]]
Sec. 1033.620 Hardship provisions for manufacturers and remanufacturers.
(a) If you qualify for the economic hardship provisions specified in
40 CFR 1068.245, we may approve a period of delayed compliance for up to
one model year total.
(b) The provisions of this paragraph (b) are intended to address
problems that could occur near the date on which more stringent emission
standards become effective, such as the transition from the Tier 2
standards to the Tier 3 standards for line-haul locomotives on January
1, 2012.
(1) In appropriate extreme and unusual circumstances that are
clearly outside the control of the manufacturer and could not have been
avoided by the exercise of prudence, diligence, and due care, we may
permit you, for a brief period, to introduce into commerce locomotives
which do not comply with the applicable emission standards if all of the
following conditions apply:
(i) You cannot reasonably manufacture the locomotives in such a
manner that they would be able to comply with the applicable standards.
(ii) The manufacture of the locomotives was substantially completed
prior to the applicability date of the standards from which you seek the
relief. For example, you may not request relief for a locomotive that
has been ordered, but for which you will not begin the assembly process
prior to the applicability date of the standards. On the other hand, we
would generally consider completion of the underframe weldment to be a
substantial part of the manufacturing process.
(iii) Manufacture of the locomotives was previously scheduled to be
completed at such a point in time that locomotives would have been
included in the previous model year, such that they would have been
subject to less stringent standards, and that such schedule was feasible
under normal conditions.
(iv) You demonstrate that the locomotives comply with the less
stringent standards that applied to the previous model year's production
described in paragraph (b)(1)(iii) of this section, as prescribed by
subpart C of this part (i.e., that the locomotives are identical to
locomotives certified in the previous model year).
(v) You exercised prudent planning, were not able to avoid the
violation, and have taken all reasonable steps to minimize the extent of
the nonconformity.
(vi) We approve your request before you introduce the locomotives
into commerce.
(2) You must notify us as soon as you become aware of the extreme or
unusual circumstances.
(3)(i) Include locomotives for which we grant relief under this
section in the engine family for which they were originally intended to
be included.
(ii) Where the locomotives are to be included in an engine family
that was certified to an FEL above the applicable standard, you must
reserve credits to cover the locomotives covered by this allowance and
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
(c) In granting relief under this section, we may also set other
conditions as appropriate, such as requiring payment of fees to negate
an economic gain that such relief would otherwise provide.
Sec. 1033.625 Special certification provisions for non-locomotive
-specific engines.
You may certify freshly manufactured or remanufactured locomotives
using non-locomotive-specific engines (as defined in Sec. 1033.901)
using the normal certification procedures of this part. Locomotives
certified in that way are generally treated the same as other
locomotives, except where specified otherwise. The provisions of this
section provide for design certification to the locomotive standards in
this part for locomotives using engines included in engine families
certified under 40 CFR part 1039 (or part 89) in limited circumstances.
(a) Remanufactured or freshly manufactured switch locomotives
powered by non-locomotive-specific engines may be certified by design
without the test data required by Sec. 1033.235 if all of the following
are true:
[[Page 67]]
(1) Before being installed in the locomotive, the engines were
covered by a certificate of conformity issued under 40 CFR Part 1039 (or
part 89) that is effective for the calendar year in which the
manufacture or remanufacture occurs. You may use engines certified
during the previous years if they were subject to the same standards.
You may not make any modifications to the engines unless we approve
them.
(2) The engines were certified to PM, NOX, and
hydrocarbon standards that are numerically lower than the applicable
locomotive standards of this part.
(3) More engines are reasonably projected to be sold and used under
the certificate for non-locomotive use than for use in locomotives.
(4) The number of such locomotives certified under this section does
not exceed 30 in any three-year period. We may waive this sales limit
for locomotive models that have previously demonstrated compliance with
the locomotive standards of Sec. 1033.101 in-use.
(5) We approved the application as specified in paragraph (d) of
this section.
(b) To certify your locomotives by design under this section, submit
your application as specified in Sec. 1033.205, with the following
exceptions:
(1) Include the following instead of the locomotive test data
otherwise required by Sec. 1033.205:
(i) A description of the engines to be used, including the name of
the engine manufacturer and engine family identifier for the engines.
(ii) A brief engineering analysis describing how the engine's
emission controls will function when installed in the locomotive
throughout the locomotive's useful life.
(iii) The emission data submitted under 40 CFR part 1039 (or part
89).
(2) You may separately submit some of the information required by
Sec. 1033.205, consistent with the provisions of Sec. 1033.1(d). For
example, this may be an appropriate way to submit detailed information
about proprietary engine software. Note that this allowance to
separately submit some of the information required by Sec. 1033.205 is
also available for applications not submitted under this section.
(c) Locomotives certified under this section are subject to all the
requirements of this part except as specified in paragraph (b) of this
section. The engines used in such locomotives are not considered to be
included in the otherwise applicable engines family of 40 CFR part 1039
(or part 89).
(d) We will approve or deny the application as specified in subpart
C of this part. For example, we will deny your application for
certification by design under this section in any case where we have
evidence that your locomotives will not conform to the requirements of
this part throughout their useful lives.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22986, Apr. 30, 2010;
76 FR 53780, Sept. 15, 2011]
Sec. 1033.630 Staged-assembly and delegated assembly exemptions.
(a) Staged assembly. You may ask us to provide a temporary exemption
to allow you to complete production of your engines and locomotives at
different facilities, as long as you maintain control of the engines
until they are in their certified configuration. We may require you to
take specific steps to ensure that such locomotives are in their
certified configuration before reaching the ultimate purchaser. You may
request an exemption under this paragraph (a) in your application for
certification, or in a separate submission. If you include your request
in your application, your exemption is approved when we grant your
certificate. Note that no exemption is needed to ship an engine that has
been assembled in its certified configuration, is properly labeled, and
will not require an aftertreatment device to be attached when installed
in the locomotive.
(b) Delegated assembly. This paragraph (b) applies where the engine
manufacturer/remanufacturer does not complete assembly of the
locomotives and the engine is shipped after being manufactured or
remanufactured (partially or completely). The provisions of this
paragraph (b) apply differently depending on who holds the certificate
of conformity and the state of the engine when it is shipped. You may
request an exemption under this paragraph (b) in your application for
certification, or in
[[Page 68]]
a separate submission. If you include your request in your application,
your exemption is approved when we grant your certificate. A
manufacturer/remanufacturer may request an exemption under 40 CFR
1068.261 instead of under this section.
(1) In cases where an engine has been assembled in its certified
configuration, properly labeled, and will not require an aftertreatment
device to be attached when installed in the locomotive, no exemption is
needed to ship the engine. You do not need an exemption to ship engines
without specific components if they are not emission-related components
identified in appendix I of 40 CFR part 1068.
(2) In cases where an engine has been properly labeled by the
certificate holder and assembled in its certified configuration except
that it does not yet have a required aftertreatment device, an exemption
is required to ship the engine. You may ask for this exemption if you do
all of the following:
(i) You note on the Engine Emission Control Information label that
the locomotive must include the aftertreatment device to be covered by
the certificate.
(ii) You make clear in your emission-related installation
instructions that installation of the aftertreatment device is required
for the locomotive to be covered by the certificate.
(3) In cases where an engine will be shipped to the certificate
holder in an uncertified configuration, an exemption is required to ship
the engine. You may ask for this exemption under 40 CFR 1068.262.
(c) Other exemptions. In unusual circumstances, you may ask us to
provide an exemption for an assembly process that is not covered by the
provisions of paragraphs (a) and (b) of this section. We will make the
exemption conditional based on you complying with requirements that we
determine are necessary to ensure that the locomotives are assembled in
their certified configuration before being placed (back) into service.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
Sec. 1033.640 Provisions for repowered and refurbished locomotives.
(a) The provisions of this section apply for locomotives that are
produced from an existing locomotive so that the new locomotive contains
both previously used parts and parts that have never been used before.
(1) Repowered locomotives are used locomotives in which a freshly
manufactured propulsion engine is installed. As described in this
section, a repowered locomotive is deemed to be either remanufactured or
freshly manufactured, depending on the total amount of unused parts on
the locomotive. It may also be deemed to be a refurbished locomotive.
(2) Refurbished locomotives are locomotives that contain more unused
parts than previously used parts. As described in this section, a
locomotive containing more unused parts than previously used parts may
be deemed to be either remanufactured or freshly manufactured, depending
on the total amount of unused parts on the locomotive. Note that Sec.
1033.901 defines refurbishment of a pre-1973 locomotive to be an upgrade
of the locomotive.
(b) A single existing locomotive cannot be divided into parts and
combined with new parts to create more than one remanufactured
locomotive. However, any number of locomotives can be divided into parts
and combined with new parts to create more than one remanufactured
locomotive, provided the number of locomotives created (remanufactured
and freshly manufactured) does not exceed the number of locomotives that
were disassembled.
(c) You may determine the relative amount of previously used parts
consistent with the specifications of the Federal Railroad
Administration. Otherwise, determine the relative amount of previously
used parts as follows:
(1) Identify the parts in the fully assembled locomotive that have
been previously used and those that have never been used before.
(2) Weight the unused parts and previously used parts by the dollar
value of the parts. For example, a single part valued at $1200 would
count the same as six parts valued at $200 each. Group parts by system
where possible (such as
[[Page 69]]
counting the engine as one part) if either all the parts in that system
are used or all the parts in that system are unused. Calculate the used
part values using dollar values from the same year as the new parts.
(3) Sum the values of the unused parts. Also sum the values of the
previously used parts. The relative fraction of used parts is the total
value of previously used parts divided by the combined value of the
unused parts and previously used parts.
(d) If the weighted fraction of the locomotive that is comprised of
previously used parts is greater than or equal to 25 percent, then the
locomotive is considered to be a remanufactured locomotive and retains
its original date of manufacture. Note, however, that if the weighted
fraction of the locomotive that is comprised of previously used parts is
less than 50 percent, then the locomotive is also considered to be a
refurbished locomotive.
(e) If the weighted fraction of the locomotive that is comprised of
previously used parts is less than 25 percent, then the locomotive is
deemed to be a freshly manufactured locomotive and the date of original
manufacture is the most recent date on which the locomotive was
assembled using less than 25 percent previously used parts. For example:
(1) If you produce a new locomotive that includes a used frame, but
all other parts are unused, then the locomotive would likely be
considered to be a freshly manufactured locomotive because the value of
the frame would likely be less than 25 percent of the total value of the
locomotive. Its date of original manufacture would be the date on which
you complete its assembly.
(2) If you produce a new locomotive by replacing the engine in a
1990 locomotive with a freshly manufactured engine, but all other parts
are used, then the locomotive would likely be considered to be a
remanufactured locomotive and its date of original manufacture is the
date on which assembly was completed in 1990. (Note: such a locomotive
would also be considered to be a repowered locomotive.)
(f) Locomotives containing used parts that are deemed to be freshly
manufactured locomotives are subject to the same provisions as all other
freshly manufactured locomotives. Other refurbished locomotives are
subject to the same provisions as other remanufactured locomotives, with
the following exceptions:
(1) Switch locomotives. (i) Prior to January 1, 2015, remanufactured
Tier 0 switch locomotives that are deemed to be refurbished are subject
to the Tier 0 line-haul cycle and switch cycle standards. Note that this
differs from the requirements applicable to other Tier 0 switch
locomotives, which are not subject to the Tier 0 line-haul cycle
standards.
(ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier
switch locomotives that are deemed to be refurbished are subject to the
Tier 3 switch standards.
(2) Line-haul locomotives. Remanufactured line-haul locomotives that
are deemed to be refurbished are subject to the same standards as
freshly manufactured line-haul locomotives, except that line-haul
locomotives with rated power less than 3000 hp that are refurbished
before January 1, 2015 are subject to the same standards as refurbished
switch locomotives under paragraph (e)(1)(i) of this section. However,
line-haul locomotives less than 3000 hp may not generate emission
credits relative to the standards specified in paragraph (e)(1)(i) of
this section.
(3) Labels for switch and line-haul locomotives. Remanufacturers
that refurbish a locomotive must add a secondary locomotive label that
includes the following:
(i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL
INFORMATION.''
(ii) The statement identifying when the locomotive was refurbished
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER
[applicable standard level]
[[Page 70]]
EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR
1033.750.''.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8425, Feb. 24, 2009; 81 FR 74009, Oct. 25, 2016]
Sec. 1033.645 Non-OEM component certification program.
This section describes a voluntary program that allows you to get
EPA approval of components you manufacture for use during
remanufacturing.
(a) Applicability. This section applies only for components that are
commonly replaced during remanufacturing. It does not apply for other
types of components that are replaced during a locomotive's useful life,
but not typically replaced during remanufacture. Certified components
may be used for remanufacturing or other maintenance.
(1) The following components are eligible for approval under this
section:
(i) Cylinder liners.
(ii) Pistons.
(iii) Piston rings.
(iv) Heads
(v) Fuel injectors.
(vi) Turbochargers
(vii) Aftercoolers and intercoolers.
(2) Catalysts and electronic controls are not eligible for approval
under this section.
(3) We may determine that other types of components can be certified
under this section, consistent with good engineering judgment.
(b) Approval. To obtain approval, submit your request to the
Designated Compliance Officer.
(1) Include all of the following in your request:
(i) A description of the component(s) for which you are requesting
approval.
(ii) A list of all engine/locomotive models and engine families for
which your component would be used. You may exclude models that are not
subject to our standards or will otherwise not be remanufactured under a
certificate of conformity.
(iii) A copy of the maintenance instructions for engines using your
component. You may reference the other certificate holder's maintenance
instructions in your instructions. For example, your instructions may
specify to follow the other certificate holder's instructions in
general, but list one or more exceptions to address the specific
maintenance needs of your component.
(iv) An engineering analysis (including test data in some cases)
demonstrating to us that your component will not cause emissions to
increase. The analysis must address both low-hour and end-of-useful life
emissions. The amount of information required for this analysis is less
than is required to obtain a certificate of conformity under subpart C
of this part and will vary depending on the type of component being
certified.
(v) The following statement signed by an authorized representative
of your company: We submit this request under 40 CFR 1033.645. All the
information in this report is true and accurate to the best of my
knowledge. I know of the penalties for violating the Clean Air Act and
the regulations. (Authorized Company Representative)
(2) If we determine that there is reasonable technical basis to
believe that your component is sufficiently equivalent that it will not
increase emissions, we will approve your request and you will be a
certificate holder for your components with respect to actual emissions
performance for all locomotives that use those components (in accordance
with this section).
(c) Liability. Being a certificate holder under this section means
that if in-use testing indicates that a certified locomotive using one
or more of your approved components does not comply with an applicable
emission standard, we will presume that you and other certificate
holders are liable for the noncompliance. However, we will not hold you
liable in cases where you convince us that your components did not cause
the noncompliance. Conversely, we will not hold other certificate
holders liable for noncompliance caused solely by your components. You
are also subject to the warranty and defect reporting requirements of
this part for your certified components. Other requirements of this part
apply as specified in Sec. 1033.1.
(d) In-use testing. Locomotives containing your components must be
tested according to the provisions of this paragraph (d).
[[Page 71]]
(1) Except as specified in paragraph (d)(5) of this section, you
must test at least one locomotive if 250 locomotives use your component
under this section. You must test one additional locomotive for the next
additional 500 locomotives that use your component under this section.
After that, we may require you to test one additional locomotive for
each additional 1000 locomotives that use your component under this
section. These numbers apply across model years. For example, if your
component is used in 125 remanufactures per year under this section, you
must test one of the first 250 locomotives, one of the next 500
locomotives, and up to one every eight years after that. Do not count
locomotives that use your components but are not covered by this
section.
(2) Except for the first locomotive you test for a specific
component under this section, locomotives tested under this paragraph
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has
operated between 25 and 50 percent of its useful life.
(3) Unless we approve a different schedule, you must complete
testing and report the results to us within 180 days of the earliest
point at which you could complete the testing based on the hours of
operation accumulated by the locomotives. For example, if 250 or more
locomotives use your part under this section, and the first of these to
reach 25 percent of its useful life does so on March 1st of a given
year, you must complete testing of one of the first 250 locomotives and
report to us by August 28th of that year.
(4) Unless we approve different test procedures, you must test the
locomotive according to the procedures specified in subpart F of this
part.
(5) If any locomotives fail to meet all standards, we may require
you to test one additional locomotive for each locomotive that fails.
You may choose to accept that your part is causing an emission problem
rather than continuing testing. You may also test additional locomotives
at any time. We will consider failure rates, average emission levels and
the existence of any defects among other factors in determining whether
to pursue remedial action. We may order a recall pursuant to 40 CFR part
1068 before you complete testing additional locomotives.
(6) You may ask us to allow you to rely on testing performed by
others instead of requiring you to perform testing. For example, if a
railroad tests a locomotive with your component as part of its testing
under Sec. 1033.810, you may ask to submit those test data as
fulfillment of your test obligations under this paragraph (d). If a
given test locomotive uses different components certified under this
section that were manufactured by different manufacturers (such as rings
from one manufacturer and cylinder liners from another manufacturer), a
single test of it may be counted towards both manufacturers' test
obligations. In unusual circumstances, you may also ask us to grant you
hardship relief from the testing requirements of this paragraph (d). In
determining whether to grant you relief, we will consider all relevant
factors including the extent of the financial hardship to your company
and whether the test data are available from other sources, such as
testing performed by a railroad.
(e) Components certified under this section may be used when
remanufacturing Category 2 engines under 40 CFR part 1042.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8425, Feb. 24, 2009]
Sec. 1033.650 Incidental use exemption for Canadian and Mexican
locomotives.
You may ask us to exempt from the requirements and prohibitions of
this part locomotives that are operated primarily outside of the United
States and that enter the United States temporarily from Canada or
Mexico. We will approve this exemption only where we determine that the
locomotive's operation within the United States will not be extensive
and will be incidental to its primary operation. For example, we would
generally exempt locomotives that will not operate more than 25 miles
from the border and will operate in the United States less than 5
percent of their operating time. For existing operations, you must
request
[[Page 72]]
this exemption before January 1, 2011. In your request, identify the
locomotives for which you are requesting an exemption, and describe
their projected use in the United States. We may grant the exemption
broadly or limit the exemption to specific locomotives and/or specific
geographic areas. However, we will typically approve exemptions for
specific rail facilities rather than specific locomotives. In unusual
circumstances, such as cases in which new rail facilities are created,
we may approve requests submitted after January 1, 2011.
Sec. 1033.652 Special provisions for exported locomotives.
(a) Uncertified locomotives. Locomotives covered by an export
exemption under 40 CFR 1068.230 may be introduced into U.S. commerce
prior to being exported, but may not be used in any revenue generating
service in the United States. Locomotives covered by this paragraph (a)
may not include any EPA emission control information label. Such
locomotives may include emission control information labels for the
country to which they are being exported.
(b) Locomotives covered by export-only certificates. Locomotives may
be certified for export under 40 CFR 1068.230. Such locomotives may be
introduced into U.S. commerce prior to being exported, but may not be
used in any revenue generating service in the United States.
(c) Locomotives included in a certified engine family. Except as
specified in paragraph (d) of this section, locomotives included in a
certified engine family may be exported without restriction. Note that
Sec. 1033.705 requires that exported locomotives be excluded from
emission credit calculations in certain circumstances.
(d) Locomotives certified to FELs above the standards. The
provisions of this paragraph (d) apply for locomotive configurations
included in engine families certified to one or more FELs above any
otherwise applicable standard. Individual locomotives that will be
exported may be excluded from an engine family if they are unlabeled.
For locomotives that were labeled during production, you may remove the
emission control information labels prior to export. All unlabeled
locomotives that will be exported are subject to the provisions of
paragraph (a) of this section. Locomotives that are of a configuration
included in an engine family certified to one of more FELs above any
otherwise applicable standard that include an EPA emission control
information label when exported are considered to be part of the engine
family and must be included in credit calculations under Sec. 1033.705.
Note that this requirement does not apply for locomotives that do not
have an EPA emission control information label, even if they have other
labels (such as an export-only label).
[75 FR 22986, Apr. 30, 2010]
Sec. 1033.655 Special provisions for certain Tier 0/Tier 1
locomotives.
(a) The provisions of this section apply only for the following
locomotives (and locomotives in the same engine families as these
locomotives):
(1) Locomotives listed in Table 1 of this section originally
manufactured 1986-1994 by General Electric Company that have never been
equipped with separate loop aftercooling. The section also applies for
the equivalent passenger locomotives.
Table 1 to Sec. 1033.655
------------------------------------------------------------------------
------------------------------------------------------------------------
8-40C..................................... P32ACDM
8-40B..................................... P42DC
8-32B..................................... 8-40BPH
8-40CW.................................... P40DC
8-40BW.................................... 8-32BWH
8-40CM.................................... C39-8
8-41CW.................................... B39-8E
8-44CW ............................
------------------------------------------------------------------------
(2) SD70MAC and SD70IAC locomotives originally manufactured 1996-
2000 by EMD.
(b) Any certifying remanufacturer may request relief for the
locomotives covered by this section.
(c) You may ask us to allow these locomotives to exceed otherwise
applicable line-haul cycle NOX standard for
[[Page 73]]
high ambient temperatures and/or altitude because of limitations of the
cooling system. However, the NOX emissions may exceed the
otherwise applicable standard only to the extent necessary. Relief is
limited to the following conditions:
(1) For General Electric locomotives, you may ask for relief for
ambient temperatures above 23 deg.C and/or barometric pressure below
97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 9.5 g/
bhp-hr over the line-haul cycle for any temperatures up to 105 deg.F
and any altitude up to 7000 feet above sea level.
(2) For EMD locomotives, you may ask for relief for ambient
temperatures above 30 deg.C and/or barometric pressure below 97.5 kPa
(28.8 in. Hg). NOX emissions may not exceed 8.0 g/bhp-hr over
the line-haul cycle for any temperatures up to 105 deg.F and any
altitude up to 7000 feet above sea level.
(d) All other standards and requirements in this part apply as
specified.
(e) To request this relief, submit to the Designated Compliance
Officer along with your application for certification an engineering
analysis showing how your emission controls operate for the following
conditions:
(1) Temperatures 23-40 deg.C at any altitude up to 7000 feet above
sea level.
(2) Altitudes 1000-7000 feet above sea level for any temperature
from 15-40 deg.C.
Subpart H_Averaging, Banking, and Trading for Certification
Sec. 1033.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. Participation in this
program is voluntary.
(b) Section 1033.740 restricts the use of emission credits to
certain averaging sets.
(c) The definitions of Subpart J of this part apply to this subpart.
The following definitions also apply:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Applicable emission standard means an emission standard that is
specified in subpart B of this part. Note that for other subparts,
``applicable emission standard'' is defined to also include FELs.
(3) Averaging set means a set of locomotives in which emission
credits may be exchanged only with other locomotives in the same
averaging set.
(4) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(5) Buyer means the entity that receives emission credits as a
result of a trade.
(6) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(7) Seller means the entity that provides emission credits during a
trade.
(8) Trade means to exchange emission credits, either as a buyer or
seller.
(9) Transfer means to convey control of credits generated for an
individual locomotive to the purchaser, owner, or operator of the
locomotive at the time of manufacture or remanufacture; or to convey
control of previously generated credits from the purchaser, owner, or
operator of an individual locomotive to the manufacturer/remanufacturer
at the time of manufacture/remanufacture.
(d) You may not use emission credits generated under this subpart to
offset any emissions that exceed an FEL 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 a locomotive exceed an FEL or standard (for example,
during a selective enforcement audit), you may use emission credits to
recertify the engine family with a higher FEL that applies only to
future production.
(e) Engine families that use emission credits for one or more
pollutants may not generate positive emission credits for another
pollutant.
(f) Emission credits may be used in the model year they are
generated or in future model years. Emission credits may not be used for
past model years.
(g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1033.225. The
new FEL may
[[Page 74]]
apply only to locomotives you have not already introduced into commerce.
Each locomotive's emission control information label must include the
applicable FELs. You must conduct production line testing to verify that
the emission levels are achieved.
(h) Credits may be generated by any certifying manufacturer/
remanufacturer and may be held by any of the following entities:
(1) Locomotive or engine manufacturers.
(2) Locomotive or engine remanufacturers.
(3) Locomotive owners.
(4) Locomotive operators.
(5) Other entities after notification to EPA.
(i) All locomotives that are certified to an FEL that is different
from the emission standard that would otherwise apply to the locomotives
are required to comply with that FEL for the remainder of their service
lives, except as allowed by Sec. 1033.750.
(1) Manufacturers must notify the purchaser of any locomotive that
is certified to an FEL that is different from the emission standard that
would otherwise apply that the locomotive is required to comply with
that FEL for the remainder of its service life.
(2) Remanufacturers must notify the owner of any locomotive or
locomotive engine that is certified to an FEL that is different from the
emission standard that would otherwise apply that the locomotive (or the
locomotive in which the engine is used) is required to comply with that
FEL for the remainder of its service life.
(j) The FEL to which the locomotive is certified must be included on
the locomotive label required in Sec. 1033.135. This label must include
the notification specified in paragraph (i) of this section.
(k) You may use either of the following approaches to retire or
forego emission credits:
(1) You may retire emission credits generated from any number of
your locomotives. This may be considered donating emission credits to
the environment. Identify any such credits in the reports described in
Sec. 1033.730. Locomotives must comply with the applicable FELs even if
you donate or sell the corresponding emission credits under this
paragraph (e). Those credits may no longer be used by anyone to
demonstrate compliance with any EPA emission standards.
(2) You may certify a family using an FEL below the emission
standard as described in this part and choose not to generate emission
credits for that family. If you do this, you do not need to calculate
emission credits for those families and you do not need to submit or
keep the associated records described in this subpart for that family.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016]
Sec. 1033.705 Calculating emission credits.
The provisions of this section apply separately for calculating
emission credits for NOX or PM.
(a) Calculate positive emission credits for an engine family that
has an FEL below the otherwise applicable emission standard. Calculate
negative emission credits for an engine family that has an FEL above the
otherwise applicable emission standard. Do not round until the end of
year report.
(b) For each participating engine family, calculate positive or
negative emission credits relative to the otherwise applicable emission
standard. For the end of year report, round the sum of emission credits
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of
year emission credit balance to the nearest megagram (Mg). Use
consistent units throughout the calculation. When useful life is
expressed in terms of megawatt-hrs, calculate credits for each engine
family from the following equation:
Emission credits = (Std-FEL) x (1.341) x (UL) x (Production) x
(Fp) x (10-3 kW-Mg/MW-g).
Where:
Std = the applicable NOX or PM emission standard in g/bhp-hr
(except that Std = previous FEL in g/bhp-hr for locomotives
that were certified under this part to an FEL other than the
standard during the previous useful life).
FEL = the family emission limit for the engine family in g/bhp-hr.
UL = the sales-weighted average useful life in megawatt-hours (or the
subset of the engine family for which credits are being
[[Page 75]]
calculated), as specified in the application for
certification.
Production = the number of locomotives participating in the averaging,
banking, and trading program within the given engine family
during the calendar year (or the number of locomotives in the
subset of the engine family for which credits are being
calculated). Quarterly production projections are used for
initial certification. Actual applicable production/sales
volumes are used for end-of-year compliance determination.
Fp = the proration factor as determined in paragraph (d) of
this section.
(c) When useful life is expressed in terms of miles, calculate the
useful life in terms of megawatt-hours (UL) by dividing the useful life
in miles by 100,000, and multiplying by the sales-weighted average rated
power of the engine family. For example, if your useful life is 800,000
miles for a family with an average rated power of 3,500 hp, then your
equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are
calculated using this UL value in the equations of paragraph (b) of this
section.
(d) The proration factor is an estimate of the fraction of a
locomotive's service life that remains as a function of age. The
proration factor is 1.00 for freshly manufactured locomotives.
(1) The locomotive's age is the length of time in years from the
date of original manufacture to the date at which the remanufacture (for
which credits are being calculated) is completed, rounded to the next
higher year.
(2) The proration factors for line-haul locomotives ages 1 through
20 are specified in Table 1 to this section. For line-haul locomotives
more than 20 years old, use the proration factor for 20 year old
locomotives. The proration factors for switch locomotives ages 1 through
40 are specified in Table 2 to this section. For switch locomotives more
than 40 years old, use the proration factor for 40 year old locomotives.
(3) For repower engines, the proration factor is based on the age of
the locomotive chassis, not the age of the engine, except for
remanufactured locomotives that qualify as refurbished. The minimum
proration factor for remanufactured locomotives that meet the definition
of refurbished but not freshly manufactured is 0.60. (Note: The
proration factor is 1.00 for all locomotives that meet the definition of
freshly manufactured.)
Table 1 to Sec. 1033.705--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor (Fp)
------------------------------------------------------------------------
1....................................................... 0.96
2....................................................... 0.92
3....................................................... 0.88
4....................................................... 0.84
5....................................................... 0.81
6....................................................... 0.77
7....................................................... 0.73
8....................................................... 0.69
9....................................................... 0.65
10...................................................... 0.61
11...................................................... 0.57
12...................................................... 0.54
13...................................................... 0.50
14...................................................... 0.47
15...................................................... 0.43
16...................................................... 0.40
17...................................................... 0.36
18...................................................... 0.33
19...................................................... 0.30
20...................................................... 0.27
------------------------------------------------------------------------
Table 2 to Sec. 1033.705--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor (Fp)
------------------------------------------------------------------------
1....................................................... 0.98
2....................................................... 0.96
3....................................................... 0.94
4....................................................... 0.92
5....................................................... 0.90
6....................................................... 0.88
7....................................................... 0.86
8....................................................... 0.84
9....................................................... 0.82
10...................................................... 0.80
11...................................................... 0.78
12...................................................... 0.76
13...................................................... 0.74
14...................................................... 0.72
15...................................................... 0.70
16...................................................... 0.68
17...................................................... 0.66
18...................................................... 0.64
19...................................................... 0.62
20...................................................... 0.60
21...................................................... 0.58
22...................................................... 0.56
23...................................................... 0.54
24...................................................... 0.52
25...................................................... 0.50
26...................................................... 0.48
27...................................................... 0.46
28...................................................... 0.44
29...................................................... 0.42
30...................................................... 0.40
31...................................................... 0.38
32...................................................... 0.36
33...................................................... 0.34
34...................................................... 0.32
35...................................................... 0.30
36...................................................... 0.28
37...................................................... 0.26
[[Page 76]]
38...................................................... 0.24
39...................................................... 0.22
40...................................................... 0.20
------------------------------------------------------------------------
(e) In your application for certification, base your showing of
compliance on projected production volumes for locomotives that will be
placed into service in the United States. As described in Sec.
1033.730, compliance with the requirements of this subpart is determined
at the end of the model year based on actual production volumes for
locomotives that will be placed into service in the United States. Do
not include any of the following locomotives to calculate emission
credits:
(1) Locomotives permanently exempted under subpart G of this part or
under 40 CFR part 1068.
(2) Exported locomotives. You may ask to include locomotives sold to
Mexican or Canadian railroads if they will likely operate within the
United States and you include all such locomotives (both credit using
and credit generating locomotives).
(3) Locomotives not subject to the requirements of this part, such
as those excluded under Sec. 1033.5.
(4) Any other locomotives, where we indicate elsewhere in this part
1033 that they are not to be included in the calculations of this
subpart.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]
Sec. 1033.710 Averaging emission credits.
(a) Averaging is the exchange of emission credits among your engine
families. You may average emission credits only as allowed by Sec.
1033.740.
(b) You may certify one or more engine families to an FEL above the
applicable emission standard, subject to the 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.
(c) If you certify an engine family to an FEL that exceeds the
otherwise applicable emission standard, you must obtain enough emission
credits to offset the engine family's deficit by the due date for the
final report required in Sec. 1033.730. The emission credits used to
address the deficit may come from your other engine families that
generate emission credits in the same model year, from emission credits
you have banked from previous model years, or from emission credits
generated in the same or previous model years that you obtained through
trading or by transfer.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016]
Sec. 1033.715 Banking emission credits.
(a) Banking is the retention of emission credits by the
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in future model
years for averaging, trading, or transferring. You may use banked
emission credits only as allowed by Sec. 1033.740.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1033.730 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, trading, or
transferring.
(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.
[75 FR 22987, Apr. 30, 2010]
Sec. 1033.720 Trading emission credits.
(a) Trading is the exchange of emission credits between certificate
holders. You may use traded emission credits for averaging, banking, or
further trading transactions. Traded emission credits may be used only
as allowed by Sec. 1033.740.
(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.
[[Page 77]]
(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 Sec. 1033.255(e) for cases involving fraud.
We may void the certificates of all engine families participating in a
trade that results in a manufacturer/remanufacturer having a negative
balance of emission credits. See Sec. 1033.745.
Sec. 1033.722 Transferring emission credits.
(a) Credit transfer is the conveying of control over credits,
either:
(1) From a certifying manufacturer/remanufacturer to an owner/
operator.
(2) From an owner/operator to a certifying manufacturer/
remanufacturer.
(b) Transferred credits can be:
(1) Used by a certifying manufacturer/remanufacturer in averaging.
(2) Transferred again within the model year.
(3) Reserved for later banking. Transferred credits may not be
traded unless they have been previously banked.
(c) Owners/operators participating in credit transfers must submit
the reports specified in Sec. 1033.730.
Sec. 1033.725 Requirements for your application for certification.
(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each engine family that
will be certified using the ABT program. You must also declare the FELs
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 must be expressed
to the same number of decimal places as the applicable emission
standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year.
(2) Detailed calculations of projected emission credits (positive or
negative) based on projected production volumes. We may require you to
include similar calculations from your other engine families to
demonstrate that you will be able to avoid negative credit balances for
the model year. If you project negative emission credits for a family,
state the source of positive emission credits you expect to use to
offset the negative emission credits.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010;
81 FR 74009, Oct. 25, 2016]
Sec. 1033.730 ABT reports.
(a) If any of your engine families are certified using the ABT
provisions of this subpart, you must send an end-of-year report within
90 days after the end of the model year and a final report within 270
days after the end of the model year. We may waive the requirement to
send the end-of year report, as long as you send the final report on
time.
(b) Your end-of-year and final reports must include the following
information for each engine family participating in the ABT program:
(1) Engine family designation and averaging sets (whether switch,
line-haul, or both).
(2) The emission standards that would otherwise apply to the engine
family.
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec. 1033.225.
(4) The projected and actual U.S.-directed production volumes for
the model year as described in Sec. 1033.705. If you changed an FEL
during the model year, identify the actual U.S.-directed production
volume associated with each FEL.
(5) Rated power for each locomotive configuration, and the average
locomotive power weighted by U.S.-directed production volumes for the
engine family.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
engine family. Identify any emission credits
[[Page 78]]
that you traded or transferred, as described in paragraph (d)(1) or (e)
of this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
engine families in each averaging set in the applicable model year is
not negative.
(2) State whether you will retain any emission credits for banking.
If you choose to retire emission credits that would otherwise be
eligible for banking, identify the engine families that generated the
emission credits, including the number of emission credits from each
family.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The averaging set corresponding to the engine families that
generated emission credits for the trade, including the number of
emission credits from each averaging set.
(2) As the buyer, you must include the following information in your
report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply for each averaging set.
(e) If you transfer emission credits, you must send us a report
within 90 days after the first transfer to an owner/operator, as
follows:
(1) Include the following information:
(i) The corporate names of the owner/operator receiving the credits.
(ii) A copy of any contracts related to the trade.
(iii) The serial numbers and engine families for the locomotive that
generated the transferred emission credits and the number of emission
credits from each family.
(2) The requirements of this paragraph (e) apply separately for each
owner/operator.
(3) We may require you to submit additional 90-day reports under
this paragraph (e).
(f) 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.
(g) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by the
time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that are
determined more than 270 days after the end of the model year. If you
report a negative balance of emission credits, we may disallow
corrections under this paragraph (g)(2).
(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.
(h) We may modify these requirements for owners/operators required
to submit reports because of their involvement in credit transferring.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010;
81 FR 74009, Oct. 25, 2016]
Sec. 1033.735 Required records.
(a) You must organize and maintain your records as described in this
section.
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits.
[[Page 79]]
(c) Keep a copy of the reports we require in Sec. 1033.730.
(d) Keep records of the engine identification number for each
locomotive you produce that generates or uses emission credits under the
ABT program. If you change the FEL after the start of production,
identify the date you started using each FEL and the range of engine
identification numbers associated with each FEL. You must also be able
to identify the purchaser and destination for each engine you produce.
(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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010;
81 FR 74009, Oct. 25, 2016]
Sec. 1033.740 Credit restrictions.
Use of emission credits generated under this part 1033 or 40 CFR
part 92 is restricted depending on the standards against which they were
generated.
(a) Credits from 40 CFR part 92. NOX and PM credits
generated under 40 CFR part 92 may be used under this part in the same
manner as NOX and PM credits generated under this part.
(b) General cycle restriction. Locomotives subject to both switch
cycle standards and line-haul cycle standards (such as Tier 2
locomotives) may generate both switch and line-haul credits. Except as
specified in paragraph (c) of this section, such credits may only be
used to show compliance with standards for the same cycle for which they
were generated. For example, a Tier 2 locomotive that is certified to a
switch cycle NOX FEL below the applicable switch cycle
standard and a line-haul cycle NOX FEL below the applicable
line-haul cycle standard may generate switch cycle NOX
credits for use in complying with switch cycle NOX standards
and a line-haul cycle NOX credits for use in complying with
line-haul cycle NOX standards.
(c) Single cycle locomotives. As specified in Sec. 1033.101, Tier 0
switch locomotives, Tier 3 and later switch locomotives, and Tier 4 and
later line-haul locomotives are not subject to both switch cycle and
line-haul cycle standards.
(1) When using credits generated by locomotives covered by paragraph
(b) of this section for single cycle locomotives covered by this
paragraph (c), you must use both switch and line-haul credits as
described in this paragraph (c)(1).
(i) For locomotives subject only to switch cycle standards,
calculate the negative switch credits for the credit using locomotive as
specified in Sec. 1033.705. Such locomotives also generate an equal
number of negative line-haul cycle credits (in Mg).
(ii) For locomotives subject only to line-haul cycle standards,
calculate the negative line-haul credits for the credit using locomotive
as specified in Sec. 1033.705. Such locomotives also generate an equal
number of negative switch cycle credits (in Mg).
(2) Credits generated by Tier 0, Tier 3, or Tier 4 switch
locomotives may be used to show compliance with any switch cycle or
line-haul cycle standards.
(3) Credits generated by any line-haul locomotives may not be used
by Tier 3 or later switch locomotives.
(d) Tier 4 credit use. The number of Tier 4 locomotives that can be
certified using credits in any year may not exceed 50 percent of the
total number of Tier 4 locomotives you produce in that year for U.S.
sales.
(e) Other restrictions. Other sections of this part may specify
additional restrictions for using emission credits under certain special
provisions.
Sec. 1033.745 Compliance with the provisions of this subpart.
The provisions of this section apply to certificate holders.
(a) For each engine family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
an engine family if you fail to comply with any provisions of this
subpart.
(b) You may certify your engine family to an FEL above an applicable
[[Page 80]]
emission standard based on a projection that you will have enough
emission credits to offset the deficit for the engine family. However,
we may void the certificate of conformity if you cannot show in your
final report that you have enough actual emission credits to offset a
deficit for any pollutant in an engine family.
(c) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information we
request.
(d) You may ask for a hearing if we void your certificate under this
section (see Sec. 1033.920).
Sec. 1033.750 Changing a locomotive's FEL at remanufacture.
Locomotives are generally required to be certified to the previously
applicable emission standard or FEL when remanufactured. This section
describes provisions that allow a remanufactured locomotive to be
certified to a different FEL (higher or lower).
(a) A remanufacturer may choose to certify a remanufacturing system
to change the FEL of a locomotive from a previously applicable FEL or
standard. Any locomotives remanufactured using that system are required
to comply with the revised FEL for the remainder of their service lives,
unless it is changed again under this section during a later
remanufacture. Remanufacturers changing an FEL must notify the owner of
the locomotive that it is required to comply with that FEL for the
remainder of its service life.
(b) Calculate the credits needed or generated as specified in Sec.
1033.705, except as specified in this paragraph. If the locomotive was
previously certified to an FEL for the pollutant, use the previously
applicable FEL as the standard.
Subpart I_Requirements for Owners and Operators
Sec. 1033.801 Applicability.
The requirements of this subpart are applicable to railroads and all
other owners and operators of locomotives subject to the provisions of
this part, except as otherwise specified. The prohibitions related to
maintenance in Sec. 1033.815 also applies to anyone performing
maintenance on a locomotive subject to the provisions of this part.
Sec. 1033.805 Remanufacturing requirements.
(a) See the definition of ``remanufacture'' in Sec. 1033.901 to
determine if you are remanufacturing your locomotive or engine. (Note:
Replacing power assemblies one at a time may qualify as remanufacturing,
depending on the interval between replacement.)
(b) See the definition of ``new'' in Sec. 1033.901 to determine if
remanufacturing your locomotive makes it subject to the requirements of
this part. If the locomotive is considered to be new, it is subject to
the certification requirements of this part, unless it is exempt under
subpart G of this part. The standards to which your locomotive is
subject will depend on factors such as the following:
(1) Its date of original manufacture.
(2) The FEL to which it was previously certified, which is listed on
the ``Locomotive Emission Control Information'' label.
(3) Its power rating (whether it is above or below 2300 hp).
(4) The calendar year in which it is being remanufactured.
(c) You may comply with the certification requirements of this part
for your remanufactured locomotive by either obtaining your own
certificate of conformity as specified in subpart C of this part or by
having a certifying remanufacturer include your locomotive under its
certificate of conformity. In either case, your remanufactured
locomotive must be covered by a certificate before it is reintroduced
into service.
(d) If you do not obtain your own certificate of conformity from
EPA, contact a certifying remanufacturer to have your locomotive
included under its certificate of conformity. Confirm with the
certificate holder that your locomotive's model, date of original
manufacture, previous FEL, and power rating allow it to be covered by
the certificate. You must do all of the following:
(1) Comply with the certificate holder's emission-related
installation instructions, which should include the following:
[[Page 81]]
(i) A description of how to assemble and adjust the locomotive so
that it will operate according to design specifications in the
certificate. See paragraph (e) of this section for requirements related
to the parts you must use.
(ii) Instructions to remove the Engine Emission Control Information
label and replace it with the certificate holder's new label.
Note: In most cases, you must not remove the Locomotive Emission
Control Information label.
(2) Provide to the certificate holder the information it identifies
as necessary to comply with the requirements of this part. For example,
the certificate holder may require you to provide the information
specified by Sec. 1033.735.
(e) For parts unrelated to emissions and emission-related parts not
addressed by the certificate holder in the emission-related installation
instructions, you may use parts from any source. For emission-related
parts listed by the certificate holder in the emission-related
installation instructions, you must either use the specified parts or
parts certified under Sec. 1033.645 for remanufacturing. If you believe
that the certificate holder has included as emission-related parts,
parts that are actually unrelated to emissions, you may ask us to
exclude such parts from the emission-related installation instructions.
Note: This paragraph (e) does not apply with respect to parts for
maintenance other than remanufacturing; see Sec. 1033.815 for
provisions related to general maintenance.
(f) Failure to comply with this section is a violation of 40 CFR
1068.101(a)(1).
Sec. 1033.810 In-use testing program.
(a) Applicability. This section applies to all Class I freight
railroads. It does not apply to other owner/operators.
(b) Testing requirements. Annually test a sample of locomotives in
your fleet. For purposes of this section, your fleet includes both the
locomotives that you own and the locomotives that you are leasing. Use
the test procedures in subpart F of this part, unless we approve
different procedures.
(1) Except for the cases described in paragraph (b)(2) of this
section, test at least 0.075 percent of the average number of
locomotives in your fleet during the previous calendar year (i.e.,
determine the number to be tested by multiplying the number of
locomotives in the fleet by 0.00075 and rounding up to the next whole
number).
(2) We may allow you to test a smaller number of locomotives if we
determine that the number of tests otherwise required by this section is
not necessary.
(c) Test locomotive selection. Unless we specify a different option,
select test locomotives as specified in paragraph (c)(1) of this section
(Option 1). In no case may you exclude locomotives because of visible
smoke, a history of durability problems, or other evidence of
malmaintenance. You may test more locomotives than this section
requires.
(1) Option 1. To the extent possible, select locomotives from each
manufacturer and remanufacturer, and from each tier level (e.g., Tier 0,
Tier 1 and Tier 2) in proportion to their numbers in the your fleet.
Exclude locomotives tested during the previous year. If possible, select
locomotives that have been operated for at least 100 percent of their
useful lives. Where there are multiple locomotives meeting the
requirements of this paragraph (c)(1), randomly select the locomotives
to be tested from among those locomotives. If the number of certified
locomotives that have been operated for at least 100 percent of their
useful lives is not large enough to fulfill the testing requirement,
test locomotives still within their useful lives as follows:
(i) Test locomotives in your fleet that are nearest to the end of
their useful lives. You may identify such locomotives as a range of
values representing the fraction of the useful life already used up for
the locomotives.
(ii) For example, you may determine that 20 percent of your fleet
has been operated for at least 75 percent of their useful lives. In such
a case, select locomotives for testing that have been operated for at
least 75 percent of their useful lives.
(2) Option 2. If you hold a certificate for some of your
locomotives, you may ask us to allow you to select up to two
[[Page 82]]
locomotives as specified in subpart E of this part, and count those
locomotives toward both your testing obligations of that subpart and
this section.
(3) Option 3. You may ask us to allow you to test locomotives that
use parts covered under Sec. 1033.645. If we do, it does not change the
number of locomotives that you must test.
(4) Option 4. We may require that you test specific locomotives,
including locomotives that do not meet the criteria specified in any of
the options in this section. If we do, we will specify which locomotives
to test by January 1 of the calendar year for which testing is required.
(d) Reporting requirements. Report all testing done in compliance
with the provisions of this section to us within 45 calendar days after
the end of each calendar year. At a minimum, include the following:
(1) Your full corporate name and address.
(2) For each locomotive tested, all the following:
(i) Corporate name of the manufacturer and last remanufacturer(s) of
the locomotive (including both certificate holder and installer, where
different), and the corporate name of the manufacturer or last
remanufacturer(s) of the engine if different than that of the
manufacturer/remanufacturer(s) of the locomotive.
(ii) Year (and month if known) of original manufacture of the
locomotive and the engine, and the manufacturer's model designation of
the locomotive and manufacturer's model designation of the engine, and
the locomotive identification number.
(iii) Year (and month if known) that the engine last underwent
remanufacture, the engine remanufacturer's designation that reflects (or
most closely reflects) the engine after the last remanufacture, and the
engine family identification.
(iv) The number of MW-hrs and miles (where available) the locomotive
has been operated since its last remanufacture.
(v) The emission test results for all measured pollutants.
(e) You do not have to submit a report for any year in which you
performed no emission testing under this section.
(f) You may ask us to allow you to submit equivalent emission data
collected for other purposes instead of some or all of the test data
required by this section. If we allow it in advance, you may report
emission data collected using other testing or sampling procedures
instead of some or all of the data specified by this section.
(g) Submit all reports to the Designated Compliance Officer.
(h) Failure to comply fully with this section is a violation of 40
CFR 1068.101(a)(2).
[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008]
Sec. 1033.815 Maintenance, operation, and repair.
All persons who own, operate, or maintain locomotives are subject to
this section, except where we specify that a requirement applies to the
owner.
(a) Unless we allow otherwise, all owners of locomotives subject to
the provisions of this part must ensure that all emission-related
maintenance is performed on the locomotives, as specified in the
maintenance instructions provided by the certifying manufacturer/
remanufacturer in compliance with Sec. 1033.125 (or maintenance that is
equivalent to the maintenance specified by the certifying manufacturer/
remanufacturer in terms of maintaining emissions performance).
(b) Perform unscheduled maintenance in a timely manner. This
includes malfunctions identified through the locomotive's emission
control diagnostics system and malfunctions discovered in components of
the diagnostics system itself. For most repairs, this paragraph (b)
requires that the maintenance be performed no later than the
locomotive's next periodic (92-day or 184-day) inspection. See paragraph
(e) of this section, for reductant replenishment requirements in a
locomotive equipped with an SCR system.
(c) Use good engineering judgment when performing maintenance of
locomotives subject to the provisions of this part. You must perform all
maintenance and repair such that you have
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a reasonable technical basis for believing the locomotive will continue
(after the maintenance or repair) to meet the applicable emission
standards and FELs to which it was certified.
(d) The owner of the locomotive must keep records of all maintenance
and repairs that could reasonably affect the emission performance of any
locomotive subject to the provisions of this part. Keep these records
for eight years.
(e) For locomotives equipped with emission controls requiring the
use of specific fuels, lubricants, or other fluids, proper maintenance
includes complying with the manufacturer/remanufacturer's specifications
for such fluids when operating the locomotives. This requirement applies
without regard to whether misfueling permanently disables the emission
controls. For locomotives certified on ultra-low sulfur diesel fuel, but
that do not include sulfur-sensitive emission controls, you may use low-
sulfur diesel fuel instead of ultra-low sulfur diesel fuel, consistent
with good engineering judgment. The following additional provisions
apply for locomotives equipped with SCR systems requiring the use of
urea or other reductants:
(1) You must plan appropriately to ensure that reductant will be
available to the locomotive during operation.
(2) If the SCR diagnostic indicates (or you otherwise determine)
that either reductant supply or reductant quality in the locomotive is
inadequate, you must replace the reductant as soon as practical.
(3) If you operate a locomotive without the appropriate urea or
other reductant, you must report such operation to us within 30 days.
Note that such operation violates the requirement of this paragraph (e);
however, we may consider mitigating factors (such as how long the
locomotive was operated without the appropriate urea or other reductant)
in determining whether to assess penalties for such violations.
(f) Failure to fully comply with this section is a violation of 40
CFR 1068.101(b).
[73 FR 37197, June 30, 2008, as amended at 81 FR 74010, Oct. 25, 2016]
Sec. 1033.820 In-use locomotives.
(a) We may require you to supply in-use locomotives to us for
testing. We will specify a reasonable time and place at which you must
supply the locomotives and a reasonable period during which we will keep
them for testing. We will make reasonable allowances for you to schedule
the supply of locomotives to minimize disruption of your operations. The
number of locomotives that you must supply is limited as follows:
(1) We will not require a Class I railroad to supply more than five
locomotives per railroad per calendar year.
(2) We will not require a non-Class I railroad (or other entity
subject to the provisions of this subpart) to supply more than two
locomotives per railroad per calendar year. We will request locomotives
under this paragraph (a)(2) only for purposes that cannot be
accomplished using locomotives supplied under paragraph (a)(1) of this
section.
(b) You must make reasonable efforts to supply manufacturers/
remanufacturers with the test locomotives needed to fulfill the in-use
testing requirements in subpart E of this part.
(c) Failure to fully comply with this section is a violation of 40
CFR 1068.101(a)(2).
Sec. 1033.825 Refueling requirements.
(a) If your locomotive operates using a volatile fuel, your
refueling equipment must be designed and used to minimize the escape of
fuel vapors. This means you may not use refueling equipment in a way
that renders any refueling emission controls inoperative or reduces
their effectiveness.
(b) If your locomotive operates using a gaseous fuel, the hoses used
to refuel it may not be designed to be bled or vented to the atmosphere
under normal operating conditions.
(c) Failing to fully comply with the requirements of this section is
a violation of 40 CFR 1068.101(b).
Subpart J_Definitions and Other Reference Information
Sec. 1033.901 Definitions.
The following definitions apply to this part. The definitions apply
to all
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subparts unless we note otherwise. All undefined terms have the meaning
the Clean Air Act gives to them. The definitions follow:
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or locomotive performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter if you show us that it will
not be adjusted in a way that affects emissions during in-use operation.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted downstream
of the exhaust valve (or exhaust port) whose design function is to
reduce emissions in the locomotive exhaust before it is exhausted to the
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
Alcohol fuel means a fuel consisting primarily (more than 50 percent
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
Alcohol-fueled locomotive means a locomotive with 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.
Alternator/generator efficiency means the ratio of the electrical
power output from the alternator/generator to the mechanical power input
to the alternator/generator at the operating point. Note that the
alternator/generator efficiency may be different at different operating
points. For example, the Institute of Electrical and Electronic
Engineers Standard 115 (``Test Procedures for Synchronous Machines'') is
an appropriate test procedure for determining alternator/generator
efficiency. Other methods may also be used consistent with good
engineering judgment.
Applicable emission standard or applicable standard means a standard
to which a locomotive is subject; or, where a locomotive has been or is
being certified to another standard or FEL, the FEL or other standard to
which the locomotive has been or is being certified is the applicable
standard. This definition does not apply to Subpart H of this part.
Auxiliary emission control device means any element of design that
senses temperature, locomotive speed, engine RPM, transmission gear, or
any other parameter for the purpose of activating, modulating, delaying,
or deactivating the operation of any part of the emission-control
system.
Auxiliary engine means a nonroad engine that provides hotel power or
power during idle, but does not provide power to propel the locomotive.
Averaging means the exchange of emission credits among engine
families within a given manufacturer's, or remanufacturer's product
line.
Banking means the retention of emission credits by a credit holder
for use in future calendar year averaging or trading as permitted by the
regulations in this part.
Brake power means the sum of the alternator/generator input power
and the mechanical accessory power, excluding any power required to
circulate engine coolant, circulate engine lubricant, supply fuel to the
engine, or operate aftertreatment devices.
Calibration means the set of specifications, including tolerances,
specific to a particular design, version, or application of a component,
or components, or assembly capable of functionally describing its
operation over its working range.
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1033.235(d).
Certification means the process of obtaining a certificate of
conformity for an engine family that complies with the emission
standards and requirements in this part, or relating to that process.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from a given test cycle.
Class I freight railroad means a Class I railroad that primarily
transports freight rather than passengers.
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Class I railroad means a railroad that has been classified as a
Class I railroad by the Surface Transportation Board.
Class II railroad means a railroad that has been classified as a
Class II railroad by the Surface Transportation Board.
Class III railroad means a railroad that has been classified as a
Class III railroad by the Surface Transportation Board.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Configuration means a unique combination of locomotive hardware and
calibration within an engine family. Locomotives within a single
configuration differ only with respect to normal production variability
(or factors unrelated to engine performance or emissions).
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the locomotive crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft and
other related internal parts.
Days means calendar days, unless otherwise specified. For example,
where we specify working days, we mean calendar days excluding weekends
and U.S. national holidays.
Design certify or certify by design means to certify a locomotive
based on inherent design characteristics rather than your test data,
such as allowed under Sec. 1033.625. All other requirements of this
part apply for such locomotives.
Designated Compliance Officer means the Director, Diesel Engine
Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood
Drive, Ann Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data locomotive.
Deterioration factor means the relationship between emissions at the
end of useful life and emissions at the low-hour test point, expressed
in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of emissions
at the end of useful life to emissions at the low-hour test point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1033.515.
Dual-fuel means relating to a locomotive designed for operation on
two different fuels but not on a continuous mixture of those fuels (see
Sec. 1033.601(f)). For purposes of this part, such a locomotive remains
a dual-fuel locomotive even if it is designed for operation on three or
more different fuels.
Emission control system means any device, system, or element of
design that controls or reduces the regulated emissions from a
locomotive.
Emission credits represent the amount of emission reduction or
exceedance, by a locomotive engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above the
standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a calendar year waiting
to be reported to EPA at the end of the calendar year. ``Actual
credits'' refer to emission credits based on actual applicable
production/sales volume as contained in the end-of-year reports
submitted to EPA.
Emission-data locomotive means a locomotive or engine that is tested
for certification. This includes locomotives tested to establish
deterioration factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine family has the meaning given in Sec. 1033.230.
Engine used in a locomotive means an engine incorporated into a
locomotive or intended for incorporation into a locomotive (whether or
not it is used for propelling the locomotive).
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Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer/remanufacturer, with respect to compliance with the
provisions of this part.
EPA Enforcement Officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator or his/her designee.
Exempted means relating to a locomotive that is not required to meet
otherwise applicable standards. Exempted locomotives must conform to
regulatory conditions specified for an exemption in this part 1033 or in
40 CFR part 1068. Exempted locomotives are deemed to be ``subject to''
the standards of this part, even though they are not required to comply
with the otherwise applicable requirements. Locomotives exempted with
respect to a certain tier of standards may be required to comply with an
earlier tier of standards as a condition of the exemption; for example,
locomotives exempted with respect to Tier 3 standards may be required to
comply with Tier 2 standards.
Excluded means relating to a locomotive that either has been
determined not to be a locomotive (as defined in this section) or
otherwise excluded under section Sec. 1033.5. Excluded locomotives are
not subject to the standards of this part.
Exhaust emissions means substances (i.e., gases and particles)
emitted to the atmosphere from any opening downstream from the exhaust
port or exhaust valve of a locomotive engine.
Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the locomotive 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.
Flexible-fuel means relating to a locomotive designed for operation
on any mixture of two or more different fuels (see Sec. 1033.601(f)).
Freshly manufactured locomotive means a new locomotive that contains
fewer than 25 percent previously used parts (weighted by the dollar
value of the parts) as described in Sec. 1033.640.
Freshly manufactured engine means a new engine that has not been
remanufactured. An engine becomes freshly manufactured when it is
originally manufactured.
Family emission limit (FEL) means an emission level declared by the
manufacturer/remanufacturer 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. The family emission limit
serves as the emission standard for the engine family with respect to
all required testing.
Fuel system means all components involved in transporting, metering,
and mixing the fuel from the fuel tank to the combustion chamber(s),
including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel
lines, carburetor or fuel-injection components, and all fuel-system
vents.
Fuel type means a general category of fuels such as diesel fuel or
natural gas. There can be multiple grades within a single fuel type,
such as high-sulfur or low-sulfur diesel fuel.
Gaseous fuel means a fuel which is a gas at standard temperature and
pressure. This includes both natural gas and liquefied petroleum gas.
Good engineering judgment means judgments made consistent with
generally accepted scientific and engineering principles and all
available relevant information. See 40 CFR 1068.5 for the administrative
process we use to evaluate good engineering judgment.
Green Engine Factor means a factor that is applied to emission
measurements from a locomotive or locomotive engine that has had little
or no service accumulation. The Green Engine Factor adjusts emission
measurements to be equivalent to emission measurements from a locomotive
or locomotive engine that has had approximately 300 hours of use.
[[Page 87]]
High-altitude means relating to an altitude greater than 4000 feet
(1220 meters) and less than 7000 feet (2135 meters), or equivalent
observed barometric test conditions (approximately 79 to 88 kPa).
High-sulfur diesel fuel means one of the following:
(1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel
with a maximum sulfur concentration greater than 500 parts per million.
(2) For testing, high-sulfur diesel fuel has the meaning given in 40
CFR part 1065.
Hotel power means the power provided by an engine on a locomotive to
operate equipment on passenger cars of a train; e.g., heating and air
conditioning, lights, etc.
Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) on
which the emission standards are based for each fuel type as described
in Sec. 1033.101.
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular locomotive from other similar locomotives.
Idle speed means the speed, expressed as the number of revolutions
of the crankshaft per unit of time (e.g., rpm), at which the engine is
set to operate when not under load for purposes of propelling the
locomotive. There are typically one or two idle speeds on a locomotive
as follows:
(1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position, or
the highest idle speed for locomotives that have two idle throttle-notch
positions.
(2) Low idle speed means the lowest idle speed for locomotives that
have two idle throttle-notch positions.
Inspect and qualify means to determine that a previously used
component or system meets all applicable criteria listed for the
component or system in a certificate of conformity for remanufacturing
(such as to determine that the component or system is functionally
equivalent to one that has not been used previously).
Installer means an individual or entity that assembles
remanufactured locomotives or locomotive engines.
Line-haul locomotive means a locomotive that does not meet the
definition of switch locomotive. Note that this includes both freight
and passenger locomotives.
Liquefied petroleum gas means the commercial product marketed as
propane or liquefied petroleum gas.
Locomotive means a self-propelled piece of on-track equipment
designed for moving or propelling cars that are designed to carry
freight, passengers or other equipment, but which itself is not designed
or intended to carry freight, passengers (other than those operating the
locomotive) or other equipment. The following other equipment are not
locomotives (see 40 CFR parts 86, 89, and 1039 for this diesel-powered
equipment):
(1) Equipment designed for operation both on highways and rails is
not a locomotive.
(2) Specialized railroad equipment for maintenance, construction,
post-accident recovery of equipment, and repairs; and other similar
equipment, are not locomotives.
(3) Vehicles propelled by engines with total rated power of less
than 750 kW (1006 hp) are not locomotives, unless the owner (which may
be a manufacturer) chooses to have the equipment certified to meet the
requirements of this part (under Sec. 1033.615). Where equipment is
certified as a locomotive pursuant to this paragraph (3), it is subject
to the requirements of this part for the remainder of its service life.
For locomotives propelled by two or more engines, the total rated power
is the sum of the rated power of each engine.
Locomotive engine means an engine that propels a locomotive.
Low-hour means relating to a locomotive with stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 300 hours of operation.
Low mileage locomotive means a locomotive during the interval
between the time that normal assembly operations and adjustments are
completed and the
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time that either 10,000 miles of locomotive operation or 300 additional
operating hours have been accumulated (including emission testing if
performed). Note that we may deem locomotives with additional operation
to be low mileage locomotives, consistent with good engineering
judgment.
Low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
market as low-sulfur diesel fuel having a maximum sulfur concentration
of 500 parts per million.
(2) For testing, low-sulfur diesel fuel has the meaning given in 40
CFR part 1065.
Malfunction means a condition in which the operation of a component
in a locomotive or locomotive engine occurs in a manner other than that
specified by the certifying manufacturer/remanufacturer (e.g., as
specified in the application for certification); or the operation of the
locomotive or locomotive engine in that condition.
Manufacture means the physical and engineering process of designing,
constructing, and assembling a locomotive or locomotive engine.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act with respect to freshly manufactured locomotives or engines. In
general, this term includes any person who manufactures a locomotive or
engine for sale in the United States or otherwise introduces a new
locomotive or engine into commerce in the United States. This includes
importers who import locomotives or engines for resale.
Manufacturer/remanufacturer means the manufacturer of a freshly
manufactured locomotive or engine or the remanufacturer of a
remanufactured locomotive or engine, as applicable.
Model year means a calendar year in which a locomotive is
manufactured or remanufactured.
New, when relating to a locomotive or locomotive engine, has the
meaning given in paragraph (1) of this definition, except as specified
in paragraph (2) of this definition:
(1) A locomotive or engine is new if its equitable or legal title
has never been transferred to an ultimate purchaser. Where the equitable
or legal title to a locomotive or engine is not transferred prior to its
being placed into service, the locomotive or engine ceases to be new
when it is placed into service. A locomotive or engine also becomes new
if it is remanufactured or refurbished (as defined in this section). A
remanufactured locomotive or engine ceases to be new when placed back
into service. With respect to imported locomotives or locomotive
engines, the term ``new locomotive'' or ``new locomotive engine'' also
means a locomotive or locomotive engine that is not covered by a
certificate of conformity under this part or 40 CFR part 92 at the time
of importation, and that was manufactured or remanufactured after the
effective date of the emission standards in 40 CFR part 92 which would
have been applicable to such locomotive or engine had it been
manufactured or remanufactured for importation into the United States.
Note that replacing an engine in one locomotive with an unremanufactured
used engine from a different locomotive does not make a locomotive new.
(2) The provisions of paragraph (1) of this definition do not apply
for the following cases:
(i) Locomotives and engines that were originally manufactured before
January 1, 1973 are not considered to become new when remanufactured
unless they have been upgraded (as defined in this section). The
provisions of paragraph (1) of this definition apply for locomotives
that have been upgraded.
(ii) Locomotives that are owned and operated by a small railroad and
that have never been certified (i.e., manufactured or remanufactured
into a certified configuration) are not considered to become new when
remanufactured. The provisions of paragraph (1) of this definition apply
for locomotives that have previously been remanufactured into a
certified configuration.
(iii) Locomotives originally certified under Sec. 1033.150(e) do
not become new when remanufactured, except as specified in Sec.
1033.615.
(iv) Locomotives that operate only on non-standard gauge rails do
not become new when remanufactured if no certified remanufacturing
system is available for them.
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Nonconforming means relating to a locomotive that is not covered by
a certificate of conformity prior to importation or being offered for
importation (or for which such coverage has not been adequately
demonstrated to EPA); or a locomotive which was originally covered by a
certificate of conformity, but which is not in a certified
configuration, or otherwise does not comply with the conditions of that
certificate of conformity. (Note: Domestic locomotives and locomotive
engines not covered by a certificate of conformity prior to their
introduction into U.S. commerce are considered to be noncomplying
locomotives and locomotive engines.)
Non-locomotive-specific engine means an engine that is sold for and
used in non-locomotive applications much more than for locomotive
applications.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines as defined in 40 CFR
1068.30.
Official emission result means the measured emission rate for an
emission-data locomotive on a given duty cycle before the application of
any deterioration factor, but after the application of regeneration
adjustment factors, Green Engine Factors, and/or humidity correction
factors.
Opacity means the fraction of a beam of light, expressed in percent,
which fails to penetrate a plume of smoke, as measured by the procedure
specified in Sec. 1033.525.
Original manufacture means the event of freshly manufacturing a
locomotive or locomotive engine. The date of original manufacture is the
date of final assembly, except as provided in Sec. 1033.640. Where a
locomotive is manufactured under Sec. 1033.620(b), the date of original
manufacture is the date on which the final assembly of locomotive was
originally scheduled.
Original remanufacture means the first remanufacturing of a
locomotive at which the locomotive is subject to the emission standards
of this part.
Owner/operator means the owner and/or operator of a locomotive.
Owners manual means a written or electronic collection of
instructions provided to ultimate purchasers to describe the basic
operation of the locomotive.
Oxides of nitrogen has the meaning given in 40 CFR part 1065.
Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
Passenger locomotive means a locomotive designed and constructed for
the primary purpose of propelling passenger trains, and providing power
to the passenger cars of the train for such functions as heating,
lighting and air conditioning.
Petroleum fuel means gasoline or diesel fuel or another liquid fuel
primarily derived from crude oil.
Placed into service means put into initial use for its intended
purpose after becoming new.
Power assembly means the components of an engine in which combustion
of fuel occurs, and consists of the cylinder, piston and piston rings,
valves and ports for admission of charge air and discharge of exhaust
gases, fuel injection components and controls, cylinder head and
associated components.
Primary fuel means the type of fuel (e.g., diesel fuel) that is
consumed in the greatest quantity (mass basis) when the locomotive is
operated in use.
Produce means to manufacture or remanufacture. Where a certificate
holder does not actually assemble the locomotives or locomotive engines
that it manufactures or remanufactures, produce means to allow other
entities to assemble locomotives under the certificate holder's
certificate.
Railroad means a commercial entity that operates locomotives to
transport passengers or freight.
Ramped-modal means relating to the ramped-modal type of testing in
subpart F of this part.
Rated power has the meaning given in Sec. 1033.140.
Refurbish has the meaning given in Sec. 1033.640.
Remanufacture means one of the following:
(1)(i) To replace, or inspect and qualify, each and every power
assembly of a locomotive or locomotive engine,
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whether during a single maintenance event or cumulatively within a five-
year period.
(ii) To upgrade a locomotive or locomotive engine.
(iii) To convert a locomotive or locomotive engine to enable it to
operate using a fuel other than it was originally manufactured to use.
(iv) To install a remanufactured engine or a freshly manufactured
engine into a previously used locomotive.
(v) To repair a locomotive engine that does not contain power
assemblies to a condition that is equivalent to or better than its
original condition with respect to reliability and fuel consumption.
(2) Remanufacture also means the act of remanufacturing.
Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part.
Remanufactured locomotive means either a locomotive powered by a
remanufactured locomotive engine, a repowered locomotive, or a
refurbished locomotive.
Remanufactured locomotive engine means a locomotive engine that has
been remanufactured.
Remanufacturer has the meaning given to ``manufacturer'' in section
216(1) of the Clean Air Act with respect to remanufactured locomotives.
(See Sec. Sec. 1033.1 and 1033.601 for applicability of this term.)
This term includes:
(1) Any person that is engaged in the manufacture or assembly of
remanufactured locomotives or locomotive engines, such as persons who:
(i) Design or produce the emission-related parts used in
remanufacturing.
(ii) Install parts in an existing locomotive or locomotive engine to
remanufacture it.
(iii) Own or operate the locomotive or locomotive engine and provide
specifications as to how an engine is to be remanufactured (i.e.,
specifying who will perform the work, when the work is to be performed,
what parts are to be used, or how to calibrate the adjustable parameters
of the engine).
(2) Any person who imports remanufactured locomotives or
remanufactured locomotive engines.
Repower means replacement of the engine in a previously used
locomotive with a freshly manufactured locomotive engine. See Sec.
1033.640.
Repowered locomotive means a locomotive that has been repowered with
a freshly manufactured engine.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine family.
Round means to round numbers as specified in 40 CFR 1065.1001.
Service life means the total life of a locomotive. Service life
begins when the locomotive is originally manufactured and continues
until the locomotive is permanently removed from service.
Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this part,
the number of employees includes all employees of the manufacturer/
remanufacturer's parent company, if applicable.
Small railroad means a railroad meeting the criterion of paragraph
(1) of this definition, but not either of the criteria of paragraphs (2)
and (3) of this definition.
(1) To be considered a small railroad, a railroad must qualify as a
small business under the Small Business Administration's regulations in
13 CFR part 121.
(2) Class I and Class II railroads (and their subsidiaries) are not
small railroads.
(3) Intercity passenger and commuter railroads are excluded from
this definition of small railroad. Note that this paragraph (3) does not
exclude tourist railroads.
Specified adjustable range means the range of allowable settings for
an adjustable component specified by a certificate of conformity.
Specified by a certificate of conformity or specified in a
certificate of conformity means stated or otherwise specified in a
certificate of conformity or an approved application for certification.
Sulfur-sensitive technology means an emission control technology
that would experience a significant drop in
[[Page 91]]
emission control performance or emission-system durability when a
locomotive is operated on low-sulfur diesel fuel with a sulfur
concentration of 300 to 500 ppm as compared to when it is operated on
ultra low-sulfur diesel fuel (i.e., fuel with a sulfur concentration
less than 15 ppm). Exhaust gas recirculation is not a sulfur-sensitive
technology.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
Switch locomotive means a locomotive that is powered by an engine
with a maximum rated power (or a combination of engines having a total
rated power) of 2300 hp or less. Include auxiliary engines in your
calculation of total power if the engines are permanently installed on
the locomotive and can be operated while the main propulsion engine is
operating. Do not count the power of auxiliary engines that operate only
to reduce idling time of the propulsion engine.
Test locomotive means a locomotive or engine in a test sample.
Test sample means the collection of locomotives or 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.
Tier 0 or Tier 0 + means relating to the Tier 0 emission standards,
as shown in Sec. 1033.101.
Tier 1 or Tier 1 + means relating to the Tier 1 emission standards,
as shown in Sec. 1033.101.
Tier 2 or Tier 2 + means relating to the Tier 2 emission standards,
as shown in Sec. 1033.101.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1033.101.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1033.101.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass contributions
of non-oxygenated hydrocarbon, alcohols and aldehydes, or other organic
compounds that are measured separately as contained in a gas sample,
expressed as exhaust hydrocarbon from petroleum-fueled locomotives. The
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means the first person who in good faith
purchases a new locomotive for purposes other than resale.
Ultra low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur
concentration of 15 parts per million.
(2) For testing, ultra low-sulfur diesel fuel has the meaning given
in 40 CFR part 1065.
Upcoming model year means for an engine family the model year after
the one currently in production.
Upgrade means one of the following types of remanufacturing.
(1) Repowering a locomotive that was originally manufactured prior
to January 1, 1973.
(2) Refurbishing a locomotive that was originally manufactured prior
to January 1, 1973 in a manner that is not freshly manufacturing.
(3) Modifying a locomotive that was originally manufactured prior to
January 1, 1973 (or a locomotive that was originally manufactured on or
after January 1, 1973, and that is not subject to the emission standards
of this part), such that it is intended to comply with the Tier 0
standards. See Sec. 1033.615.
Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a locomotive is required to comply
with all applicable emission standards. See Sec. 1033.101(g).
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
[[Page 92]]
Volatile fuel means a volatile liquid fuel or any fuel that is a gas
at atmospheric pressure. Gasoline, natural gas, and LPG are volatile
fuels.
Volatile liquid fuel means any liquid fuel other than diesel or
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor
Pressure higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008; 75
FR 22987, Apr. 30, 2010; 81 FR 74010, Oct. 25, 2016]
Sec. 1033.905 Symbols, acronyms, and abbreviations.
The following symbols, acronyms, and abbreviations apply to this
part:
ABT averaging, banking, and trading.
AECD auxiliary emission control device.
AESS automatic engine stop/start
AF adjustment factor (see Sec. 1033.530).
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
N2O nitrous oxide.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S. United States.
U.S.C. United States Code.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22987, Apr. 30, 2010]
Sec. 1033.915 Confidential information.
The provisions of 40 CFR 1068.10 apply for information you consider
confidential.
[81 FR 74010, Oct. 25, 2016]
Sec. 1033.920 How to request a hearing.
(a) You may request a hearing under certain circumstances, as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
Sec. 1033.925 Reporting and recordkeeping requirements.
(a) This part includes various requirements to submit and record
data or other information. Unless we specify otherwise, store required
records in any format and on any media and keep them readily available
for eight years after you send an associated application for
certification, or eight years after you generate the data if they do not
support an application for certification. You are expected to keep your
own copy of required records rather than relying on someone else to keep
records on your behalf. We may review these records at any time. You
must promptly send us organized, written records in English if we ask
for them. We may require you to submit written records in an electronic
format.
(b) The regulations in Sec. 1033.255, 40 CFR 1068.25, and 40 CFR
1068.101 describe your obligation to report truthful and complete
information. This includes information not related to certification.
Failing to properly report information and keep the records we specify
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal
penalties.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1033.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
[[Page 93]]
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and recordkeeping
specified in the applicable regulations. Failing to properly report
information and keep the records we specify violates 40 CFR
1068.101(a)(2), which may involve civil or criminal penalties. The
following items illustrate the kind of reporting and recordkeeping we
require for locomotives regulated under this part:
(1) We specify the following requirements related to locomotive
certification in this part 1033:
(i) In Sec. 1033.150 we include various reporting and recordkeeping
requirements related to interim provisions.
(ii) In subpart C of this part we identify a wide range of
information required to certify engines.
(iii) In Sec. 1033.325 we specify certain records related to
production-line testing.
(iv) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(v) In Sec. Sec. 1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
(vi) In subpart I of this part we specify certain records related to
meeting requirements for remanufactured engines.
(2) We specify the following requirements related to testing in 40
CFR part 1065:
(i) In 40 CFR 1065.2 we give an overview of principles for reporting
information.
(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(iii) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(iv) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
(3) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(i) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(ii) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(iii) In 40 CFR 1068.27 we require manufacturers to make locomotives
available for our testing or inspection if we make such a request.
(iv) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(v) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing locomotives and engines.
(vi) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line locomotives in a selective
enforcement audit.
(vii) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(viii) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming locomotives.
(ix) In 40 CFR part 1068, subpart G, we specify certain records for
requesting a hearing.
[81 FR 74010, Oct. 25, 2016]
Sec. Appendix I to Part 1033--Original Standards for Tier 0, Tier 1 and
Tier 2 Locomotives
(a) The following emission standards applied for new locomotives not
yet subject to this part 1033:
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of -----------------------------------------------
Type of standard original Tier PM-alternate
manufacture NOX PM-primary \1\
----------------------------------------------------------------------------------------------------------------
Line-haul................... 1973-1992 Tier 0............ 9.5 0.60 0.30
1993-2004 Tier 1............ 7.4 0.45 0.22
2005-2011 Tier 2............ 5.5 0.20 0.10
----------------------------------------------------------------------------------------------------------------
Switch...................... 1973-1992 Tier 0............ 14.0 0.72 0.36
1993-2004 Tier 1............ 11.0 0.54 0.27
[[Page 94]]
2005-2011 Tier 2............ 8.1 0.24 0.12
----------------------------------------------------------------------------------------------------------------
\1\ Locomotives certified to the alternate PM standards are also subject to alternate CO standards of 10.0 for
the line-haul cycle and 12.0 for the switch cycle.
(b) The original Tier 0, Tier 1, and Tier 2 standards for HC and CO
emissions and smoke are the same standards identified in Sec. 1033.101.
[81 FR 74011, Oct. 25, 2016]
PART 1036_CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY
ENGINES--Table of Contents
Subpart A_Overview and Applicability
Sec.
1036.1 Does this part apply for my engines?
1036.2 Who is responsible for compliance?
1036.5 Which engines are excluded from this part's requirements?
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply to me?
1036.30 Submission of information.
Subpart B_Emission Standards and Related Requirements
1036.100 Overview of exhaust emission standards.
1036.108 Greenhouse gas emission standards.
1036.115 Other requirements.
1036.130 Installation instructions for vehicle manufacturers.
1036.135 Labeling.
1036.140 Primary intended service class and engine cycle.
1036.150 Interim provisions.
Subpart C_Certifying Engine Families
1036.205 What must I include in my application?
1036.210 Preliminary approval before certification.
1036.225 Amending my application for certification.
1036.230 Selecting engine families.
1036.235 Testing requirements for certification.
1036.241 Demonstrating compliance with greenhouse gas emission
standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D_Testing Production Engines
1036.301 Measurements related to GEM inputs in a selective enforcement
audit.
Subpart E_In-use Testing
1036.401 In-use testing.
Subpart F_Test Procedures
1036.501 How do I run a valid emission test?
1036.505 Ramped-modal testing procedures.
1036.510 Engine data and information for vehicle certification.
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.
1036.535 Determining steady-state engine fuel maps and fuel consumption
at idle.
1036.540 Determining cycle-average engine fuel maps.
Subpart G_Special Compliance Provisions
1036.601 What compliance provisions apply?
1036.605 GHG exemption for engines used in specialty vehicles.
1036.610 Off-cycle technology credits and adjustments for reducing
greenhouse gas emissions.
1036.615 Engines with Rankine cycle waste heat recovery and hybrid
powertrains.
1036.620 Alternate CO2 standards based on model year 2011
compression-ignition engines.
1036.625 In-use compliance with family emission limits (FELs).
1036.630 Certification of engine GHG emissions for powertrain testing.
Subpart H_Averaging, Banking, and Trading for Certification
1036.701 General provisions.
1036.705 Generating and calculating emission credits.
1036.710 Averaging.
1036.715 Banking.
1036.720 Trading.
1036.725 What must I include in my application for certification?
1036.730 ABT reports.
1036.735 Recordkeeping.
1036.740 Restrictions for using emission credits.
1036.745 End-of-year CO2 credit deficits.
1036.750 What can happen if I do not comply with the provisions of this
subpart?
[[Page 95]]
1036.755 Information provided to the Department of Transportation.
Subpart I_Definitions and Other Reference Information
1036.801 Definitions.
1036.805 Symbols, abbreviations, and acronyms.
1036.810 Incorporation by reference.
1036.815 Confidential information.
1036.820 Requesting a hearing.
1036.825 Reporting and recordkeeping requirements.
Appendix I to Part 1036--Default Engine Fuel Maps for Sec. 1036.540
Authority: 42 U.S.C. 7401--7671q.
Source: 81 FR 74011, Oct. 25, 2016, unless otherwise noted.
Sec. 1036.1 Does this part apply for my engines?
(a) Except as specified in Sec. 1036.5, the provisions of this part
apply for engines that will be installed in heavy-duty vehicles
(including glider vehicles) above 14,000 pounds GVWR for propulsion.
These provisions also apply for engines that will be installed in
incomplete heavy-duty vehicles at or below 14,000 pounds GVWR unless the
engine is installed in a vehicle that is covered by a certificate of
conformity under 40 CFR part 86, subpart S.
(b) This part does not apply with respect to exhaust emission
standards for HC, CO, NOX, or PM except as follows:
(1) The provisions of Sec. 1036.601 apply.
(2) 40 CFR parts 85 and/or 86 may specify that certain provisions
apply.
(c) The provisions of this part also apply for fuel conversions of
all engines described in paragraph (a) of this section as described in
40 CFR 85.502.
(d) Gas turbine heavy-duty engines and other heavy-duty engines not
meeting the definition compression-ignition or spark-ignition are deemed
to be compression-ignition engines for purposes of this part.
Sec. 1036.2 Who is responsible for compliance?
The regulations in this part 1036 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer(s). The term
``you'' generally means the engine manufacturer(s), especially for
issues related to certification. Additional requirements and
prohibitions apply to other persons as specified in subpart G of this
part and 40 CFR part 1068.
Sec. 1036.5 Which engines are excluded from this part's requirements?
(a) The provisions of this part do not apply to engines used in
medium-duty passenger vehicles or other heavy-duty vehicles that are
subject to regulation under 40 CFR part 86, subpart S, except as
specified in 40 CFR part 86, subpart S, and Sec. 1036.150(j). For
example, this exclusion applies for engines used in vehicles certified
to the standards of 40 CFR 86.1819.
(b) An engine installed in a heavy-duty vehicle that is not used to
propel the vehicle is not a heavy-duty engine. The provisions of this
part therefore do not apply to these engines. Note that engines used to
indirectly propel the vehicle (such as electrical generator engines that
provide power to batteries for propulsion) are subject to this part. See
40 CFR part 1039, 1048, or 1054 for other requirements that apply for
these auxiliary engines. See 40 CFR part 1037 for requirements that may
apply for vehicles using these engines, such as the evaporative emission
requirements of 40 CFR 1037.103.
(c) The provisions of this part do not apply to aircraft or aircraft
engines. Standards apply separately to certain aircraft engines, as
described in 40 CFR part 87.
(d) The provisions of this part do not apply to engines that are not
internal combustion engines. For example, the provisions of this part do
not apply to fuel cells. Note that gas turbine engines are internal
combustion engines.
(e) The provisions of this part do not apply for model year 2013 and
earlier heavy-duty engines unless they were:
(1) Voluntarily certified to this part.
(2) Installed in a glider vehicle subject to 40 CFR part 1037.
Sec. 1036.10 How is this part organized?
This part 1036 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1036 and gives an overview of regulatory requirements.
[[Page 96]]
(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 Sec. 1036.150 describes certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) Subpart D of this part addresses testing of production engines.
(e) Subpart E of this part describes provisions for testing in-use
engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal
Regulations).
(g) Subpart G of this part describes requirements, prohibitions, and
other provisions that apply to engine manufacturers, vehicle
manufacturers, owners, operators, rebuilders, and all others.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify your engines.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1036.15 Do any other regulation parts apply to me?
(a) Part 86 of this chapter describes additional requirements that
apply to engines that are subject to this part 1036. This part
extensively references portions of 40 CFR part 86. For example, the
regulations of part 86 specify emission standards and certification
procedures related to criteria pollutants.
(b) Part 1037 of this chapter describes requirements for controlling
evaporative emissions and greenhouse gas emissions from heavy-duty
vehicles, whether or not they use engines certified under this part. It
also includes standards and requirements that apply instead of the
standards and requirements of this part in some cases.
(c) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1036 describes how to apply the provisions of part 1065
of this chapter to determine whether engines meet the exhaust emission
standards in this part.
(d) Certain provisions of part 1068 of this chapter apply as
specified in Sec. 1036.601 to everyone, including anyone who
manufactures, imports, installs, owns, operates, or rebuilds any of the
engines subject to this part 1036, or vehicles containing these engines.
Part 1068 of this chapter describes general provisions that apply
broadly, but do not necessarily apply for all engines or all persons.
See Sec. 1036.601 to determine how to apply the part 1068 regulations
for heavy-duty engines. The issues addressed by these provisions include
these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vehicle
manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Recall.
(7) Procedures for hearings.
(e) Other parts of this chapter apply if referenced in this part.
Sec. 1036.30 Submission of information.
Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1036.801). See
Sec. 1036.825 for additional reporting and recordkeeping provisions.
Subpart B_Emission Standards and Related Requirements
Sec. 1036.100 Overview of exhaust emission standards.
Engines used in vehicles certified to the applicable chassis
standards for greenhouse gases described in 40 CFR 86.1819 are not
subject to the standards specified in this part. All other engines
subject to this part must meet the greenhouse gas standards in Sec.
1036.108 in addition to the criteria pollutant standards of 40 CFR part
86.
Sec. 1036.108 Greenhouse gas emission standards.
This section contains standards and other regulations applicable to
the emission of the air pollutant defined as the aggregate group of six
greenhouse
[[Page 97]]
gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons,
perfluorocarbons, and sulfur hexafluoride. This section describes the
applicable CO2, N2O, and CH4 standards
for engines. These standards do not apply for engines used in vehicles
subject to (or voluntarily certified to) the CO2,
N2O, and CH4 standards for vehicles specified in
40 CFR 86.1819.
(a) Emission standards. Emission standards apply for engines
measured using the test procedures specified in subpart F of this part
as follows:
(1) CO2 emission standards in this paragraph (a)(1) apply
based on testing as specified in subpart F of this part. The applicable
test cycle for measuring CO2 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 CO2 emissions using the steady-state duty cycle
specified in 40 CFR 86.1362 (referred to as the ramped-modal cycle, or
RMC, even though emission sampling involves measurements from discrete
modes). This is intended for engines designed to be used primarily in
tractors and other line-haul applications. Note that the use of some
RMC-certified tractor engines in vocational applications does not affect
your certification obligation under this paragraph (a)(1); see other
provisions of this part and 40 CFR part 1037 for limits on using engines
certified to only one cycle. For medium and heavy heavy-duty engines
certified as both tractor and vocational engines, measure CO2
emissions using the steady-state duty cycle and the transient duty cycle
(sometimes referred to as the FTP engine cycle), both of which are
specified in 40 CFR part 86, subpart N. This is intended for engines
that are designed for use in both tractor and vocational applications.
For all other engines (including engines meeting spark-ignition
standards), measure CO2 emissions using the appropriate
transient duty cycle specified in 40 CFR part 86, subpart N.
(i) The CO2 standard is 627 g/hp-hr for all spark-
ignition engines for model years 2016 through 2020. This standard
continues to apply in later model years for all spark-ignition engines
that are not heavy heavy-duty engines.
(ii) The following CO2 standards apply for compression-
ignition engines (in g/hp-hr):
----------------------------------------------------------------------------------------------------------------
Medium heavy- Heavy heavy-
Model years Light heavy- duty-- duty-- Medium heavy- Heavy heavy-
duty vocational vocational duty-- tractor duty-- tractor
----------------------------------------------------------------------------------------------------------------
2014-2016....................... 600 600 567 502 475
2017-2020....................... 576 576 555 487 460
----------------------------------------------------------------------------------------------------------------
(iii) The following CO2 standards apply for compression-
ignition engines and all heavy heavy-duty engines (in g/hp-hr):
----------------------------------------------------------------------------------------------------------------
Medium heavy- Heavy heavy-
Model years Light heavy- duty-- duty-- Medium heavy- Heavy heavy-
duty vocational vocational duty-- tractor duty-- tractor
----------------------------------------------------------------------------------------------------------------
2021-2023....................... 563 545 513 473 447
2024-2026....................... 555 538 506 461 436
2027 and later.................. 552 535 503 457 432
----------------------------------------------------------------------------------------------------------------
(iv) You may certify spark-ignition engines to the compression-
ignition standards for the appropriate model year under this paragraph
(a). If you do this, those engines are treated as compression-ignition
engines for all the provisions of this part.
(2) The CH4 emission standard is 0.10 g/hp-hr when
measured over the applicable transient duty cycle specified in 40 CFR
part 86, subpart N. This standard begins in model year 2014 for
compression-ignition engines and in model year 2016 for spark-ignition
engines. Note that this standard applies for all fuel types just like
the other standards of this section.
[[Page 98]]
(3) The N2O emission standard is 0.10 g/hp-hr when
measured over the transient duty cycle specified in 40 CFR part 86,
subpart N. This standard begins in model year 2014 for compression-
ignition engines and in model year 2016 for spark-ignition engines.
(b) Family Certification Levels. You must specify a CO2
Family Certification Level (FCL) for each engine family. The FCL may not
be less than the certified emission level for the engine family. The
CO2 Family Emission Limit (FEL) for the engine family is
equal to the FCL multiplied by 1.03.
(c) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT) program
described in subpart H of this part for demonstrating compliance with
CO2 emission standards. Credits (positive and negative) are
calculated from the difference between the FCL and the applicable
emission standard. As described in Sec. 1036.705, you may use
CO2 credits to certify your engine families to FELs for
N2O and/or CH4, instead of the N2O/
CH4 standards of this section that otherwise apply. Except as
specified in Sec. Sec. 1036.150 and 1036.705, you may not generate or
use credits for N2O or CH4 emissions.
(d) Useful life. The exhaust emission standards of this section
apply for the full useful life, expressed in service miles, operating
hours, or calendar years, whichever comes first. The useful life values
applicable to the criteria pollutant standards of 40 CFR part 86 apply
for the standards of this section, except that the spark-ignition
standards and the standards for model year 2021 and later light heavy-
duty compression-ignition engines apply over a useful life of 15 years
or 150,000 miles, whichever comes first.
(e) Applicability for testing. The emission standards in this
subpart apply as specified in this paragraph (e) to all duty-cycle
testing (according to the applicable test cycles) of testable
configurations, including certification, selective enforcement audits,
and in-use testing. The CO2 FCLs serve as the CO2
emission standards for the engine family with respect to certification
and confirmatory testing instead of the standards specified in paragraph
(a)(1) of this section. The FELs serve as the emission standards for the
engine family with respect to all other duty-cycle testing. See
Sec. Sec. 1036.235 and 1036.241 to determine which engine
configurations within the engine family are subject to testing. Note
that engine fuel maps and powertrain test results also serve as
standards as described in Sec. 1036.535, Sec. 1036.540, Sec. 1036.630
and 40 CFR 1037.550.
(f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-fuel
engines, perform exhaust testing on each fuel type (for example,
gasoline and E85).
(1) This paragraph (f)(1) applies where you demonstrate the relative
amount of each fuel type that your engines consume in actual use. Based
on your demonstration, we will specify a weighting factor and allow you
to submit the weighted average of your emission results. For example, if
you certify an E85 flexible-fuel engine and we determine the engine will
produce one-half of its work from E85 and one-half of its work from
gasoline, you may apply a 50 percent weighting factor to each of your
E85 and gasoline emission results.
(2) If you certify your engine family to N2O and/or
CH4 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.
Sec. 1036.115 Other requirements.
(a) The warranty and maintenance requirements, adjustable parameter
provisions, and defeat device prohibition of 40 CFR part 86 apply with
respect to the standards of this part.
(b) You must perform fuel mapping for your engine as described in
Sec. 1036.510(b).
(c) You must design and produce your engines to comply with
evaporative emission standards as follows:
(1) For complete heavy-duty vehicles you produce, you must certify
the vehicles to emission standards as specified in 40 CFR 1037.103.
(2) For incomplete heavy-duty vehicles, and for engines used in
vehicles you do not produce, you do not need to certify your engines to
evaporative emission standards or otherwise meet those standards.
However, vehicle manufacturers certifying their vehicles
[[Page 99]]
with your engines may depend on you to produce your engines according to
their specifications. Also, your engines must meet applicable exhaust
emission standards in the installed configuration.
Sec. 1036.130 Installation instructions for vehicle manufacturers.
(a) If you sell an engine for someone else to install in a vehicle,
give the engine installer instructions for installing it consistent with
the requirements of this part. Include all information necessary to
ensure that an engine will be installed in its certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related installation
instructions''.
(2) State: ``Failing to follow these instructions when installing a
certified engine in a heavy-duty motor vehicle violates federal law,
subject to fines or other penalties as described in the Clean Air Act.''
(3) Provide all instructions needed to properly install the exhaust
system and any other components.
(4) Describe any necessary steps for installing any diagnostic
system required under 40 CFR part 86.
(5) Describe how your certification is limited for any type of
application. For example, if you certify heavy heavy-duty engines to the
CO2 standards using only transient FTP testing, you must make
clear that the engine may not be installed in tractors.
(6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This may include, for example,
instructions for installing aftertreatment devices when installing the
engines.
(7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vehicle, as
described in 40 CFR 1068.105.''
(c) Give the vehicle manufacturer fuel map results as described in
Sec. 1036.510(b).
(d) You do not need installation instructions for engines that you
install in your own vehicles.
(e) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.
Sec. 1036.135 Labeling.
Label your engines as described in 40 CFR 86.007-35(a)(3), with the
following additional information:
(a) [Reserved]
(b) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45 or other applicable
conventions.
(c) Identify any limitations on your certification. For example, if
you certify heavy heavy-duty engines to the CO2 standards
using only transient cycle testing, include the statement ``VOCATIONAL
VEHICLES ONLY''.
(d) You may ask us to approve modified labeling requirements in this
part 1036 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
requirements of this part. We may also specify modified labeling
requirement to be consistent with the intent of 40 CFR part 1037.
Sec. 1036.140 Primary intended service class and engine cycle.
You must identify a single primary intended service class for each
engine family that best describes vehicles for which you design and
market the engine, as follows:
(a) Divide compression-ignition engines into primary intended
service classes based on the following engine and vehicle
characteristics:
(1) Light heavy-duty engines usually are not designed for rebuild
and do not have cylinder liners. Vehicle body types in this group might
include any heavy-duty vehicle built from a light-duty truck chassis,
van trucks, multi-stop vans, and some straight trucks
[[Page 100]]
with a single rear axle. Typical applications would include personal
transportation, light-load commercial delivery, passenger service,
agriculture, and construction. The GVWR of these vehicles is normally at
or below 19,500 pounds.
(2) Medium heavy-duty engines may be designed for rebuild and may
have cylinder liners. Vehicle body types in this group would typically
include school buses, straight trucks with single rear axles, city
tractors, and a variety of special purpose vehicles such as small dump
trucks, and refuse trucks. Typical applications would include commercial
short haul and intra-city delivery and pickup. Engines in this group are
normally used in vehicles whose GVWR ranges from 19,501 to 33,000
pounds.
(3) Heavy heavy-duty engines are designed for multiple rebuilds and
have cylinder liners. Vehicles in this group are normally tractors,
trucks, straight trucks with dual rear axles, and buses used in inter-
city, long-haul applications. These vehicles normally exceed 33,000
pounds GVWR.
(b) Divide spark-ignition engines into primary intended service
classes as follows:
(1) Spark-ignition engines that are best characterized by paragraph
(a)(1) or (2) of this section are in a separate ``spark-ignition''
primary intended service class.
(2) Spark-ignition engines that are best characterized by paragraph
(a)(3) of this section share a primary intended service class with
compression-ignition heavy heavy-duty engines. Gasoline-fueled engines
are presumed not to be characterized by paragraph (a)(3) of this
section; for example, vehicle manufacturers may install some number of
gasoline-fueled engines in Class 8 trucks without causing the engine
manufacturer to consider those to be heavy heavy-duty engines.
(c) References to ``spark-ignition standards'' in this part relate
only to the spark-ignition engines identified in paragraph (b)(1) of
this section. References to ``compression-ignition standards'' in this
part relate to compression-ignition engines, to spark-ignition engines
optionally certified to standards that apply to compression-ignition
engines, and to all engines identified under paragraph (b)(2) of this
section as heavy heavy-duty engines.
Sec. 1036.150 Interim provisions.
The provisions in this section apply instead of other provisions in
this part.
(a) Early banking of greenhouse gas emissions. You may generate
CO2 emission credits for engines you certify in model year
2013 (2015 for spark-ignition engines) to the standards of Sec.
1036.108.
(1) Except as specified in paragraph (a)(2) of this section, to
generate early credits, you must certify your entire U.S.-directed
production volume within that averaging set to these standards. This
means that you may not generate early credits while you produce engines
in the averaging set that are certified to the criteria pollutant
standards but not to the greenhouse gas standards. Calculate emission
credits as described in subpart H of this part relative to the standard
that would apply for model year 2014 (2016 for spark-ignition engines).
(2) You may generate early credits for an individual compression-
ignition engine family where you demonstrate that you have improved a
model year 2013 engine model's CO2 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 CO2 emission rate.
Use the smaller U.S.-directed production volume of the 2013 engine
family or the 2012 baseline engine family. We will not allow you to
generate emission credits under this paragraph (a)(2) unless we
determine that your 2013 engine is the same engine as the 2012 baseline
or that it replaces it.
(3) You may bank credits equal to the surplus credits you generate
under this paragraph (a) multiplied by 1.50. For example, if you have 10
Mg of surplus credits for model year 2013, you may bank 15 Mg of
credits. Credit deficits for an averaging set prior to model year 2014
(2016 for spark-ignition engines) do not carry over to model year 2014
(2016 for spark-ignition engines). We recommend that you notify us of
[[Page 101]]
your intent to use this provision before submitting your applications.
(b) Model year 2014 N2O standards. In model year 2014 and earlier,
manufacturers may show compliance with the N2O standards
using an engineering analysis. This allowance also applies for later
families certified using carryover CO2 data from model 2014
consistent with Sec. 1036.235(d).
(c) Engine cycle classification. Through model year 2020, engines
meeting the definition of spark-ignition, but regulated as diesel
engines under 40 CFR part 86, must be certified to the requirements
applicable to compression-ignition engines under this part. Such engines
are deemed to be compression-ignition engines for purposes of this part.
Similarly, through model year 2020, engines meeting the definition of
compression-ignition, but regulated as Otto-cycle under 40 CFR part 86
must be certified to the requirements applicable to spark-ignition
engines under this part. Such engines are deemed to be spark-ignition
engines for purposes of this part. See Sec. 1036.140 for provisions
that apply for model year 2021 and later.
(d) Small manufacturers. The standards of this part apply on a
delayed schedule for manufacturers meeting the small business criteria
specified in 13 CFR 121.201. Apply the small business criteria for NAICS
code 336310 for engine manufacturers with respect to gasoline-fueled
engines and 333618 for engine manufacturers with respect to other
engines; the employee limits apply to the total number employees
together for affiliated companies. Qualifying small manufacturers are
not subject to the greenhouse gas emission standards in Sec. 1036.108
for engines with a date of manufacture on or after November 14, 2011 but
before January 1, 2022. In addition, qualifying small manufacturers
producing engines that run on any fuel other than gasoline, E85, or
diesel fuel may delay complying with every later standard under this
part by one model year. Small manufacturers may certify their engines
and generate emission credits under this part 1036 before standards
start to apply, but only if they certify their entire U.S.-directed
production volume within that averaging set for that model year. Note
that engines not yet subject to standards must nevertheless supply fuel
maps to vehicle manufacturers as described in paragraph (n) of this
section. Note also that engines produced by small manufacturers are
subject to criteria pollutant standards.
(e) Alternate phase-in standards. Where a manufacturer certifies all
of its model year 2013 compression-ignition engines within a given
primary intended service class to the applicable alternate standards of
this paragraph (e), its compression-ignition engines within that primary
intended service class are subject to the standards of this paragraph
(e) for model years 2013 through 2016. This means that once a
manufacturer chooses to certify a primary intended service class to the
standards of this paragraph (e), it is not allowed to opt out of these
standards. Engines certified to these standards are not eligible for
early credits under paragraph (a) of this section.
----------------------------------------------------------------------------------------------------------------
Tractors LHD Engines MHD Engines HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015............. NA...................... 512 g/hp-hr............. 485 g/hp-hr.
Model Years 2016 and later \1\.... NA...................... 487 g/hp-hr............. 460 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
Vocational........................ LHD Engines MHD Engines HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015............. 618 g/hp-hr............. 618 g/hp-hr............. 577 g/hp-hr.
Model Years 2016 through 2020 \a\. 576 g/hp-hr............. 576 g/hp-hr............. 555 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
\1\ Note: these alternate standards for 2016 and later are the same as the otherwise applicable standards for
2017 through 2020.
(f) Separate OBD families. This paragraph (f) applies where you
separately certify engines for the purpose of applying OBD requirements
(for engines used in vehicles under 14,000 pounds GVWR) from non-OBD
engines that could be certified as a single engine family. You may treat
the two engine families as a single engine family in
[[Page 102]]
certain respects for the purpose of this part, as follows:
(1) This paragraph (f) applies only where the two families are
identical in all respects except for the engine ratings offered and the
inclusion of OBD.
(2) For purposes of this part and 40 CFR part 86, the two families
remain two separate families except for the following:
(i) Specify the testable configurations of the non-OBD engine family
as the testable configurations for the OBD family.
(ii) Submit the same CO2, N2O, and
CH4 emission data for both engine families.
(g) Assigned deterioration factors. You may use assigned
deterioration factors (DFs) without performing your own durability
emission tests or engineering analysis as follows:
(1) You may use an assigned additive DF of 0.0 g/hp-hr for
CO2 emissions from engines that do not use advanced or off-
cycle technologies. If we determine it to be consistent with good
engineering judgment, we may allow you to use an assigned additive DF of
0.0 g/hp-hr for CO2 emissions from your engines with advanced
or off-cycle technologies.
(2) You may use an assigned additive DF of 0.020 g/hp-hr for
N2O emissions from any engine through model year 2020, and
0.010 g/hp-hr for later model years.
(3) You may use an assigned additive DF of 0.020 g/hp-hr for
CH4 emissions from any engine.
(h) Advanced-technology credits. If you generate credits from model
year 2020 and earlier engines certified for advanced technology, you may
multiply these credits by 1.5, except that you may not apply this
multiplier and the early-credit multiplier of paragraph (a) of this
section.
(i) CO2 credits for low N2O emissions. If you certify your model
year 2014, 2015, or 2016 engines to an N2O FEL less than 0.04
g/hp-hr (provided you measure N2O emissions from your
emission-data engines), you may generate additional CO2
credits under this paragraph (i). Calculate the additional
CO2 credits from the following equation instead of the
equation in Sec. 1036.705:
CO2 Credits (Mg) = (0.04-FELN2O) [middot] (CF)
[middot] (Volume) [middot] (UL) [middot] (10-6) [middot]
(298)
(j) Alternate standards under 40 CFR part 86. This paragraph (j)
describes alternate emission standards for loose engines certified under
40 CFR 86.1819-14(k)(8). The standards of Sec. 1036.108 do not apply
for these engines. The standards in this paragraph (j) apply for
emissions measured with the engine installed in a complete vehicle
consistent with the provisions of 40 CFR 86.1819-14(k)(8)(vi). The only
requirements of this part that apply to these engines are those in this
paragraph (j), Sec. Sec. 1036.115 through 1036.135, 1036.535, and
1036.540.
(k) [Reserved]
(l) Credit adjustment for spark-ignition engines and light heavy-
duty compression-ignition engines. For emission credits generated from
model year 2020 and earlier engines subject to spark-ignition standards
and light heavy-duty compression-ignition engines, multiply any banked
credits that you carry forward to demonstrate compliance with model year
2021 and later standards by 1.36.
(m) Infrequent regeneration. For model year 2020 and earlier, you
may invalidate any test interval with respect to CO2
measurements if an infrequent regeneration event occurs during the test
interval. Note that Sec. 1036.530 specifies how to apply infrequent
regeneration adjustment factors for later model years.
(n) Supplying fuel maps. Engine manufacturers not yet subject to
standards under Sec. 1036.108 in model year 2021 must supply vehicle
manufacturers with fuel maps (or powertrain test results) as described
in Sec. 1036.130 for those engines.
(o) Engines used in glider vehicles. For purposes of recertifying a
used engine for installation in a glider vehicle, we may allow you to
include in an existing certified engine family those engines you modify
(or otherwise demonstrate) to be identical to engines already covered by
the certificate. We would base such an approval on our review of any
appropriate documentation. These engines must have emission control
information labels that accurately describe their status.
(p) Transition to Phase 2 CO2 standards. If you certify
all your model year
[[Page 103]]
2020 engines within an averaging set to the model year 2021 FTP and SET
standards and requirements, you may apply the provisions of this
paragraph (p) for enhanced generation and use of emission credits. These
provisions apply separately for medium heavy-duty engines and heavy
heavy-duty engines.
(1) GHG emission credits you generate with model year 2018 through
2024 engines may be used through model year 2030, instead of being
limited to a five-year credit life as specified in Sec. 1036.740(d).
(2) You may certify your model year 2024 through 2026 engines to the
following alternative standards:
----------------------------------------------------------------------------------------------------------------
Medium heavy- Heavy heavy-
Model years duty-- duty-- Medium heavy- Heavy heavy-
vocational vocational duty-- tractor duty--tractor
----------------------------------------------------------------------------------------------------------------
2024-2026................................... 538 506 467 442
----------------------------------------------------------------------------------------------------------------
Subpart C_Certifying Engine Families
Sec. 1036.205 What must I include in my application?
Submit an application for certification as described in 40 CFR
86.007-21, with the following additional information:
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls with respect to
compliance with the requirements of this part. Describe in detail all
system components for controlling greenhouse gas emissions, including
all auxiliary emission control devices (AECDs) and all fuel-system
components you will install on any production or test engine. Identify
the part number of each component you describe. For this paragraph (a),
treat as separate AECDs any devices that modulate or activate
differently from each other.
(b) Describe any test equipment and procedures that you used if you
performed any tests that did not also involve measurement of criteria
pollutants. Describe any special or alternate test procedures you used
(see 40 CFR 1065.10(c)).
(c) Include the emission-related installation instructions you will
provide if someone else installs your engines in their vehicles (see
Sec. 1036.130).
(d) Describe the label information specified in Sec. 1036.135. We
may require you to include a copy of the label.
(e) Identify the CO2 FCLs with which you are certifying
engines in the engine family; also identify any FELs that apply for
CH4 and N2O. The actual U.S.-directed production
volume of configurations that have CO2 emission rates at or
below the FCL and CH4 and N2O emission rates at or
below the applicable standards or FELs must be at least one percent of
your actual (not projected) U.S.-directed production volume for the
engine family. Identify configurations within the family that have
emission rates at or below the FCL and meet the one percent requirement.
For example, if your U.S.-directed production volume for the engine
family is 10,583 and the U.S.-directed production volume for the tested
rating is 75 engines, then you can comply with this provision by setting
your FCL so that one more rating with a U.S.-directed production volume
of at least 31 engines meets the FCL. Where applicable, also identify
other testable configurations required under Sec. 1036.230(b)(2).
(f) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1036.241). Present any test data you
used for this.
(g) Present emission data to show that you meet emission standards,
as follows:
(1) Present exhaust emission data for CO2,
CH4, and N2O on an emission-data engine to show
that your engines meet the applicable emission standards we specify in
Sec. 1036.108. Show emission figures before and after applying
deterioration factors for each engine. In addition to the composite
results, show individual measurements for cold-start testing and hot-
start testing over the transient test cycle. For each of these tests,
also include the corresponding exhaust emission data for criteria
[[Page 104]]
emissions. Note that Sec. 1036.235 allows you to submit an application
in certain cases without new emission data.
(2) [Reserved]
(h) State whether your certification is limited for certain engines.
For example, if you certify heavy heavy-duty engines to the
CO2 standards using only transient testing, the engines may
be installed only in vocational vehicles.
(i) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced parts
of the CFR, and the Clean Air Act. Note that Sec. 1036.235 specifies
which engines to test to show that engines in the entire family comply
with the requirements of this part.
(j) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1036.725 if you
participate in the ABT program.
(k) Include the warranty statement and maintenance instructions if
we request them.
(l) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(m) For imported engines or equipment, identify the following:
(1) Describe your normal practice for importing engines. For
example, this may include identifying the names and addresses of any
agents you have authorized to import your engines. Engines imported by
nonauthorized agents are not covered by your certificate.
(2) The location of a test facility in the United States where you
can test your engines if we select them for testing under a selective
enforcement audit, as specified in 40 CFR part 1068, subpart E.
(n) Include information needed to certify vehicles to GHG standards
under 40 CFR part 1037 as described in Sec. 1036.510.
Sec. 1036.210 Preliminary approval before certification.
If you send us information before you finish the application, we may
review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, adjustable parameters, deterioration factors, testing
for service accumulation, and maintenance. Decisions made under this
section are considered to be preliminary approval, subject to final
review and approval. We will generally not reverse a decision where we
have given you preliminary approval, unless we find new information
supporting a different decision. If you request preliminary approval
related to the upcoming model year or the model year after that, we will
make best-efforts to make the appropriate determinations as soon as
practicable. We will generally not provide preliminary approval related
to a future model year more than two years ahead of time.
Sec. 1036.225 Amending my application for certification.
Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject to
the provisions of this section. After we have issued your certificate of
conformity, you may send us an amended application requesting that we
include new or modified engine configurations within the scope of the
certificate, subject to the provisions of this section. You must also
amend your application if any changes occur with respect to any
information that is included or should be included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec. 1036.230.
(2) Change an engine configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
(3) Modify an FEL and FCL for an engine family as described in
paragraph (f) of this section.
[[Page 105]]
(b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the engine model or
configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended
engine family complies with all applicable requirements. You may do this
by showing that the original emission-data engine is still appropriate
for showing that the amended family complies with all applicable
requirements.
(3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
(4) Include any other information needed to make your application
correct and complete.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified engine. You may ask for a
hearing if we deny your request (see Sec. 1036.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration any time after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the nonconformity
at no expense to the owner. If you do not provide information required
under paragraph (c) of this section within 30 days after we request it,
you must stop producing the new or modified engines.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production, but before the end of the model year. If
you change an FEL for CO2, your FCL for CO2 is
automatically set to your new FEL divided by 1.03. The changed FEL may
not apply to engines you have already introduced into U.S. commerce,
except as described in this paragraph (f). You may ask us to approve a
change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any
time. In your request, you must show that you will still be able to meet
the emission standards as specified in subparts B and H of this part.
Use the appropriate FELs/FCLs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart H
of this part.
(2) You may ask to lower the FEL for your engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL (or below the proposed FCL for CO2).
The lower FEL/FCL applies only to engines you produce after we approve
the new FEL/FCL. Use the appropriate FELs/FCLs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part.
(g) You may produce engines as described in your amended application
for certification and consider those engines to be in a certified
configuration if we approve a new or modified engine configuration
during the model year under paragraph (d) of this section. Similarly,
you may modify in-use engines as described in your amended application
for certification and consider those engines to be in a certified
configuration if we approve a new or modified engine configuration at
any time under paragraph (d) of this section. Modifying a new or in-use
engine to be in a certified configuration does not violate the tampering
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve
changing to a certified configuration with a higher family emission
limit.
[[Page 106]]
Sec. 1036.230 Selecting engine families.
See 40 CFR 86.001-24 for instructions on how to divide your product
line into families of engines that are expected to have similar emission
characteristics throughout the useful life. You must certify your
engines to the standards of Sec. 1036.108 using the same engine
families you use for criteria pollutants under 40 CFR part 86. The
following provisions also apply:
(a) Engines certified as hybrid engines may not be included in an
engine family with engines with conventional powertrains. Note that this
does not prevent you from including engines in a conventional family if
they are used in hybrid vehicles, as long as you certify them
conventionally.
(b) If you certify engines in the family for use as both vocational
and tractor engines, you must split your family into two separate
subfamilies. Indicate in the application for certification that the
engine family is to be split.
(1) Calculate emission credits relative to the vocational engine
standard for the number of engines sold into vocational applications and
relative to the tractor engine standard for the number of engines sold
into non-vocational tractor applications. You may assign the numbers and
configurations of engines within the respective subfamilies at any time
before submitting the end-of-year report required by Sec. 1036.730. If
the family participates in averaging, banking, or trading, you must
identify the type of vehicle in which each engine is installed; we may
alternatively allow you to use statistical methods to determine this for
a fraction of your engines. Keep records to document this determination.
(2) If you restrict use of the test configuration for your split
family to only tractors, or only vocational vehicles, you must identify
a second testable configuration for the other type of vehicle (or an
unrestricted configuration). Identify this configuration in your
application for certification. The FCL for the engine family applies for
this configuration as well as the primary test configuration.
(c) If you certify in separate engine families engines that could
have been certified in vocational and tractor engine subfamilies in the
same engine family, count the two families as one family for purposes of
determining your obligations with respect to the OBD requirements and
in-use testing requirements of 40 CFR part 86. Indicate in the
applications for certification that the two engine families are covered
by this paragraph (c).
(d) Engine configurations within an engine family must use
equivalent greenhouse gas emission controls. Unless we approve it, you
may not produce nontested configurations without the same emission
control hardware included on the tested configuration. We will only
approve it if you demonstrate that the exclusion of the hardware does
not increase greenhouse gas emissions.
(e) If you certify both engine fuel maps and powertrain fuel maps
for an engine family, you may split the engine family into two separate
subfamilies. Indicate this in your application for certification, and
identify whether one or both of these sets of fuel maps applies for each
group of engines. If you do not split your family, all engines within
the family must conform to the engine fuel maps, including any engines
for with the powertrain maps also apply.
Sec. 1036.235 Testing requirements for certification.
This section describes the emission testing you must perform to show
compliance with the greenhouse gas emission standards in Sec. 1036.108.
(a) Select a single emission-data engine from each engine family as
specified in 40 CFR part 86. The standards of this part apply only with
respect to emissions measured from this tested configuration and other
configurations identified in Sec. 1036.205(e). Note that configurations
identified in Sec. 1036.205(e) are considered to be ``tested
configurations''. Whether or not you actually tested them for
certification. However, you must apply the same (or equivalent) emission
controls to all other engine configurations in the engine family. In
other contexts, the tested configuration is sometimes referred to as the
``parent configuration'', although the terms are not synonymous.
(b) Test your emission-data engines using the procedures and
equipment
[[Page 107]]
specified in subpart F of this part. In the case of dual-fuel and
flexible-fuel engines, measure emissions when operating with each type
of fuel for which you intend to certify the engine. (Note: measurement
of criteria emissions from flexible-fuel engines generally involves
operation with the fuel mixture that best represents in-use operation,
or with the fuel mixture with the highest emissions.) Measure
CO2, CH4, and N2O emissions using the
specified duty cycle(s), including cold-start and hot-start testing as
specified in 40 CFR part 86, subpart N. The following provisions apply
regarding test cycles for demonstrating compliance with tractor and
vocational standards:
(1) If you are certifying the engine for use in tractors, you must
measure CO2 emissions using the applicable ramped-modal cycle
specified in Sec. 1036.505, and measure CH4, and
N2O emissions using the specified transient cycle.
(2) If you are certifying the engine for use in vocational
applications, you must measure CO2, CH4, and
N2O emissions using the specified transient duty cycle,
including cold-start and hot-start testing as specified in 40 CFR part
86, subpart N.
(3) You may certify your engine family for both tractor and
vocational use by submitting CO2 emission data from both
ramped-modal and transient cycle testing and specifying FCLs for both.
(4) Some of your engines certified for use in tractors may also be
used in vocational vehicles, and some of your engines certified for use
in vocational may be used in tractors. However, you may not knowingly
circumvent the intent of this part (to reduce in-use emissions of
CO2) by certifying engines designed for tractors or
vocational vehicles (and rarely used in the other application) to the
wrong cycle. For example, we would generally not allow you to certify
all your engines to the ramped-modal cycle without certifying any to the
transient cycle.
(c) We may perform confirmatory testing by measuring emissions from
any of your emission-data engines. If your certification includes
powertrain testing as specified in 40 CFR 1036.630, this paragraph (c)
also applies for the powertrain test results.
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the engine to a test facility
we designate. The engine you provide must include appropriate manifolds,
aftertreatment devices, electronic control units, and other emission-
related components not normally attached directly to the engine block.
If we do the testing at your plant, you must schedule it as soon as
possible and make available the instruments, personnel, and equipment we
need.
(2) If we measure emissions on your engine, the results of that
testing become the official emission results for the engine as specified
in this paragraph (c). Unless we later invalidate these data, we may
decide not to consider your data in determining if your engine family
meets applicable requirements.
(3) Before we test one of your engines, we may set its adjustable
parameters to any point within the physically adjustable ranges.
(4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec. 1036.801) because it is permanently
sealed. For parameters that relate to a level of performance that is
itself subject to a specified range (such as maximum power output), we
will generally perform any calibration under this paragraph (c)(4) in a
way that keeps performance within the specified range.
(5) We may use our emission test results for steady-state, idle,
cycle-average and powertrain fuel maps, as long as we perform at least
three valid tests. We will use mean values for each point to specify our
fuel maps and may use the resulting fuel maps as the official emission
results. We may also consider how the different fuel maps affect GEM
emission results as part of our decision. We will not replace individual
points from your fuel map, but we may make separate determinations for
[[Page 108]]
steady-state, idle, cycle-average and powertrain fuel maps.
(6) If you supply cycle-average engine fuel maps for the highway
cruise cycles instead of generating a steady-state fuel map for these
cycles, we may perform a confirmatory test of your engine fuel maps for
the highway cruise cycles by either of the following methods:
(i) Directly measuring the highway cruise cycle-average fuel maps.
(ii) Measuring a steady-state fuel map as described in paragraph
(c)(5) of this section and using it in GEM to create our own cycle-
average engine fuel maps for the highway cruise cycles.
(d) You may ask to use carryover emission data from a previous model
year instead of doing new tests, but only if all the following are true:
(1) The engine family from the previous model year differs from the
current engine family only with respect to model year, items identified
in Sec. 1036.225(a), or other characteristics unrelated to emissions.
We may waive this criterion for differences we determine not to be
relevant.
(2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this
section.
(3) The data show that the emission-data engine would meet all the
requirements that apply to the engine family covered by the application
for certification.
(e) We may require you to test a second engine of the same
configuration in addition to the engine tested under paragraph (a) of
this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we may
reject data you generated using the alternate procedure.
Sec. 1036.241 Demonstrating compliance with greenhouse gas emission
standards.
(a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec. 1036.108 if all
emission-data engines representing the tested configuration of that
engine family have test results showing official emission results and
deteriorated emission levels at or below the standards. Note that your
FCLs are considered to be the applicable emission standards with which
you must comply for certification.
(b) Your engine family is deemed not to comply if any emission-data
engine representing the tested configuration of that engine family has
test results showing an official emission result or a deteriorated
emission level for any pollutant that is above an applicable emission
standard (generally the FCL). Note that you may increase your FCL if any
certification test results exceed your initial FCL.
(c) Apply deterioration factors to the measured emission levels for
each pollutant to show compliance with the applicable emission
standards. Your deterioration factors must take into account any
available data from in-use testing with similar engines. Apply
deterioration factors as follows:
(1) Additive deterioration factor for greenhouse gas emissions.
Except as specified in paragraphs (c)(2) and (3) of this section, use an
additive deterioration factor for exhaust emissions. An additive
deterioration factor is the difference between the highest exhaust
emissions (typically at the end of the useful life) and exhaust
emissions at the low-hour test point. In these cases, adjust the
official emission results for each tested engine at the selected test
point by adding the factor to the measured emissions. If the factor is
less than zero, use zero. Additive deterioration factors must be
specified to one more decimal place than the applicable standard.
(2) Multiplicative deterioration factor for greenhouse gas
emissions. Use a multiplicative deterioration factor for a pollutant if
good engineering judgment calls for the deterioration factor for that
pollutant to be the ratio of the highest exhaust emissions (typically at
the end of the useful life) to exhaust emissions at the low-hour test
point. Adjust the official emission results for each tested engine at
the selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is less than one, use one. A
multiplicative deterioration factor
[[Page 109]]
may not be appropriate in cases where testing variability is
significantly greater than engine-to-engine variability. Multiplicative
deterioration factors must be specified to one more significant figure
than the applicable standard.
(3) Sawtooth and other nonlinear deterioration patterns. The
deterioration factors described in paragraphs (c)(1) and (2) of this
section assume that the highest useful life emissions occur either at
the end of useful life or at the low-hour test point. The provisions of
this paragraph (c)(3) apply where good engineering judgment indicates
that the highest useful life emissions will occur between these two
points. For example, emissions may increase with service accumulation
until a certain maintenance step is performed, then return to the low-
hour emission levels and begin increasing again. Such a pattern may
occur with battery-based electric hybrid engines. Base deterioration
factors for engines with such emission patterns on the difference
between (or ratio of) the point at which the highest emissions occur and
the low-hour test point. Note that this applies for maintenance-related
deterioration only where we allow such critical emission-related
maintenance.
(4) [Reserved]
(5) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel engines, apply deterioration factors separately for
each fuel type by measuring emissions with each fuel type at each test
point. You may accumulate service hours on a single emission-data engine
using the type of fuel or the fuel mixture expected to have the highest
combustion and exhaust temperatures; you may ask us to approve a
different fuel mixture if you demonstrate that a different criterion is
more appropriate.
(d) Calculate emission data using measurements to at least one more
decimal place than the applicable standard. Apply the deterioration
factor to the official emission result, as described in paragraph (c) of
this section, then round the adjusted figure to the same number of
decimal places as the emission standard. Compare the rounded emission
levels to the emission standard for each emission-data engine.
(e) If you identify more than one configuration in Sec.
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 Sec.
1036.205(e) comply with their FCL.
Sec. 1036.250 Reporting and recordkeeping for certification.
(a) Within 90 days after the end of the model year, send the
Designated Compliance Officer a report including the total U.S.-directed
production volume of engines you produced in each engine family during
the model year (based on information available at the time of the
report). Report the production by serial number and engine
configuration. Small manufacturers may omit this requirement. You may
combine this report with reports required under subpart H of this part.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1036.205 that you
were not required to include in your application.
(c) Keep routine data from emission tests required by this part
(such as test cell temperatures and relative humidity readings) for one
year after we issue the associated certificate of conformity. Keep all
other information specified in this section for eight years after we
issue your certificate.
(d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we ask
for them. You must keep these records readily available. We may review
them at any time.
Sec. 1036.255 What decisions may EPA make regarding my certificate
of conformity?
(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your engine family for that
model year. We
[[Page 110]]
may make the approval subject to additional conditions.
(b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or other
requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part, with respect to your engine family.
(d) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also violations
of 40 CFR 1068.101(a)(2).
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1036.820).
Subpart D_Testing Production Engines
Sec. 1036.301 Measurements related to GEM inputs in a selective
enforcement audit.
(a) Selective enforcement audits apply for engines as specified in
40 CFR part 1068, subpart E. This section describes how this applies
uniquely in certain circumstances.
(b) Selective enforcement audit provisions apply with respect to
your fuel maps as follows:
(1) A selective enforcement audit for an engine with respect to fuel
maps would consist of performing measurements with production engines to
determine fuel-consumption rates as declared for GEM simulations, and
running GEM for the vehicle configurations specified in paragraph (b)(2)
of this section based on those measured values. The engine is considered
passing for a given configuration if the new modeled emission result for
each applicable duty cycle is at or below the modeled emission result
corresponding to the declared GEM inputs. The engine is considered
failing for a given configuration if the new modeled emission result for
any applicable duty cycle is above the modeled emission result
corresponding to the declared GEM inputs.
(2) Evaluate cycle-average fuel maps by running GEM based on
simulated vehicle configurations representing the interpolated center of
every group of four test points that define a boundary of cycle work and
average engine speed divided by average vehicle speed. These simulated
vehicle configurations are defined from the four surrounding points
based on averaging values for vehicle mass, drag area (if applicable),
tire rolling resistance, tire size, and axle ratio. The regulatory
subcategory is defined by the regulatory subcategory of the vehicle
configuration with the greatest mass from those four test points. Figure
1 of this section illustrates a determination of vehicle configurations
for engines used in tractors and Vocational HDV using a fixed tire size
(see Sec. 1036.540(c)(3)(iii)). The vehicle configuration from the
upper-left quadrant is defined by values for Tests 1, 2, 4, and 5 from
Table 3 of Sec. 1036.540.
[[Page 111]]
Calculate vehicle mass as the average of the values from the four tests.
Determine the weight reduction needed for GEM to simulate this
calculated vehicle mass by comparing the average vehicle mass to the
default vehicle mass for the vehicle subcategory from the four points
that has the greatest mass, with the understanding that two-thirds of
weight reduction for tractors is applied to vehicle weight and one-third
is understood to represent increased payload. This is expressed
mathematically as Mavg = Msubcategory - \2/3\
[middot] Mreduction, which can be solved for
Mreduction. For vocational vehicles, half of weight reduction
is applied to vehicle weight and half is understood to represent
increased payload. Use the following values for default vehicle masses
by vehicle subcategory:
Table 1 of Sec. 1036.301--Default Vehicle Mass by Vehicle Subcategory
------------------------------------------------------------------------
Default
Vehicle subcategory vehicle mass
(kg)
------------------------------------------------------------------------
Vocational Light HDV.................................... 7,257
Vocational Medium HDV................................... 11,408
Class 7 Mid-Roof Day Cab................................ 20,910
Class 8 Mid-Roof Day Cab................................ 29,529
Class 8 High-Roof Sleeper Cab........................... 31,978
Heavy-Haul Tractor...................................... 53,750
------------------------------------------------------------------------
(3) This paragraph (b)(3) provides an example to illustrate how to
determine GEM input values for the four vehicle configurations
identified in paragraph (b)(2) of this section. If axle ratio is 2.5 for
Tests 1 and 2, and 3.5 for Tests 4 and 5, the average value is 3.0. A
tire size of 500 revolutions per mile would apply for all four tests, so
the average tire size would be that same value. Similarly,
Crr is 6.9 kg/tonne since that value applies for all four
points. The calculated average value of CdA is 6.9 m\2\. The
calculated average vehicle mass is 28,746.5 kg. Weight reduction is
4,847 kg or 10,686 pounds (\3/2\ [middot] (31,978 - 28,746.5)).
(4) Because your cycle-average map may have more or fewer test
points, you may have more than or fewer than the number of audit points
shown in Figure 1 of this section. If the audit includes fuel-map
testing in conjunction with engine testing relative to exhaust emission
standards, the fuel-map simulations for the whole set of vehicles and
duty cycles counts as a single test result for purposes of evaluating
whether the engine family meets the pass-fail criteria under 40 CFR
1068.420. If the audit includes only fuel-map testing, determine
emission results from at least three different engine configurations
simulated with each applicable vehicle configuration identified in Sec.
1036.540; the fuel-map simulation for each vehicle configuration counts
as a separate test for the engine.
[[Page 112]]
[GRAPHIC] [TIFF OMITTED] TR25OC16.048
(c) If your certification includes powertrain testing as specified
in 40 CFR 1036.630, these selective enforcement audit provisions apply
with respect to powertrain test results as specified in 40 CFR part
1037, subpart D, and 40 CFR 1037.550. We may allow manufacturers to
instead perform the engine-based testing to simulate the powertrain test
as specified in 40 CFR 1037.551.
(d) We may suspend or revoke certificates for any appropriate
configurations within one or more engine families based on the outcome
of a selective enforcement audit.
Subpart E_In-Use Testing
Sec. 1036.401 In-use testing.
We may perform in-use testing of any engine family subject to the
standards of this part, consistent with the Clean Air Act and the
provisions of Sec. 1036.235. Note that this provision does not affect
your obligation to test your in-use engines as described in 40 CFR part
86, subpart T.
Subpart F_Test Procedures
Sec. 1036.501 How do I run a valid emission test?
(a) Use the equipment and procedures specified in this subpart and
40 CFR 86.1305 to determine whether engines meet the emission standards
in Sec. 1036.108.
(b) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(c) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your engines meet emission standards.
(d) For engines that use aftertreatment technology with infrequent
regeneration events, apply infrequent regeneration adjustment factors as
described in Sec. 1036.530.
(e) Test hybrid engines as described in Sec. 1036.525 and 40 CFR
part 1065.
(f) Determine engine fuel maps as described in Sec. 1036.510(b).
(g) The following additional provisions apply for testing to
demonstrate compliance with the emission standards in Sec. 1036.108 for
model year 2021 and later engines:
[[Page 113]]
(1) If your engine is intended for installation in a vehicle
equipped with stop-start technology, you may use good engineering
judgment to turn the engine off during the idle portions of the duty
cycle to represent in-use operation, consistent with good engineering
judgment.
(2) Use one of the following methods to measure CO2
emissions:
(i) Use the ramped-modal cycle specified in Sec. 1036.505 using
either continuous or batch sampling.
(ii) Measure CO2 emissions over the ramped-modal cycle
specified in 40 CFR 86.1362 using continuous sampling. Integrate the
test results by mode to establish separate emission rates for each mode
(including the transition following each mode, as applicable). Apply the
weighting factors specified in 40 CFR 86.1362 to calculate a composite
emission result.
(3) Measure or calculate emissions of criteria pollutants
corresponding to your measurements to demonstrate compliance with
CO2 standards. These test results are not subject to the
duty-cycle standards of 40 CFR part 86, subart A.
Sec. 1036.505 Ramped-modal testing procedures.
(a) Starting in model year 2021, you must measure CO2
emissions using the ramped-modal cycle in 40 CFR 86.1362 as described in
Sec. 1036.501, or using the ramped-modal cycle in this section.
(b) Measure emissions using the ramped-modal duty cycle shown in the
following table to determine whether engines meet the steady-state
compression-ignition standards specified in subpart B of this part:
Table 1 of Sec. 1036.505--Ramped-Modal Duty Cycle
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1\ \2\ Torque (percent) \2\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state......................... 124 Warm Idle................. 0.
1b Transition........................... 20 Linear Transition......... Linear Transition.
2a Steady-state......................... 196 A......................... 100.
2b Transition........................... 20 Linear Transition......... Linear Transition.
3a Steady-state......................... 220 B......................... 50.
3b Transition........................... 20 B......................... Linear Transition.
4a Steady-state......................... 220 B......................... 75.
4b Transition........................... 20 Linear Transition......... Linear Transition.
5a Steady-state......................... 268 A......................... 50.
5b Transition........................... 20 A......................... Linear Transition.
6a Steady-state......................... 268 A......................... 75.
6b Transition........................... 20 A......................... Linear Transition.
7a Steady-state......................... 268 A......................... 25.
7b Transition........................... 20 Linear Transition......... Linear Transition.
8a Steady-state......................... 196 B......................... 100.
8b Transition........................... 20 B......................... Linear Transition.
9a Steady-state......................... 196 B......................... 25.
9b Transition........................... 20 Linear Transition......... Linear Transition.
10a Steady-state........................ 28 C......................... 100.
10b Transition.......................... 20 C......................... Linear Transition.
11a Steady-state........................ 4 C......................... 25.
11b Transition.......................... 20 C......................... Linear Transition.
12a Steady-state........................ 4 C......................... 75.
12b Transition.......................... 20 C......................... Linear Transition.
13a Steady-state........................ 4 C......................... 50.
13b Transition.......................... 20 Linear Transition......... Linear Transition.
14 Steady-state......................... 144 Warm Idle................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20 second transition phase. During the transition phase, command
a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.
Sec. 1036.510 Engine data and information for vehicle certification.
You must give vehicle manufacturers information as follows so they
can certify model year 2021 and later vehicles:
(a) Identify engine make, model, fuel type, engine family name,
calibration identification, and engine displacement. Also identify which
standards the engines meet.
[[Page 114]]
(b) This paragraph (b) describes three different methods to generate
engine fuel maps. Manufacturers may generally rely on any of the three
mapping methods. However, manufacturers must generate fuel maps using
either cycle-average or powertrain testing as described in paragraphs
(b)(2) and (3) of this section for hybrid engines and hybrid vehicles.
Also, vehicle manufacturers must use the powertrain method for any
vehicle with a transmission that is not automatic, automated manual,
manual, or dual-clutch.
(1) Combined steady-state and cycle-average. Determine steady-state
engine fuel maps and fuel consumption at idle as described in Sec.
1036.535, and determine cycle-average engine fuel maps as described in
Sec. 1036.540, excluding cycle-average fuel maps for highway cruise
cycles.
(2) Cycle-average. Determine fuel consumption at idle as described
in Sec. 1036.535, and determine cycle-average engine fuel maps as
described in Sec. 1036.540, including cycle-average engine fuel maps
for highway cruise cycles. In this case, you do not need to determine
steady-state engine fuel maps under Sec. 1036.535. Fuel mapping for
highway cruise cycles using cycle-average testing is an alternate
method, which means that we may do confirmatory testing based on steady-
state fuel mapping for highway cruise cycles even if you do not;
however, we will use the steady-state fuel maps to create cycle-average
fuel maps. In Sec. 1036.540 we define the vehicle configurations for
testing; we may add more vehicle configurations to better represent your
engine's operation for the range of vehicles in which your engines will
be installed (see 40 1065.10(c)(1)).
(3) Powertrain. Generate a powertrain fuel map as described in 40
CFR 1037.550. In this case, you do not need to perform fuel mapping
under Sec. 1036.535 or Sec. 1036.540.
(d) Provide the following information if you generate engine fuel
maps using either paragraph (b)(1) or (2) of this section:
(1) Full-load torque curve for installed engines, and the full-load
torque curve of the engine with the highest fueling rate that shares the
same engine hardware, including the turbocharger, as described in 40 CFR
1065.510. You may use 40 CFR 1065.510(b)(5)(i) for engines subject to
spark-ignition standards. Measure the torque curve for hybrid engines as
described in 40 CFR 1065.510(g) with the hybrid system active.
(2) Motoring torque map as described in 40 CFR 1065.510(c)(2) and
(4) for conventional and hybrid engines, respectively.
(3) Declared engine idle speed. For vehicles with manual
transmissions, this is the engine speed with the transmission in
neutral. For all other vehicles, this is the engine's idle speed when
the transmission is in drive.
Sec. 1036.525 Hybrid engines.
(a) If your engine system includes features that recover and store
energy during engine motoring operation, test the engine as described in
paragraph (d) of this section. For purposes of this section, features
that recover energy between the engine and transmission are considered
related to engine motoring.
(b) If you produce a hybrid engine designed with power take-off
capability and sell the engine coupled with a transmission, you may
calculate a reduction in CO2 emissions resulting from the
power take-off operation as described in 40 CFR 1037.540. Quantify the
CO2 reduction for your engines using the vehicle-based
procedures, consistent with good engineering judgment.
(c) For engines that include electric hybrid systems, test the
engine with the hybrid electric motor, the rechargeable energy storage
system (RESS), and the power electronics between the hybrid electric
motor and the RESS. You may ask us to modify the provisions of this
section for testing engines with other kinds of hybrid systems.
(d) Measure emissions using the same procedures that apply for
testing non-hybrid engines under this part, except as specified in this
part and 40 CFR part 1065. For ramped-modal testing, deactivate the
hybrid features unless we specify otherwise. The following provisions
apply for testing hybrid engines:
[[Page 115]]
(1) Engine mapping. Map the engine as specified in 40 CFR 1065.510.
This requires separate torque maps for the engine with and without the
hybrid features active. For transient testing, denormalize the duty
cycle using the map generated with the hybrid feature active. For
steady-state testing, denormalize the duty cycle using the map generated
without the hybrid feature.
(2) Engine shutdown during testing. If you will configure production
engines to shut down automatically during idle operation, you may let
the engine shut down during the idle portions of the duty cycle.
(3) Work calculation. Calculate positive and negative work done over
the cycle according to 40 CFR 1065.650(d), except that you must set
power to zero to calculate negative work done for any period over the
cycle where the engine produces net positive power or where the negative
power is solely from the engine and not the hybrid system.
(4) Limits on braking energy. Calculate brake energy fraction,
xb, as follows:
(i) Calculate xb as the integrated negative work over the
cycle divided by the integrated positive work over the cycle according
to Eq. 1036.525-1. Calculate the brake energy limit for the engine,
xbl, according to Eq. 1036.525-2. If xb is less
than or equal to xbl, use the integrated positive work for
your emission calculations. If xb is greater than
xbl use Eq. 1036.525-3 to calculate an adjusted value for
cycle work, Wcycle, and use Wcycle as the work
value for calculating emission results. You may set an instantaneous
brake target that will prevent xb from being larger than
xbl to avoid the need to subtract extra brake work from
positive work.
[GRAPHIC] [TIFF OMITTED] TR25OC16.049
Where:
Wneg = the negative work over the cycle.
Wpos = the positive work over the cycle.
[GRAPHIC] [TIFF OMITTED] TR25OC16.050
Where:
Pmax = the maximum power of the engine with the hybrid system
engaged.
[GRAPHIC] [TIFF OMITTED] TR25OC16.051
Where:
Wcycle = cycle work when xb is greater than
xbl.
Example:
Wneg = 4.69 kW-hr
Wpos = 14.67 kW-hr
Pmax = 223 kW
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[GRAPHIC] [TIFF OMITTED] TR25OC16.052
xbl = 4.158.10-4[middot] .223 + 0.2247 = 0.317 kW
since xb xbl;
Wcycle = 14.67 - ([bond]4.59[bond] - 0.317[middot] 14.67) =
14.63 kW-hr
(ii) Convert from g/kW-hr to g/hp-hr as the final step in
calculating emission results.
(5) State of charge. Correct for the net energy change of the energy
storage device as described in 40 CFR 1066.501.
Sec. 1036.530 Calculating greenhouse gas emission rates.
This section describes how to calculate official emission results
for CO2, CH4, and N2O.
(a) Calculate brake-specific emission rates for each applicable duty
cycle as specified in 40 CFR 1065.650. Apply infrequent regeneration
adjustment factors to your cycle-average results as described in 40 CFR
86.004-28 for CO2 starting in model year 2021. You may
optionally apply infrequent regeneration adjustment factors for
CH4 and N2O.
(b) Adjust CO2 emission rates calculated under paragraph
(a) of this section for measured test fuel properties as specified in
this paragraph (b). This adjustment is intended to make official
emission results independent of differences in test fuels within a fuel
type. Use good engineering judgment to develop and apply testing
protocols to minimize the impact of variations in test fuels.
(1) Determine mass-specific net energy content,
Emfuelmeas, also known as lower heating value, in MJ/kg,
expressed to at least three decimal places, as follows:
(i) For liquid fuels, determine Emfuelmeas according to
ASTM D4809 (incorporated by reference in Sec. 1036.810).
(ii) For gaseous fuels, determine Emfuelmeas using good
engineering judgment.
(2) Determine your test fuel's carbon mass fraction, wC,
as described in 40 CFR 1065.655(d), expressed to at least three decimal
places; however, you must measure fuel properties rather than using the
default values specified in Table 1 of 40 CFR 1065.655. Have the sample
analyzed by three different labs and use the arithmetic mean of the
results as your test fuel's wC.
(3) If, over a period of time, you receive multiple fuel deliveries
from a single stock batch of test fuel, you may use constant values for
mass-specific energy content and carbon mass fraction, consistent with
good engineering judgment. To use this provision, you must demonstrate
that every subsequent delivery comes from the same stock batch and that
the fuel has not been contaminated.
(4) Correct measured CO2 emission rates as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.053
Where:
eCO2 = the calculated CO2 emission result.
Emfuelmeas = the mass-specific net energy content of the test
fuel as determined in paragraph (b)(1) of this section. Note
that dividing this value by wCmeas (as is done in
this equation) equates to a carbon-specific net energy content
having the same units as EmfuelCref.
EmfuelCref = the reference value of carbon-mass-specific net
energy content for the
[[Page 117]]
appropriate fuel type, as determined in Table 1 of this
section.
wCmeas = carbon mass fraction of the test fuel (or mixture of
test fuels) as determined in paragraph (b)(2) of this section.
Example:
eCO2 = 630.0 g/hp[middot] hr
Emfuelmeas = 42.528 MJ/kg
EmfuelCref = 49.3112 MJ/kgC
wCmeas = 0.870
[GRAPHIC] [TIFF OMITTED] TR25OC16.054
eCO2cor = 624.5 g/hp[middot] hr
Table 1 of Sec. 1036.530--Reference fuel properties
------------------------------------------------------------------------
Reference fuel
carbon-mass- Reference fuel
specific net carbon mass
Fuel type\1\ energy content, fraction, wCref
EmfuelCref, (MJ/ \2\
kgC) \2\
------------------------------------------------------------------------
Diesel fuel......................... 49.3112 0.874
Gasoline............................ 50.4742 0.846
Natural Gas......................... 66.2910 0.750
LPG................................. 56.5218 0.820
Dimethyl Ether...................... 55.3886 0.521
High-level ethanol-gasoline blends.. 50.3211 0.576
------------------------------------------------------------------------
\1\ For fuels that are not listed, you must ask us to approve reference
fuel properties.
\2\ For multi-fuel streams, such as natural gas with diesel fuel pilot
injection, use good engineering judgment to determine blended values
for EmfuelCref and wCref using the values in this table.
(c) Your official emission result for each pollutant equals your
calculated brake-specific emission rate multiplied by all applicable
adjustment factors, other than the deterioration factor.
Sec. 1036.535 Determining steady-state engine fuel maps and fuel
consumption at idle.
This section describes how to determine an engine's steady-state
fuel map and fuel consumption at idle for model year 2021 and later
vehicles. Vehicle manufacturers may need these values to demonstrate
compliance with emission standards under 40 CFR part 1037 as described
in Sec. 1036.510.
(a) General test provisions. Perform fuel mapping using the
procedure described in paragraph (b) of this section to establish
measured fuel-consumption rates at a range of engine speed and load
settings. Measure fuel consumption at idle using the procedure described
in paragraph (c) of this section. If you perform cycle-average mapping
for highway cruise cycles as described in Sec. 1037.540, omit mapping
under paragraph (b) of the section and instead perform mapping as
described in paragraph (c) and (d) of this section. Use these measured
fuel-consumption values to declare fuel-consumption rates for
certification as described in paragraph (e) of this section.
(1) Map the engine as described in Sec. 1036.510(a)(2) and (3), and
perform emission measurements as described in 40 CFR 1065.501 and
1065.530 for discrete-mode steady-state testing. This section uses
engine parameters and variables that are consistent with 40 CFR part
1065.
(2) Measure NOX emissions for each specified sampling
period in g/s. You may perform these measurements using a NOX
emission-measurement system that meets the requirements of 40 CFR part
1065, subpart J. Include these measured NOX values any time
you report to us your fuel consumption values from testing under this
section. If a system malfunction prevents you from measuring
NOX emissions during a test under this section but the test
otherwise gives valid results, you may consider this a valid test and
omit the NOX emission measurements; however, we may require
you to repeat the test if we determine that you inappropriately voided
the test with respect to NOX emission measurement.
(b) Steady-state fuel mapping. Determine fuel-consumption rates for
each engine configuration over a series of steady-state engine operating
points as described in this paragraph (b). You may use shared data
across an engine platform to the extent that the fuel-consumption rates
remain valid. For example, if you test a high-output configuration and
create a different configuration that uses the same fueling
[[Page 118]]
strategy but limits the engine operation to be a subset of that from the
high-output configuration, you may use the fuel-consumption rates for
the reduced number of mapped points for the low-output configuration, as
long as the narrower map includes at least 70 points. Perform fuel
mapping as follows:
(1) Select ten speed points that include warm idle speed,
fnidle, the highest speed above maximum power at which 70% of
maximum power occurs, nhi, and eight equally spaced points
between fnidle and nhi. Control speed to within
1% of nhi (see 40 CFR 1065.610(c)).
(2) Select ten torque values, including T = 0, maximum mapped
torque, Tmax mapped, and eight equally spaced points between
T = 0 and Tmax mapped. Replace any torque setpoints that are
above the mapped torque at a given speed, Tmax, minus 5
percent of Tmax mapped. with one test point at
Tmax. Control engine torque to within 5% of Tmax mapped.
(3) You may need to adjust dynamometer settings any time the engine
is operating on the low-speed or high-speed governor to maintain stable
engine operation. You may change the dynamometer's speed setpoint as
needed to avoid activating the engine's governor. You may alternatively
set the dynamometer mode to torque-control, in which case speed can fall
outside of 1% of nhi.
(4) Precondition the engine as described in 40 CFR 1065.510(b)(2).
(5) Within 60 seconds after concluding the preconditioning
procedure, operate the engine at nhi and Tmax.
(6) After the engine operates at the set speed and torque for 60
seconds, start recording measurements using one of the following
methods:
(i) Carbon mass balance. Record speed and torque and measure
emissions and other inputs needed to run the chemical balance in 40 CFR
1065.655(c) for (29 to 31) seconds; determine the corresponding mean
values for the sampling period. We will use carbon mass balance.
(ii) Direct measurement of fuel flow. Record speed and torque and
measure fuel consumption with a fuel flow meter for (29 to 31) seconds;
determine the corresponding mean values for the sampling period.
(7) After completing the sampling period described in paragraph
(b)(6) of this section, linearly ramp the engine over 15 seconds to the
next lowest torque value while holding speed constant. Perform the
measurements described at the new torque setting and repeat this
sequence for all remaining torque values down to T = 0.
(8) Continue testing to complete fuel mapping as follows:
(i) At T = 0, linearly ramp the engine over 15 seconds to operate at
the next lowest speed value and increase torque to Tmax.
Perform measurements for all the torque values at the selected speed as
described in paragraphs (b)(6) and (7) of this section. Repeat this
sequence for all remaining speed values down to fnidle to
complete the fuel-mapping procedure. You may interrupt the mapping
sequence to calibrate emission-measurement instrumentation only during
stabilization at Tmax for a given speed. If you use batch
sampling to measure background emissions, you may sample periodically
into the bag over the course of multiple test intervals defined by the
period between calibrations of emission-measurement instrumentation. The
background sample must be applied to correct emissions sampled over the
test interval(s) between calibrations.
(ii) If an infrequent regeneration event occurs during fuel mapping,
invalidate all the measurements made at that engine speed. Allow the
regeneration event to finish, then restart engine stabilization at
Tmax at the same engine speed and continue with measurements
from that point in the fuel-mapping sequence.
(9) If you determine fuel-consumption rates using emission
measurements from the raw or diluted exhaust, calculate the mean fuel
mass flow rate, mifuel, for each point in the fuel map using
the following equation:
[[Page 119]]
[GRAPHIC] [TIFF OMITTED] TR25OC16.055
Where:
mifuel = mean fuel mass flow rate for a given fuel map
setpoint, expressed to at least the nearest 0.001 g/s.
MC = molar mass of carbon.
wCmeas = carbon mass fraction of fuel (or mixture of test
fuels) as determined in 40 CFR 1065.655(d), except that you
may not use the default properties in Table 1 of 40 CFR
1065.655 to determine a, b, and wC for liquid
fuels.
niexh= the mean raw exhaust molar flow rate from which you
measured emissions according to 40 CFR 1065.655.
xCcombdry= the mean concentration of carbon from fuel and any
injected fluids in the exhaust per mole of dry exhaust as
determined in 40 CFR 1065.655(c).
xH2Oexhdry= the mean concentration of H2O in
exhaust per mole of dry exhaust as determined in 40 CFR
1065.655(c).
miCO2DEF= the mean CO2 mass emission rate
resulting from diesel exhaust fluid decomposition as
determined in paragraph (b)(10) of this section. If your
engine does not use diesel exhaust fluid, or if you choose not
to perform this correction, set miCO2DEF equal to
0.
MCO2 = molar mass of carbon dioxide.
Example:
MC = 12.0107 g/mol
wCmeas = 0.869
niexh= 25.534 mol/s
xCcombdry= 0.002805 mol/mol
xH2Oexhdry= 0.0353 mol/mol
miCO2DEF= 0.0726 g/s
MCO2 = 44.0095 g/mol
[GRAPHIC] [TIFF OMITTED] TR25OC16.056
(10) If you determine fuel-consumption rates using emission
measurements with engines that utilize diesel exhaust fluid for
NOX control, correct for the mean CO2 mass
emissions resulting from diesel exhaust fluid decomposition at each fuel
map setpoint using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.057
Where:
miDEF= the mean mass flow rate of injected urea solution
diesel exhaust fluid for a given sampling period, determined
directly from the engine control module, or measured
separately, consistent with good engineering judgment.
MCO2 = molar mass of carbon dioxide.
wCH4N2O = mass fraction of urea in diesel exhaust fluid
aqueous solution. Note that the subscript ``CH4N2O'' refers to
urea as a pure compound and the subscript ``DEF'' refers to
the aqueous 32.5% urea diesel exhaust fluid as a solution of
urea in water with a nominal urea concentration of 32.5%.
MCH4N2O = molar mass of urea.
[[Page 120]]
Example:
miDEF= 0. 304 g/s
MCO2 = 44.0095 g/mol
wCH4N2O = 32.5% = 0.325
MCH4N2O = 60.05526 g/mol
[GRAPHIC] [TIFF OMITTED] TR25OC16.058
(11) Correct the measured or calculated mean fuel mass flow rate,
mifuel at each engine operating condition to a mass-specific
net energy content of a reference fuel using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.059
Where:
Emfuelmeas = the mass-specific net energy content of the test
fuel as determined in Sec. 1036.530(b)(1).
EmfuelCref = the reference value of carbon-mass-specific net
energy content for the appropriate fuel. Use the values shown
in Table 1 of Sec. 1036.530 for the designated fuel types, or
values we approve for other fuel types.
wCref = the reference value of carbon mass fraction for the
test fuel as shown in Table 1 of Sec. 1036.530 for the
designated fuels. For other fuels, use the reference carbon
mass fraction of diesel fuel for engines subject to
compression-ignition standards, and use the reference carbon
mass fraction of gasoline for engines subject to spark-
ignition standards.
Example:
mifuel= 0.933 g/s
Emfuelmeas = 42.7984 MJ/kgC
EmfuelCref = 49.3112 MJ/kgC
wCref = 0.874
[GRAPHIC] [TIFF OMITTED] TR25OC16.060
(c) Fuel consumption at idle. Determine values for fuel-consumption
rate at idle for each engine configuration as described in this
paragraph (c). You may use shared data across engine configurations,
consistent with good engineering judgment. Perform measurements as
follows:
(1) Precondition the engine as described in 40 CFR 1065.510(b)(2).
(2) Within 60 seconds after concluding the preconditioning
procedure, operate the engine at its minimum declared warm idle speed,
fnidlemin, as described in 40 CFR 1065.510(b)(3), set zero
torque, and start the sampling period. Continue sampling for (595 to
605) seconds. Perform measurements using carbon mass balance. Record
speed and torque and measure emissions and other inputs as described in
40 CFR 1065.655(c); determine the corresponding mean values for the
sampling period. Calculate the mean fuel mass flow rate,
mifuel, during the sampling period as described in paragraph
(b)(9) of this section.
Manufacturers may instead measure fuel consumption with a fuel flow
meter and determine the corresponding mean values for the sampling
period.
(3) Repeat the steps in paragraphs (c)(1) and (2) of this section
with the
[[Page 121]]
engine set to operate at a torque setting of 100 N[middot] m.
(4) Repeat the steps in paragraphs (c)(1) through (3) of this
section with the engine operated at its declared maximum warm idle
speed, fnidlemax.
(5) If an infrequent regeneration event occurs during this
procedure, invalidate any measurements made at that idle condition.
Allow the regeneration event to finish, then repeat the measurement and
continue with the test sequence.
(6) Correct the measured or calculated mean fuel mass flow rate,
mifuel at each of the four idle settings to account for mass-
specific net energy content as described in paragraph (b)(11) of this
section.
(d) Steady-state fuel maps used for cycle-average fuel mapping of
the cruise cycles. Use the appropriate default steady-state engine fuel
map as specified in Appendix I to this part to generate cycle-average
fuel maps under Sec. 1036.540, as amended based on the measurements
specified in this paragraph (d). Measure fuel consumption at idle at the
four specified engine operating conditions. For any values from the
default map that lie within the boundaries of the engine speed and
torque values represented by these idle-operating points, use the
measured values instead of the default values. You may use shared data
across engine configurations, consistent with good engineering judgment.
Determine values for fuel-consumption rate at idle for each engine
configuration as follows:
(1) Determine idle torque, Tidle, at the engine's maximum
warm idle speed using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.061
Where:
Tfnstall = the maximum engine torque at fnstall.
fnidle[speed] = the applicable engine idle speed as described
in this paragraph (d).
fnstall = the stall speed of the torque converter; use
fntest or 2250 rpm, whichever is lower.
Pacc = accessory power for the vehicle class; use 1500 W
for Vocational Light HDV, 2500 W for Vocational Medium HDV, and 3500 W
for Tractors and Vocational Heavy HDV.
Example:
Tfnstall = 1870 N[middot] m
fntest = 1740.8 r/min = 182.30 rad/s
fnstall = 1740.8 r/min = 182.30 rad/s
fnidlemax = 700 r/min = 73.30 rad/s
Pacc = 1500 W
[GRAPHIC] [TIFF OMITTED] TR25OC16.062
(2) Precondition the engine as described in 40 CFR 1065.510(b)(2).
(3) Within 60 seconds after concluding the preconditioning
procedure, operate the engine at its maximum declared warm idle speed,
fnidlemax, as described in 40 CFR 1065.510(b)(3), set torque
to the value determined in paragraph (d)(1) of this section, after the
engine operates at the set speed and torque for 60 seconds, start the
sampling period. Continue sampling for (29 to 31) seconds. Perform
measurements using carbon mass balance. Record speed and torque and
measure emissions and other inputs as described in 40 CFR 1065.655(c);
determine the corresponding mean values for the sampling period.
Calculate the mean fuel mass flow rate, mifuel, during the
sampling period as described in
[[Page 122]]
paragraph (b)(9) of this section. Manufacturers may instead measure fuel
consumption with a fuel flow meter and determine the corresponding mean
values for the sampling period.
(4) Repeat the steps in paragraphs (d)(2) and (3) of this section
with the engine set to operate at zero torque.
(5) Repeat the steps in paragraphs (d)(1) through (4) of this
section with the engine operated at its declared minimum warm idle
speed, fnidlemin.
(6) If an infrequent regeneration event occurs during this
procedure, invalidate any measurements made at that idle condition.
Allow the regeneration event to finish, then repeat the measurement and
continue with the test sequence.
(7) Correct the measured or calculated mean fuel mass flow rate,
mifuel at each of the four idle settings to account for mass-
specific net energy content as described in paragraph (b)(11) of this
section.
(e) Measured vs. declared fuel-consumption rates. Select fuel-
consumption rates in g/s to characterize the engine's fuel maps. These
declared values may not be lower than any corresponding measured values
determined in paragraphs (b) through (d) of this section. You may select
any value that is at or above the corresponding measured value. These
declared fuel-consumption rates, which serve as emission standards under
Sec. 1036.108, are the values that vehicle manufacturers will use for
certification under 40 CFR part 1037. Note that production engines are
subject to GEM cycle-weighted limits as described in Sec. 1036.301.
Sec. 1036.540 Determining cycle-average engine fuel maps.
(a) Overview. This section describes how to determine an engine's
cycle-average fuel maps for model year 2021 and later vehicles with
transient cycles. This may also apply for highway cruise cycles as
described in Sec. 1036.510. Vehicle manufacturers may need one or both
of these to demonstrate compliance with emission standards under 40 CFR
part 1037. Generating cycle-average engine fuel maps consists of the
following steps:
(1) Determine the engine's torque maps as described in Sec.
1036.510(a).
(2) Determine the engine's steady-state fuel map and fuel
consumption at idle as described in Sec. 1036.535.
(3) Simulate several different vehicle configurations using GEM (see
40 CFR 1037.520) to create new engine duty cycles, as described in
paragraph (c) of this section. The transient vehicle duty cycles for
this simulation are in 40 CFR part 1037, Appendix I; the highway cruise
cycles with grade are in 40 CFR part 1037, Appendix IV. Note that GEM
simulation relies on vehicle service classes as described in 40 CFR
1037.140.
(4) Test the engines using the new duty cycles to determine fuel
consumption, cycle work, and average vehicle speed as described in
paragraph (d) of this section and establish GEM inputs for those
parameters for further vehicle simulations as described in paragraph (e)
of this section.
(b) General test provisions. The following provisions apply for
testing under this section:
(1) To perform fuel mapping under this section for hybrid engines,
make sure the engine and its hybrid features are appropriately
configured to represent the hybrid features in your testing.
(2) Measure NOX emissions for each specified sampling
period in grams. You may perform these measurements using a
NOX emission-measurement system that meets the requirements
of 40 CFR part 1065, subpart J. Include these measured NOX
values any time you report to us your fuel consumption values from
testing under this section. If a system malfunction prevents you from
measuring NOX emissions during a test under this section but
the test otherwise gives valid results, you may consider this a valid
test and omit the NOX emission measurements; however, we may
require you to repeat the test if we determine that you inappropriately
voided the test with respect to NOX emission measurement.
(3) This section uses engine parameters and variables that are
consistent with 40 CFR part 1065.
(c) Create engine cycles. Use GEM to simulate several different
vehicle configurations to create transient and highway cruise engine
cycles corresponding to each vehicle configuration, as follows:
[[Page 123]]
(1) Set up GEM to simulate vehicle operation based on your engine's
torque maps, steady-state fuel maps, and fuel consumption at idle as
described in paragraph (a)(1) and (2) of this section.
(2) Set up GEM with transmission gear ratios for different vehicle
service classes and vehicle duty cycles as described in Table 1 of this
section. These values are based on automatic or automated manual
transmissions, but they apply for all transmission types.
Table 1 of Sec. 1036.540--Assigned Transmission Gear Ratios
----------------------------------------------------------------------------------------------------------------
Tractors and
Light HDV and Tractors and heavy HDV,
Gear number medium HDV heavy HDV, highway cruise
transient cycle cycle
----------------------------------------------------------------------------------------------------------------
1...................................................... 3.10 3.51 12.8
2...................................................... 1.81 1.91 9.25
3...................................................... 1.41 1.43 6.76
4...................................................... 1.00 1.00 4.90
5...................................................... 0.71 0.74 3.58
6...................................................... 0.61 0.64 2.61
7...................................................... ................. ................. 1.89
8...................................................... ................. ................. 1.38
9...................................................... ................. ................. 1.00
10..................................................... ................. ................. 0.73
----------------------------------------------------------------------------------------------------------------
(3) Run GEM for each simulated vehicle configuration as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.063
[GRAPHIC] [TIFF OMITTED] TR25OC16.064
Where:
fn[speed] = engine's angular speed as determined in paragraph
(c)(3)(ii) or (iii) of this section.
ktopgear = transmission gear ratio in the highest available
gear from Table 4 of this section (for powertrain testing use
actual top gear ratio).
vref = reference speed. Use 65 mi/hr for the transient cycle
and the 65 mi/hr highway
[[Page 124]]
cruise cycle, and use 55 mi/hr for the 55 mi/hr highway cruise
cycle.
[GRAPHIC] [TIFF OMITTED] TR25OC16.065
[GRAPHIC] [TIFF OMITTED] TR25OC16.066
Example:
This example is for a vocational Light HDV or vocational Medium HDV
with a 6-speed automatic transmission at B speed (Test 3 or 4 in Table 2
of this section).
fnrefB = 1870 r/min = 31.17 r/s
kaB = 4.0
ktopgear = 0.61
vref = 65 mi/hr = 29.06 m/s
[GRAPHIC] [TIFF OMITTED] TR25OC16.067
(ii) Test at least eight different vehicle configurations for
engines that will be installed in vocational Light HDV or vocational
Medium HDV. If the engine will also be installed in vocational Heavy
HDV, use good engineering judgment to select at least nine test
configurations that best represent the range of vehicles. For example,
if your engines will be installed in vocational Medium HDV and
vocational Heavy HDV, you might select Tests 1 through 6 of Table 2 of
this section to represent Class 7 vehicles and Tests 3, 6, and 9 of
Table 3 of this section to represent Class 8 vehicles. You may test your
engine using additional vehicle configurations with
differentka and Crr values to represent a wider
range of in-use vehicle configurations. Set CdA to 5.4 for
all test configurations.For powertrain testing, set Mrotating
to 340 kg and Effaxle to 0.955 for all test configurations.
[GRAPHIC] [TIFF OMITTED] TR25OC16.068
corresponding designated engine speed (A, B, C, or fntest) at
65 mi/hr for the transient cycle and the 65 mi/hr highway cruise cycle,
and at 55 mi/hr for the 55 mi/hr highway cruise cycle. These engine
speeds apply equally for engines subject to spark-ignition standards.
Use the following settings specific to each vehicle configuration:
[[Page 125]]
[GRAPHIC] [TIFF OMITTED] TR25OC16.069
(iii) Test nine different vehicle configurations for engines that
will be installed in vocational Heavy HDV and for tractors that are not
heavy-haul tractors. Test over six different test configurations for
heavy-haul tractors. You may test your engines for additional
configurations with different ka, CdA, and
Crr values to represent a wider range of in-use vehicle
configurations. Set Crr to 6.9 for all nine defined test
configurations. For powertrain testing, set Effaxle to 0.955
for all test configurations. Set the axle ratio, ka,
[GRAPHIC] [TIFF OMITTED] TR25OC16.070
engine speed (B, fntest, or the minimum NTE exclusion speed
as determined in 40 CFR 86.1370(b)(1)) at 65 mi/hr. Use the settings
specific to each test configuration as shown in Table 3 or Table 4 of
this section, as appropriate. Engines subject to testing under both
Table 3 and Table 4 of this section need not repeat overlapping test
configurations, so complete fuel mapping requires testing 12 (not 15)
test configurations for those engines. Note that Mrotating is
needed for powertrain testing but not for engine testing. Tables 3 and 4
follow:
[[Page 126]]
[GRAPHIC] [TIFF OMITTED] TR25OC16.071
[GRAPHIC] [TIFF OMITTED] TR25OC16.072
(iv) Use the defined values in Tables 1 through 4 of this section to
set up GEM with the correct regulatory subcategory and vehicle weight
reduction, if applicable, to achieve the target vehicle mass, M, for
each test.
(4) Use the GEM output of instantaneous engine speed and engine
flywheel torque for each of the vehicle configurations to generate a 10
Hz transient duty cycle corresponding to each vehicle configuration
operating over each vehicle duty cycle.
(d) Test the engine with GEM cycles. Test the engine over each of
the transient duty cycles generated in paragraph (c) of this section as
follows:
(1) Precondition the engine either as described in 40 CFR
1037.510(a)(2)(i) for the transient duty-cycle and 40 CFR
1037.510(a)(2)(ii) for the highway cruise duty cycles using the Test 1
vehicle configuration, and then continue testing the different
configurations in the order presented in this section. Measure emissions
as described in 40 CFR part 1065; perform cycle validation according to
40 CFR part 1065, subpart F, except as noted in this paragraph (d)(1).
If the range of reference speeds is less than 10 percent of the mean
reference speed, you need to meet only the standard error of estimate in
Table 2 of 40 CFR 1065.514. For purposes of cycle validation, treat
points as being at idle if reference speed is at or below declared idle
speed. For plug-in hybrid engines, precondition the battery and then
complete all back-to-back tests for each test configuration according to
40 CFR 1066.501 before moving to the next test configuration. You may
send signals to the engine controller during the test, such as current
transmission gear and vehicle speed, if that allows engine operation
during the test to better represent in-use operation.
(2) If an infrequent regeneration event occurs during a mapping test
interval, invalidate that test interval. Continue operating the vehicle
to allow the regeneration event to finish, then
[[Page 127]]
repeat engine preconditioning and resume testing at the start of the
invalidated test cycle.
(3) For each test, record measurements needed to determine fuel mass
using carbon mass balance. Record speed and torque and measure emissions
and other inputs as described in 40 CFR 1065.655(c). Manufacturers may
instead measure fuel consumption with a fuel flow meter. For hybrid
powertrains with no plug-in capability, correct for the net energy
change of the energy storage device as described in 40 CFR 1066.501. For
plug-in hybrid engines, follow 40 CFR 1066.501 to determine End-of-Test
for charge-depleting operation; to do this, you must get our advance
approval for a utility factor curve. We will approve your utility factor
curve if you can show that you created it from sufficient in-use data of
vehicles in the same application as the vehicles in which the PHEV
engine will be installed.
(4) Calculate the fuel mass flow rate, mfuel, for each
duty cycle using one of the following equations:
(i) Determine fuel-consumption rates using emission measurements
from the raw or diluted exhaust, calculate the mass of fuel for each
duty cycle, mfuel[cycle], as follows:
(A) For calculations that use continuous measurement of emissions
and continuous CO2 from urea, calculate
mfuel[cycle] using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.073
Where:
MC = molar mass of carbon.
wCmeas = carbon mass fraction of fuel (or mixture of test
fuels) as determined in 40 CFR 1065.655(d), except that you
may not use the default properties in Table 1 of 40 CFR
1065.655 to determine a, b, and wC for liquid
fuels.
i = an indexing variable that represents one recorded emission value.
N = total number of measurements over the duty cycle.
nexh = exhaust molar flow rate from which you measured
emissions.
xCcombdry = amount of carbon from fuel and any injected
fluids in the exhaust per mole of dry exhaust as determined in
40 CFR 1065.655(c).
xH2Oexhdry = amount of H2O in exhaust per mole of
exhaust as determined in 40 CFR 1065.655(c).
Dt = 1/frecord.
MCO2 = molar mass of carbon dioxide.
mCO2DEF = mass emission rate of CO2 resulting from
diesel exhaust fluid decomposition over the duty cycle as
determined from Sec. 1036.535(b)(10). If your engine does not
utilize diesel exhaust fluid for emission control, or if you
choose not to perform this correction, set mCO2DEF
equal to 0.
Example:
MC = 12.0107 g/mol
wCmeas = 0.867
N = 6680
nexh1= 2.876 mol/s
nexh2= 2.224 mol/s
xCcombdry1= 2.61[middot] 10-\3\ mol/mol
xCcombdry2= 1.91[middot] 10-\3\ mol/mol
xH2Oexhdry1= 3.53[middot] 10-\2\ mol/mol
xH2Oexhdry2= 3.13[middot] 10-\2\ mol/mol
frecord = 10 Hz
Dt = 1/10 = 0.1 s
MCO2 = 44.0095 g/mol
mCO2DEF1 = 0.0726 g/s
mCO2DEF2 = 0.0751 g/s
[[Page 128]]
[GRAPHIC] [TIFF OMITTED] TR25OC16.074
Mfueltransient = 1619.6 g
(B) If you measure batch emissions and continuous CO2
from urea, calculate mfuel[cycle] using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.075
(C) If you measure continuous emissions and batch CO2
from urea, calculate mfuel[cycle] using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.076
(D) If you measure batch emissions and batch CO2 from
urea, calculate mfuel[cycle] using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.077
[[Page 129]]
(ii) Manufacturers may choose to measure fuel mass flow rate.
Calculate the mass of fuel for each duty cycle, mfuel[cycle],
as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.078
Where:
i = an indexing variable that represents one recorded value.
N = total number of measurements over the duty cycle. For batch fuel
mass measurements, set N = 1.
mfueli = the fuel mass flow rate, for each point, i, starting
from i = 1.
Dt = 1/frecord
frecord = the data recording frequency.
Example:
N = 6680
mfuel1 = 1.856 g/s
mfuel2 = 1.962 g/s
frecord = 10 Hz
Dt = 1/10 = 0.1 s
mfueltransient = (1.856 + 1.962 + . . . + mfuel6680)[middot]
0.1
mfueltransient = 111.95 g
(5) Correct the measured or calculated fuel mass flow rate,
mfuel, for each test result to a mass-specific net energy
content of a reference fuel as described in Sec. 1036.535(b)(11),
replacing with mifuel with mfuel in Eq. 1036.535-
3.
(6) For engines designed for plug-in hybrid electric vehicles, the
mass of fuel for each cycle, mfuel[cycle], is the utility
factor-weighted fuel mass. This is done by calculating mfuel
for the full charge-depleting and charge-sustaining portions of the test
and weighting the results, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.079
Where:
mfuel[cycle],CD = total mass of fuel for all the tests in the
charge-depleting portion of the test.
UFDCD = utility factor fraction at distance DCD as
determined by interpolating the approved utility factor curve.
mfuel[cycle],CS = total mass of fuel for all the tests in the
charge-sustaining portion of the test.
[GRAPHIC] [TIFF OMITTED] TR25OC16.080
Where:
v = vehicle velocity at each time step. For tests completed under this
section, v is the vehicle velocity in the GEM duty-cycle file.
For tests under 40 CFR 1037.550, v is the vehicle velocity as
determined by Eq. 1037.550-1. Note that this
[[Page 130]]
should include complete and incomplete charge-depleting tests.
(e) Determine GEM inputs. Use the results of engine testing in
paragraph (d) of this section to determine the GEM inputs for the
transient duty cycle and optionally for each of the highway cruise
cycles corresponding to each simulated vehicle configuration as follows:
(1) Your declared fuel mass consumption, mfueltransient.
The declared values may be at or above the values calculated in
paragraph (d) of this section, as described in Sec. 1036.535(e).
(2) Engine output speed per unit vehicle speed,
[GRAPHIC] [TIFF OMITTED] TR25OC16.081
by taking the average engine speed measured during the engine test while
the vehicle is moving and dividing it by the average vehicle speed
provided by GEM. Note that the engine cycle created by GEM has a flag to
indicate when the vehicle is moving.
(3) Positive work determined accordering to 40 CFR 1065,
Wtransient.
(4) The following table illustrates the GEM data inputs
corresponding to the different vehicle configurations:
[GRAPHIC] [TIFF OMITTED] TR25OC16.082
Subpart G_Special Compliance Provisions
Sec. 1036.601 What compliance provisions apply?
(a) Engine and vehicle manufacturers, as well as owners, operators,
and rebuilders of engines subject to the requirements of this part, and
all other persons, must observe the provisions of this part, the
provisions of 40 CFR part 1068, and the provisions of the Clean Air Act.
The provisions of 40 CFR part 1068 apply for heavy-duty highway engines
as specified in that part, subject to the following provisions:
(1) The exemption provisions of 40 CFR 1068.201 through 1068.230,
1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicle
engines. The other exemption provisions, which are specific to nonroad
engines, do not apply for heavy-duty vehicles or heavy-duty engines.
(2) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for
alternative fuel conversions as specified in 40 CFR part 85, subpart F.
(3) The warranty-related prohibitions in section 203(a)(4) of the
Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty
highway engines in addition to the prohibitions described in 40 CFR
1068.101(b)(6). We may assess a civil penalty up to $44,539 for each
engine or vehicle in violation.
(b) Engines exempted from the applicable standards of 40 CFR part 86
under the provisions of 40 CFR part 1068 are exempt from the standards
of this part without request.
[[Page 131]]
(c) The emergency vehicle field modification provisions of 40 CFR
85.1716 apply with respect to the standards of this part.
(d) Subpart C of this part describes how to test and certify dual-
fuel and flexible-fuel engines. Some multi-fuel engines may not fit
either of those defined terms. For such engines, we will determine
whether it is most appropriate to treat them as single-fuel engines,
dual-fuel engines, or flexible-fuel engines based on the range of
possible and expected fuel mixtures. For example, an engine might burn
natural gas but initiate combustion with a pilot injection of diesel
fuel. If the engine is designed to operate with a single fueling
algorithm (i.e., fueling rates are fixed at a given engine speed and
load condition), we would generally treat it as a single-fuel engine. In
this context, the combination of diesel fuel and natural gas would be
its own fuel type. If the engine is designed to also operate on diesel
fuel alone, we would generally treat it as a dual-fuel engine. If the
engine is designed to operate on varying mixtures of the two fuels, we
would generally treat it as a flexible-fuel engine. To the extent that
requirements vary for the different fuels or fuel mixtures, we may apply
the more stringent requirements.
Sec. 1036.605 GHG exemption for engines used in specialty vehicles.
Engines certified to the alternative standards specified in 40 CFR
86.007-11 and 86.008-10 for use in specialty vehicles as described in 40
CFR 1037.605 are exempt from the standards of this part. See 40 CFR part
1037 for provisions that apply to the vehicle.
Sec. 1036.610 Off-cycle technology credits and adjustments for
reducing greenhouse gas emissions.
(a) You may ask us to apply the provisions of this section for
CO2 emission reductions resulting from powertrain
technologies that were not in common use with heavy-duty vehicles before
model year 2010 that are not reflected in the specified test procedure.
While you are not required to prove that such technologies were not in
common use with heavy-duty vehicles before model year 2010, we will not
approve your request if we determine that they do not qualify. We will
apply these provisions only for technologies that will result in a
measurable, demonstrable, and verifiable real-world CO2
reduction. Note that prior to model year 2016, these technologies were
referred to as ``innovative technologies''.
(b) The provisions of this section may be applied as either an
improvement factor (used to adjust emission results) or as a separate
credit, consistent with good engineering judgment. Note that the term
``credit'' in this section describes an additive adjustment to emission
rates and is not equivalent to an emission credit in the ABT program of
subpart H of this part. We recommend that you base your credit/
adjustment on A to B testing of pairs of engines/vehicles differing only
with respect to the technology in question.
(1) Calculate improvement factors as the ratio of in-use emissions
with the technology divided by the in-use emissions without the
technology. Adjust the emission results by multiplying by the
improvement factor. Use the improvement-factor approach where good
engineering judgment indicates that the actual benefit will be
proportional to emissions measured over the test procedures specified in
this part. For example, the benefits from technologies that reduce
engine operation would generally be proportional to the engine's
emission rate.
(2) Calculate separate credits based on the difference between the
in-use emission rate (g/ton-mile) with the technology and the in-use
emission rate without the technology. Subtract this value from your
measured emission result and use this adjusted value to determine your
FEL. We may also allow you to calculate the credits based on g/hp-hr
emission rates. Use the separate-credit approach where good engineering
judgment indicates that the actual benefit will not be proportional to
emissions measured over the test procedures specified in this part.
(3) We may require you to discount or otherwise adjust your
improvement factor or credit to account for uncertainty or other
relevant factors.
[[Page 132]]
(c) Send your request to the Designated Compliance Officer. We
recommend that you do not begin collecting test data (for submission to
EPA) before contacting us. For technologies for which the vehicle
manufacturer could also claim credits (such as transmissions in certain
circumstances), we may require you to include a letter from the vehicle
manufacturer stating that it will not seek credits for the same
technology. Your request must contain the following items:
(1) A detailed description of the off-cycle technology and how it
functions to reduce CO2 emissions under conditions not
represented on the duty cycles required for certification.
(2) A list of the engine configurations that will be equipped with
the technology.
(3) A detailed description and justification of the selected test
engines.
(4) All testing and simulation data required under this section,
plus any other data you have considered in your analysis. You may ask
for our preliminary approval of your test plan under Sec. 1036.210.
(5) A complete description of the methodology used to estimate the
off-cycle benefit of the technology and all supporting data, including
engine testing and in-use activity data. Also include a statement
regarding your recommendation for applying the provisions of this
section for the given technology as an improvement factor or a credit.
(6) An estimate of the off-cycle benefit by engine model, and the
fleetwide benefit based on projected sales of engine models equipped
with the technology.
(7) A demonstration of the in-use durability of the off-cycle
technology, based on any available engineering analysis or durability
testing data (either by testing components or whole engines).
(d) We may seek public comment on your request, consistent with the
provisions of 40 CFR 86.1869-12(d). However, we will generally not seek
public comment on credits/adjustments based on A to B engine dynamometer
testing, chassis testing, or in-use testing.
(e) We may approve an improvement factor or credit for any
configuration that is properly represented by your testing.
(1) For model years before 2021, you may continue to use an approved
improvement factor or credit for any appropriate engine families in
future model years through 2020.
(2) For model years 2021 and later, you may not rely on an approval
for model years before 2021. You must separately request our approval
before applying an improvement factor or credit under this section for
2021 and later engines, even if we approved an improvement factor or
credit for similar engine models before model year 2021. Note that
approvals for model year 2021 and later may carry over for multiple
years.
Sec. 1036.615 Engines with Rankine cycle waste heat recovery and
hybrid powertrains.
This section specifies how to generate advanced-technology emission
credits for hybrid powertrains that include energy storage systems and
regenerative braking (including regenerative engine braking) and for
engines that include Rankine-cycle (or other bottoming cycle) exhaust
energy recovery systems. This section applies only for model year 2020
and earlier engines.
(a) Pre-transmission hybrid powertrains. Test pre-transmission
hybrid powertrains with the hybrid engine test procedures of 40 CFR part
1065 or with the post-transmission test procedures in 40 CFR 1037.550.
Pre-transmission hybrid powertrains are those engine systems that
include features to recover and store energy during engine motoring
operation but not from the vehicle's wheels. Engines certified with pre-
transmission hybrid powertrains must be certified to meet the diagnostic
requirements of 40 CFR 86.018-10 with respect to powertrain components
and systems; if different manufacturers produce the engine and the
hybrid powertrain, the hybrid powertrain manufacturer may separately
certify its powertrain relative to diagnostic requirements.
(b) Rankine engines. Test engines that include Rankine-cycle exhaust
energy recovery systems according to the test
[[Page 133]]
procedures specified in subpart F of this part unless we approve
alternate procedures.
(c) Calculating credits. Calculate credits as specified in subpart H
of this part. Credits generated from engines and powertrains certified
under this section may be used in other averaging sets as described in
Sec. 1036.740(c).
(d) Off-cycle technologies. You may certify using both the
provisions of this section and the off-cycle technology provisions of
Sec. 1036.610, provided you do not double-count emission benefits.
Sec. 1036.620 Alternate CO2 standards based on model year
2011 compression-ignition engines.
For model years 2014 through 2016, you may certify your compression-
ignition engines to the CO2 standards of this section instead
of the CO2 standards in Sec. 1036.108. However, you may not
certify engines to these alternate standards if they are part of an
averaging set in which you carry a balance of banked credits. You may
submit applications for certifications before using up banked credits in
the averaging set, but such certificates will not become effective until
you have used up (or retired) your banked credits in the averaging set.
For purposes of this section, you are deemed to carry credits in an
averaging set if you carry credits from advanced technology that are
allowed to be used in that averaging set.
(a) The standards of this section are determined from the measured
emission rate of the test engine of the applicable baseline 2011 engine
family or families as described in paragraphs (b) and (c) of this
section. Calculate the CO2 emission rate of the baseline test
engine using the same equations used for showing compliance with the
otherwise applicable standard. The alternate CO2 standard for
light and medium heavy-duty vocational-certified engines (certified for
CO2 using the transient cycle) is equal to the baseline
emission rate multiplied by 0.975. The alternate CO2 standard
for tractor-certified engines (certified for CO2 using the
ramped-modal cycle) and all other heavy heavy-duty engines is equal to
the baseline emission rate multiplied by 0.970. The in-use FEL for these
engines is equal to the alternate standard multiplied by 1.03.
(b) This paragraph (b) applies if you do not certify all your engine
families in the averaging set to the alternate standards of this
section. Identify separate baseline engine families for each engine
family that you are certifying to the alternate standards of this
section. For an engine family to be considered the baseline engine
family, it must meet the following criteria:
(1) It must have been certified to all applicable emission standards
in model year 2011. If the baseline engine was certified to a
NOX FEL above the standard and incorporated the same emission
control technologies as the new engine family, you may adjust the
baseline CO2 emission rate to be equivalent to an engine
meeting the 0.20 g/hp-hr NOX standard (or your higher FEL as
specified in this paragraph (b)(1)), using certification results from
model years 2009 through 2011, consistent with good engineering
judgment.
(i) Use the following equation to relate model year 2009-2011
NOX and CO2 emission rates (g/hp-hr):
CO2 = a x log(NOX)+b.
(ii) For model year 2014-2016 engines certified to NOX
FELs above 0.20 g/hp-hr, correct the baseline CO2 emissions
to the actual NOX FELs of the 2014-2016 engines.
(iii) Calculate separate adjustments for emissions over the ramped-
modal cycle and the transient cycle.
(2) The baseline configuration tested for certification must have
the same engine displacement as the engines in the engine family being
certified to the alternate standards, and its rated power must be within
five percent of the highest rated power in the engine family being
certified to the alternate standards.
(3) The model year 2011 U.S.-directed production volume of the
configuration tested must be at least one percent of the total 2011
U.S.-directed production volume for the engine family.
(4) The tested configuration must have cycle-weighted BSFC
equivalent to or better than all other configurations in the engine
family.
[[Page 134]]
(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 CO2 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 CO2 emission rates to be equivalent to an engine
meeting the average NOX FEL of new engines (assuming engines
certified to the 0.20 g/hp-hr NOX standard have a
NOX FEL equal to 0.20 g/hp-hr), as described in paragraph
(b)(1) of this section.
(d) Include the following statement on the emission control
information label: ``THIS ENGINE WAS CERTIFIED TO AN ALTERNATE
CO2 STANDARD UNDER Sec. 1036.620.''
(e) You may not bank CO2 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 Sec. 1036.745 apply
for deficits generated with respect to the standards of this section.
(f) You need our approval before you may certify engines under this
section, especially with respect to the numerical value of the alternate
standards. We will not approve your request if we determine that you
manipulated your engine families or test engine configurations to
certify to less stringent standards, or that you otherwise have not
acted in good faith. You must keep and provide to us any information we
need to determine that your engine families meet the requirements of
this section. Keep these records for at least five years after you stop
producing engines certified under this section.
Sec. 1036.625 In-use compliance with family emission limits (FELs).
Section 1036.225 describes how to change the FEL for an engine
family during the model year. This section, which describes how you may
ask us to increase an engine family's FEL after the end of the model
year, is intended to address circumstances in which it is in the public
interest to apply a higher in-use FEL based on forfeiting an appropriate
number of emission credits. For example, this may be appropriate where
we determine that recalling vehicles would not significantly reduce in-
use emissions. We will generally not allow this option where we
determine the credits being forfeited would likely have expired.
(a) You may ask us to increase an engine family's FEL after the end
of the model year if you believe some of your in-use engines exceed the
CO2 FEL that applied during the model year (or the
CO2 emission standard if the family did not generate or use
emission credits). We may consider any available information in making
our decision to approve or deny your request.
(b) If we approve your request under this section, you must apply
emission credits to cover the increased FEL for all affected engines.
Apply the emission credits as part of your credit demonstration for the
current production year. Include the appropriate calculations in your
final report under Sec. 1036.730.
(c) Submit your request to the Designated Compliance Officer.
Include the following in your request:
(1) Identify the names of each engine family that is the subject of
your request. Include separate family names for different model years.
(2) Describe why your request does not apply for similar engine
models or additional model years, as applicable.
(3) Identify the FEL(s) that applied during the model year and
recommend a replacement FEL for in-use engines; include a supporting
rationale to describe how you determined the recommended replacement
FEL.
(4) Describe whether the needed emission credits will come from
averaging, banking, or trading.
(d) If we approve your request, we will identify the replacement
FEL. The
[[Page 135]]
value we select will reflect our best judgment to accurately reflect the
actual in-use performance of your engines, consistent with the testing
provisions specified in this part. We may apply the higher FELs to other
engine families from the same or different model years to the extent
they used equivalent emission controls. We may include any appropriate
conditions with our approval.
(e) If we order a recall for an engine family under 40 CFR 1068.505,
we will no longer approve a replacement FEL under this section for any
of your engines from that engine family, or from any other engine family
that relies on equivalent emission controls.
Sec. 1036.630 Certification of engine GHG emissions for powertrain
testing.
For engines included in powertrain families under 40 CFR part 1037,
you may choose to include the corresponding engine emissions in your
engine families under this part 1036 instead of (or in addition to) the
otherwise applicable engine fuel maps.
(a) If you choose to certify powertrain fuel maps in an engine
family, the declared powertrain emission levels become standards that
apply for selective enforcement audits and in-use testing. We may
require that you provide to us the engine test cycle (not normalized)
corresponding to a given powertrain for each of the specified duty
cycles.
(b) If you choose to certify only fuel map emissions for an engine
family and to not certify emissions over powertrain test cycles under 40
CFR 1037.550, we will not presume you are responsible for emissions over
the powertrain cycles. However, where we determine that you are
responsible in whole or in part for the emission exceedance in such
cases, we may require that you participate in any recall of the affected
vehicles. Note that this provision to limit your responsibility does not
apply if you also hold the certificate of conformity for the vehicle.
(c) If you split an engine family into subfamilies based on
different fuel-mapping procedures as described in Sec. 1036.230(e), the
fuel-mapping procedures you identify for certifying each subfamily also
apply for selective enforcement audits and in-use testing.
Subpart H_Averaging, Banking, and Trading for Certification
Sec. 1036.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart and in subpart B
of this part to show compliance with the standards of Sec. 1036.108.
Participation in this program is voluntary. (Note: As described in
subpart B of this part, you must assign an FCL to all engine families,
whether or not they participate in the ABT provisions of this subpart.)
(b) The definitions of subpart I of this part apply to this subpart
in addition to the following definitions:
(1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
(2) Averaging set means a set of engines in which emission credits
may be exchanged. See Sec. 1036.740.
(3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a
result of a trade.
(5) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
(6) Seller means the entity that provides emission credits during a
trade.
(7) Standard means the emission standard that applies under subpart
B of this part for engines not participating in the ABT program of this
subpart.
(8) Trade means to exchange emission credits, either as a buyer or
seller.
(c) Emission credits may be exchanged only within an averaging set,
except as specified in Sec. 1036.740.
(d) You may not use emission credits generated under this subpart to
offset any emissions that exceed an FCL or standard. This applies for
all testing, including certification testing, in-use testing, selective
enforcement audits, and other production-line testing. However, if
emissions from an engine exceed an FCL or standard (for example,
[[Page 136]]
during a selective enforcement audit), you may use emission credits to
recertify the engine family with a higher FCL that applies only to
future production.
(e) You may use either of the following approaches to retire or
forego emission credits:
(1) You may retire emission credits generated from any number of
your engines. This may be considered donating emission credits to the
environment. Identify any such credits in the reports described in Sec.
1036.730. Engines must comply with the applicable FELs even if you
donate or sell the corresponding emission credits under this paragraph
(h). Those credits may no longer be used by anyone to demonstrate
compliance with any EPA emission standards.
(2) You may certify an engine family using an FEL (FCL for
CO2) below the emission standard as described in this part
and choose not to generate emission credits for that family. If you do
this, you do not need to calculate emission credits for those engine
families and you do not need to submit or keep the associated records
described in this subpart for that family.
(f) Emission credits may be used in the model year they are
generated. Surplus emission credits may be banked for future model
years. Surplus emission credits may sometimes be used for past model
years, as described in Sec. 1036.745.
(g) You may increase or decrease an FCL during the model year by
amending your application for certification under Sec. 1036.225. The
new FCL may apply only to engines you have not already introduced into
commerce.
(h) See Sec. 1036.740 for special credit provisions that apply for
greenhouse gas credits generated under 40 CFR 86.1819-14(k)(7) or Sec.
1036.615 or 40 CFR 1037.615.
(i) Unless the regulations explicitly allow it, you may not
calculate credits more than once for any emission reduction. For
example, if you generate CO2 emission credits for a hybrid
engine under this part for a given vehicle, no one may generate
CO2 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.
(j) Credits you generate with compression-ignition engines in 2020
and earlier model years may be used in model year 2021 and later only if
the credit-generating engines were certified to the tractor engine
standards in Sec. 1036.108 and credits were calculated relative to the
tractor engine standards. You may otherwise use emission credits
generated in one model year without adjustment for certifying vehicles
in a later model year, even if emission standards are different.
(k) Engine families you certify with a nonconformance penalty under
40 CFR part 86, subpart L, may not generate emission credits.
Sec. 1036.705 Generating and calculating emission credits.
(a) The provisions of this section apply separately for calculating
emission credits for each pollutant.
(b) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard
based on the engine family's FCL for greenhouse gases. If your engine
family is certified to both the vocational and tractor engine standards,
calculate credits separately for the vocational engines and the tractor
engines (as specified in paragraph (b)(3) of this section). Calculate
positive emission credits for a family that has an FCL below the
standard. Calculate negative emission credits for a family that has an
FCL above the standard. Sum your positive and negative credits for the
model year before rounding. Round the sum of emission credits to the
nearest megagram (Mg), using consistent units throughout the following
equations:
(1) For vocational engines:
Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume)
[middot] (UL) [middot] (10-6)
Where:
Std = the emission standard, in g/hp-hr, that applies under subpart B of
this part for engines not participating in the ABT program of
this subpart (the ``otherwise applicable standard'').
FCL = the Family Certification Level for the engine family, in g/hp-hr,
measured over the transient duty cycle, rounded to the
[[Page 137]]
same number of decimal places as the emission standard.
CF = a transient cycle conversion factor (hp-hr/mile), calculated by
dividing the total (integrated) horsepower-hour over the duty
cycle (average of vocational engine configurations weighted by
their production volumes) by 6.3 miles for engines subject to
spark-ignition standards and 6.5 miles for engines subject to
compression-ignition. This represents the average work
performed by vocational engines in the family over the mileage
represented by operation over the duty cycle.
Volume = the number of vocational engines eligible to participate in the
averaging, banking, and trading program within the given
engine family during the model year, as described in paragraph
(c) of this section.
UL = the useful life for the given engine family, in miles.
(2) For tractor engines:
Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume)
[middot] (UL) [middot] (10-6)
Where:
Std = the emission standard, in g/hp-hr, that applies under subpart B of
this part for engines not participating in the ABT program of
this subpart (the ``otherwise applicable standard'').
FCL = the Family Certification Level for the engine family, in g/hp-hr,
measured over the ramped-modal cycle rounded to the same
number of decimal places as the emission standard.
CF = a transient cycle conversion factor (hp-hr/mile), calculated by
dividing the total (integrated) horsepower-hour over the duty
cycle (average of tractor-engine configurations weighted by
their production volumes) by 6.3 miles for engines subject to
spark-ignition standards and 6.5 miles for engines subject to
compression-ignition standards. This represents the average
work performed by tractor engines in the family over the
mileage represented by operation over the duty cycle. Note
that this calculation requires you to use the transient cycle
conversion factor even for engines certified to standards
based on the ramped-modal cycle.
Volume = the number of tractor engines eligible to participate in the
averaging, banking, and trading program within the given
engine family during the model year, as described in paragraph
(c) of this section.
UL = the useful life for the given engine family, in miles.
(3) For engine families certified to both the vocational and tractor
engine standards, we may allow you to use statistical methods to
estimate the total production volumes where a small fraction of the
engines cannot be tracked precisely.
(4) You may not generate emission credits for tractor engines (i.e.,
engines not certified to the transient cycle for CO2)
installed in vocational vehicles (including vocational tractors
certified under 40 CFR 1037.630 or exempted under 40 CFR 1037.631). We
will waive this provision where you demonstrate that less than five
percent of the engines in your tractor family were installed in
vocational vehicles. For example, if you know that 96 percent of your
tractor engines were installed in non-vocational tractors, but cannot
determine the vehicle type for the remaining four percent, you may
generate credits for all the engines in the family.
(5) You may generate CO2 emission credits from a model
year 2021 or later medium heavy-duty engine family subject to spark-
ignition standards for exchanging with other engine families only if the
engines in the family are gasoline-fueled. You may generate
CO2 credits from these engine families only for the purpose
of offsetting CH4 and/or N2O emissions within the
same engine family as described in paragraph (d) of this section.
(c) As described in Sec. 1036.730, compliance with the requirements
of this subpart is determined at the end of the model year based on
actual U.S.-directed production volumes. Keep appropriate records to
document these production volumes. Do not include any of the following
engines to calculate emission credits:
(1) Engines that you do not certify to the CO2 standards
of this part because they are permanently exempted under subpart G of
this part or under 40 CFR part 1068.
(2) Exported engines.
(3) Engines not subject to the requirements of this part, such as
those excluded under Sec. 1036.5. For example, do not include engines
used in vehicles certified to the greenhouse gas standards of 40 CFR
86.1819.
(4) Any other engines if we indicate elsewhere in this part 1036
that they are not to be included in the calculations of this subpart.
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(d) You may use CO2 emission credits to show compliance
with CH4 and/or N2O FELs instead of the otherwise
applicable emission standards. To do this, calculate the CH4
and/or N2O emission credits needed (negative credits) using
the equation in paragraph (b) of this section, using the FEL(s) you
specify for your engines during certification instead of the FCL. You
must use 34 Mg of positive CO2 credits to offset 1 Mg of
negative CH4 credits for model year 2021 and later engines,
and you must use 25 Mg of positive CO2 credits to offset 1 Mg
of negative CH4 credits for earlier engines. You must use 298
Mg of positive CO2 credits to offset 1 Mg of negative
N2O credits.
Sec. 1036.710 Averaging.
(a) Averaging is the exchange of emission credits among your engine
families. You may average emission credits only within the same
averaging set, except as specified in Sec. 1036.740.
(b) You may certify one or more engine families to an FCL above the
applicable standard, subject to any applicable FEL caps and other the
provisions in subpart B of this part, if you show in your application
for certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero, or
that a negative balance is allowed under Sec. 1036.745.
(c) If you certify an engine family to an FCL that exceeds the
otherwise applicable standard, you must obtain enough emission credits
to offset the engine family's deficit by the due date for the final
report required in Sec. 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 Sec. 1036.745), from emission credits you have banked, or
from emission credits you obtain through trading.
Sec. 1036.715 Banking.
(a) Banking is the retention of surplus emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1036.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
(d) Banked credits retain the designation of the averaging set in
which they were generated.
Sec. 1036.720 Trading.
(a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions. Traded emission credits remain
subject to the averaging-set restrictions based on the averaging set in
which they were generated.
(b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may revoke
these emission credits based on our review of your records or reports or
those of the company with which you traded emission credits. You may
trade banked credits within an averaging set to any certifying
manufacturer.
(c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec. 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 Sec. 1036.745.
Sec. 1036.725 What must I include in my application for certification?
(a) You must declare in your application for certification your
intent to use the provisions of this subpart for each engine family that
will be certified using the ABT program. You must also declare the FELs/
FCL you select for the engine family for each pollutant for which you
are using the ABT program. Your FELs must comply with the specifications
of subpart B of this
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part, including the FEL caps. FELs/FCLs must be expressed to the same
number of decimal places as the applicable standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year; or a statement
that you will have a negative balance of emission credits for one or
more averaging sets, but that it is allowed under Sec. 1036.745.
(2) Detailed calculations of projected emission credits (positive or
negative) based on projected U.S.-directed production volumes. We may
require you to include similar calculations from your other engine
families to project your net credit balances for the model year. If you
project negative emission credits for a family, state the source of
positive emission credits you expect to use to offset the negative
emission credits.
Sec. 1036.730 ABT reports.
(a) If any of your engine families are certified using the ABT
provisions of this subpart, you must send an end-of-year report by March
31 following the end of the model year and a final report by September
30 following the end of the model year. We may waive the requirement to
send an end-of-year report.
(b) Your end-of-year and final reports must include the following
information for each engine family participating in the ABT program:
(1) Engine-family designation and averaging set.
(2) The emission standards that would otherwise apply to the engine
family.
(3) The FCL for each pollutant. If you change the FCL after the
start of production, identify the date that you started using the new
FCL and/or give the engine identification number for the first engine
covered by the new FCL. In this case, identify each applicable FCL and
calculate the positive or negative emission credits as specified in
Sec. 1036.225.
(4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FCL during the model year, identify
the actual production volume associated with each FCL.
(5) The transient cycle conversion factor for each engine
configuration as described in Sec. 1036.705.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
engine family. Identify any emission credits that you traded, as
described in paragraph (d)(1) of this section.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
participating engine families in each averaging set in the applicable
model year is not negative, except as allowed under Sec. 1036.745. Your
credit tracking must account for the limitation on credit life under
Sec. 1036.740(d).
(2) State whether you will reserve any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
(1) As the seller, you must include the following information in
your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The averaging set corresponding to the engine families that
generated emission credits for the trade, including the number of
emission credits from each averaging set.
(2) As the buyer, you must include the following information in your
report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply for each averaging set.
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format,
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send us a written request with justification for a waiver.
(f) Correct errors in your end-of-year or final report as follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by the
time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that are
determined more than 270 days after the end of the model year. If you
report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
(3) If you or we determine any time that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
Sec. 1036.735 Recordkeeping.
(a) You must organize and maintain your records as described in this
section. We may review your records at any time.
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits. Store these records in any format and on
any media, as long as you can promptly send us organized, written
records in English if we ask for them. You must keep these records
readily available. We may review them at any time.
(c) Keep a copy of the reports we require in Sec. Sec. 1036.725 and
1036.730.
(d) Keep records of the engine identification number (usually the
serial number) for each engine you produce that generates or uses
emission credits under the ABT program. You may identify these numbers
as a range. If you change the FEL after the start of production,
identify the date you started using each FCL and the range of engine
identification numbers associated with each FCL. You must also identify
the purchaser and destination for each engine you produce to the extent
this information is available.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with the
Clean Air Act.
Sec. 1036.740 Restrictions for using emission credits.
The following restrictions apply for using emission credits:
(a) Averaging sets. Except as specified in paragraph (c) of this
section, emission credits may be exchanged only within the following
averaging sets:
(1) Engines subject to spark-ignition standards.
(2) Light heavy-duty engines subject to compression-ignition
standards.
(3) Medium heavy-duty engines subject to compression-ignition
standards.
(4) Heavy heavy-duty engines.
(b) Applying credits to prior year deficits. Where your credit
balance for the previous year is negative, you may apply credits to that
credit deficit only after meeting your credit obligations for the
current year.
(c) Credits from hybrid engines and other advanced technologies.
Credits you generate under Sec. 1036.615 may be used for any of the
averaging sets identified in paragraph (a) of this section; you may also
use those credits to demonstrate compliance with the CO2
emission standards in 40 CFR 86.1819 and 40 CFR part 1037. Similarly,
you may use Phase 1 advanced-technology credits generated under 40 CFR
86.1819-14(k)(7) or 40 CFR 1037.615 to demonstrate compliance with the
CO2 standards in this part. In the case of engines subject to
spark-ignition standards and compression-ignition light heavy-duty
engines, you may not use more than 60,000 Mg of credits from other
averaging sets in any model year.
(1) The maximum amount of CO2 credits you may bring into
the following service class groups is 60,000 Mg per model year:
(i) Engines subject to spark-ignition standards, light heavy-duty
compression-ignition engines, and light heavy-duty vehicles. This group
comprises the averaging sets listed in paragraphs (a)(1) and (2) of this
section and the
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averaging set listed in 40 CFR 1037.740(a)(1).
(ii) Medium heavy-duty engines subject to compression-ignition
standards and medium heavy-duty vehicles. This group comprises the
averaging sets listed in paragraph (a)(3) of this section and 40 CFR
1037.740(a)(2).
(iii) Heavy heavy-duty engines subject to compression-ignition
standards and heavy heavy-duty vehicles. This group comprises the
averaging sets listed in paragraph (a)(4) of this section and 40 CFR
1037.740(a)(3).
(2) Paragraph (c)(1) of this section does not limit the advanced-
technology credits that can be used within a service class group if they
were generated in that same service class group.
(d) Credit life. Credits may be used only for five model years after
the year in which they are generated. For example, credits you generate
in model year 2018 may be used to demonstrate compliance with emission
standards only through model year 2023.
(e) Other restrictions. Other sections of this part specify
additional restrictions for using emission credits under certain special
provisions.
Sec. 1036.745 End-of-year CO2 credit deficits.
Except as allowed by this section, we may void the certificate of
any engine family certified to an FCL above the applicable standard for
which you do not have sufficient credits by the deadline for submitting
the final report.
(a) Your certificate for an engine family for which you do not have
sufficient CO2 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
least 500 Mg in that same averaging set by the end of model year 2018.
(b) You may not bank or trade away CO2 credits in the
averaging set in any model year in which you have a deficit.
(c) You may apply only surplus credits to your deficit. You may not
apply credits to a deficit from an earlier model year if they were
generated in a model year for which any of your engine families for that
averaging set had an end-of-year credit deficit.
(d) You must notify us in writing how you plan to eliminate the
credit deficit within the specified time frame. If we determine that
your plan is unreasonable or unrealistic, we may deny an application for
certification for a vehicle family if its FEL would increase your credit
deficit. We may determine that your plan is unreasonable or unrealistic
based on a consideration of past and projected use of specific
technologies, the historical sales mix of your vehicle models, your
commitment to limit production of higher-emission vehicles, and expected
access to traded credits. We may also consider your plan unreasonable if
your credit deficit increases from one model year to the next. We may
require that you send us interim reports describing your progress toward
resolving your credit deficit over the course of a model year.
(e) If you do not remedy the deficit with surplus credits within
three model years, we may void your certificate for that engine family.
We may void the certificate based on your end-of-year report. Note that
voiding a certificate applies ab initio. Where the net deficit is less
than the total amount of negative credits originally generated by the
family, we will void the certificate only with respect to the number of
engines needed to reach the amount of the net deficit. For example, if
the original engine family generated 500 Mg of negative credits, and the
manufacturer's net deficit after three years was 250 Mg, we would void
the certificate with respect to half of the engines in the family.
(f) For purposes of calculating the statute of limitations, the
following actions are all considered to occur at the expiration of the
deadline for offsetting a deficit as specified in paragraph (a) of this
section:
(1) Failing to meet the requirements of paragraph (a) of this
section.
(2) Failing to satisfy the conditions upon which a certificate was
issued relative to offsetting a deficit.
(3) Selling, offering for sale, introducing or delivering into U.S.
commerce, or importing vehicles that are found not to be covered by a
certificate as a result of failing to offset a deficit.
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Sec. 1036.750 What can happen if I do not comply with the provisions
of this subpart?
(a) For each engine family participating in the ABT program, the
certificate of conformity is conditioned upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
an engine family if you fail to comply with any provisions of this
subpart.
(b) You may certify your engine family to an FCL above an applicable
standard based on a projection that you will have enough emission
credits to offset the deficit for the engine family. See Sec. 1036.745
for provisions specifying what happens if you cannot show in your final
report that you have enough actual emission credits to offset a deficit
for any pollutant in an engine family.
(c) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information we
request. Note that failing to keep records, send reports, or give us
information we request is also a violation of 42 U.S.C. 7522(a)(2).
(d) You may ask for a hearing if we void your certificate under this
section (see Sec. 1036.820).
Sec. 1036.755 Information provided to the Department of Transportation.
After receipt of each manufacturer's final report as specified in
Sec. 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 CO2 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.
Subpart I_Definitions and Other Reference Information
Sec. 1036.801 Definitions.
The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Act gives to them. The definitions follow:
Act means the Clean Air Act, as amended, 42 U.S.C. 7401--7671q.
Adjustable parameter has the meaning given in 40 CFR part 86.
Advanced technology means technology certified under 40 CFR 86.1819-
14(k)(7), Sec. 1036.615, or 40 CFR 1037.615.
Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted downstream
of the exhaust valve (or exhaust port) whose design function is to
decrease emissions in the engine exhaust before it is exhausted to the
environment. Exhaust gas recirculation (EGR) and turbochargers are not
aftertreatment.
Aircraft means any vehicle capable of sustained air travel more than
100 feet above the ground.
Alcohol-fueled engine mean an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by volume.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine rpm, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
Averaging set has the meaning given in Sec. 1036.740.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1036.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that
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complies with the emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from the applicable
transient and/or steady-state testing, rounded to the same number of
decimal places as the applicable standard. Note that you may have two
certified emission levels for CO2 if you certify a family for
both vocational and tractor use.
Complete vehicle means a vehicle meeting the definition of complete
vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For
example, where a vehicle manufacturer sells an incomplete vehicle to a
secondary vehicle manufacturer, the vehicle is not a complete vehicle
under this part, even after its final assembly.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine. Note
that Sec. 1036.1 also deems gas turbine engines and other engines to be
compression-ignition engines.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft and
other related internal parts.
Criteria pollutants means emissions of NOX, HC, PM, and
CO. Note that these pollutants are also sometimes described collectively
as ``non-greenhouse gas pollutants'', although they do not necessarily
have negligible global warming potentials.
Designated Compliance Officer means one of the following:
(1) For engines subject to compression-ignition standards,
Designated Compliance Officer means Director, Diesel Engine Compliance
Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann
Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.
(2) For engines subject to spark-ignition standards, Designated
Compliance Officer means Director, Gasoline Engine Compliance Center,
U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor,
MI 48105; [email protected]; epa.gov/otaq/verify.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine. Note that where no
deterioration factor applies, references in this part to the
deteriorated emission level mean the official emission result.
Deterioration factor means the relationship between emissions at the
end of useful life (or point of highest emissions if it occurs before
the end of useful life) and emissions at the low-hour/low-mileage test
point, expressed in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of emissions
at the end of useful life (or point of highest emissions) to emissions
at the low-hour test point.
(2) For additive deterioration factors, the difference between
emissions at the end of useful life (or point of highest emissions) and
emissions at the low-hour test point.
Diesel exhaust fluid (DEF) means a liquid reducing agent (other than
the engine fuel) used in conjunction with selective catalytic reduction
to reduce NOX emissions. Diesel exhaust fluid is generally
understood to be an aqueous solution of urea conforming to the
specifications of ISO 22241.
Dual-fuel means relating to an engine designed for operation on two
different types of fuel but not on a continuous mixture of those fuels
(see Sec. 1036.601(d)). For purposes of this part, such an engine
remains a dual-fuel engine even if it is designed for operation on three
or more different fuels.
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine configuration means a unique combination of engine hardware
and calibration (related to the emission
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standards) within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to compliance with emission standards.
Engine family has the meaning given in Sec. 1036.230.
Excluded means relating to engines that are not subject to some or
all of the requirements of this part as follows:
(1) An engine that has been determined not to be a heavy-duty engine
is excluded from this part.
(2) Certain heavy-duty engines are excluded from the requirements of
this part under Sec. 1036.5.
(3) Specific regulatory provisions of this part may exclude a heavy-
duty engine generally subject to this part from one or more specific
standards or requirements of this part.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the engine to be mixed with incoming air before or
during combustion. The use of valve timing to increase the amount of
residual exhaust gas in the combustion chamber(s) that is mixed with
incoming air before or during combustion is not considered exhaust gas
recirculation for the purposes of this part.
Family certification level (FCL) means a CO2 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.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard (other than CO2 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 CO2. The
CO2 FEL is equal to the CO2 FCL multiplied by 1.03
and rounded to the same number of decimal places as the standard (e.g.,
the nearest whole g/hp-hr for the 2016 CO2 standards).
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different types of fuels (see Sec.
1036.601(d)).
Fuel type means a general category of fuels such as diesel fuel,
gasoline, or natural gas. There can be multiple grades within a single
fuel type, such as premium gasoline, regular gasoline, or gasoline with
10 percent ethanol.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate good
engineering judgment.
Greenhouse gas means one or more compounds regulated under this part
based primarily on their impact on the climate. This generally includes
CO2, CH4, and N2O.
Greenhouse gas Emissions Model (GEM) means the GEM simulation tool
described in 40 CFR 1037.520. Note that an updated version of GEM
applies starting in model year 2021.
Gross vehicle weight rating (GVWR) means the value specified by the
vehicle manufacturer as the maximum design loaded weight of a single
vehicle, consistent with good engineering judgment.
Heavy-duty engine means any engine which the engine manufacturer
could reasonably expect to be used for motive power in a heavy-duty
vehicle. For purposes of this definition in this part, the term
``engine'' includes internal combustion engines and other devices that
convert chemical fuel into motive power. For example, a fuel cell or a
gas turbine used in a heavy-duty vehicle is a heavy-duty engine.
Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR
or that has a vehicle curb weight above 6,000 pounds or that has a basic
vehicle frontal area greater than 45 square feet. Curb weight and Basic
vehicle frontal area have the meaning given in 40 CFR 86.1803.
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Hybrid means relating to an engine or powertrain that includes
energy storage features other than a conventional battery system or
conventional flywheel. Supplemental electrical batteries and hydraulic
accumulators are examples of hybrid energy storage systems. Note that
certain provisions in this part treat hybrid engines and powertrains
intended for vehicles that include regenerative braking different than
those intended for vehicles that do not include regenerative braking.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type. For alcohol-fueled engines, HC
means nonmethane hydrocarbon equivalent (NMHCE). For all other engines,
HC means nonmethane hydrocarbon (NMHC).
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular engine from other similar engines.
Incomplete vehicle means a vehicle meeting the definition of
incomplete vehicle in 40 CFR 1037.801 when it is first sold (or
otherwise delivered to another entity) as a vehicle.
Innovative technology means technology certified under Sec.
1036.610 (also described as ``off-cycle technology'').
Liquefied petroleum gas (LPG) means a liquid hydrocarbon fuel that
is stored under pressure and is composed primarily of nonmethane
compounds that are gases at atmospheric conditions. Note that, although
this commercial term includes the word ``petroleum'', LPG is not
considered to be a petroleum fuel under the definitions of this section.
Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 125 hours of operation.
Manufacture means the physical and engineering process of designing,
constructing, and/or assembling a heavy-duty engine or a heavy-duty
vehicle.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures or assembles an
engine, vehicle, or piece of equipment for sale in the United States or
otherwise introduces a new engine into commerce in the United States.
This includes importers who import engines or vehicles for resale.
Medium-duty passenger vehicle has the meaning given in 40 CFR
86.1803.
Model year means the manufacturer's annual new model production
period, except as restricted under this definition. It must include
January 1 of the calendar year for which the model year is named, may
not begin before January 2 of the previous calendar year, and it must
end by December 31 of the named calendar year. Manufacturers may not
adjust model years to circumvent or delay compliance with emission
standards or to avoid the obligation to certify annually.
Motor vehicle has the meaning given in 40 CFR 85.1703.
Natural gas means a fuel whose primary constituent is methane.
New motor vehicle engine has the meaning given in the Act. This
generally means a motor vehicle engine meeting the criteria of either
paragraph (1), (2), or (3) of this definition.
(1) A motor vehicle engine for which the ultimate purchaser has
never received the equitable or legal title is a new motor vehicle
engine. This kind of engine might commonly be thought of as ``brand
new'' although a new motor vehicle engine may include previously used
parts. Under this definition, the engine is new from the time it is
produced until the ultimate purchaser receives the title or places it
into service, whichever comes first.
(2) An imported motor vehicle engine is a new motor vehicle engine
if it was originally built on or after January 1, 1970.
(3) Any motor vehicle engine installed in a new motor vehicle.
Noncompliant engine means an engine that was originally covered by a
certificate of conformity, but is not in the certified configuration or
otherwise does not comply with the conditions of the certificate.
Nonconforming engine means an engine not covered by a certificate of
conformity that would otherwise be subject to emission standards.
[[Page 146]]
Nonmethane hydrocarbon (NMHC) means the sum of all hydrocarbon
species except methane, as measured according to 40 CFR part 1065.
Nonmethane hydrocarbon equivalent (NMHCE) has the meaning given in
40 CFR 1065.1001.
Off-cycle technology means technology certified under Sec. 1036.610
(also described as ``innovative technology'').
Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before the application of any
deterioration factor, but after the applicability of any required
regeneration or other adjustment factors.
Owners manual means a document or collection of documents prepared
by the engine or vehicle manufacturer for the owner or operator to
describe appropriate engine maintenance, applicable warranties, and any
other information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
Percent has the meaning given in 40 CFR 1065.1001. Note that this
means percentages identified in this part are assumed to be infinitely
precise without regard to the number of significant figures. For
example, one percent of 1,493 is 14.93.
Placed into service means put into initial use for its intended
purpose, excluding incidental use by the manufacturer or a dealer.
Preliminary approval means approval granted by an authorized EPA
representative prior to submission of an application for certification,
consistent with the provisions of Sec. 1036.210.
Primary intended service class has the meaning given in Sec.
1036.140.
Rechargeable Energy Storage System (RESS) means the component(s) of
a hybrid engine or vehicle that store recovered energy for later use,
such as the battery system in an electric hybrid vehicle.
Relating to as used in this section means relating to something in a
specific, direct manner. This expression is used in this section only to
define terms as adjectives and not to broaden the meaning of the terms.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems periodically
to keep a part or system from failing, malfunctioning, or wearing
prematurely. It also may mean actions you expect are necessary to
correct an overt indication of failure or malfunction for which periodic
maintenance is not appropriate.
Small manufacturer means a manufacturer meeting the criteria
specified in 13 CFR 121.201. The employee and revenue limits apply to
the total number of employees and total revenue together for affiliated
companies. Note that manufacturers with low production volumes may or
may not be ``small manufacturers''.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Steady-state has the meaning given in 40 CFR 1065.1001.
Suspend has the meaning given in 40 CFR 1068.30.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Tractor means a vehicle meeting the definition of ``tractor'' in 40
CFR 1037.801, but not classified as a ``vocational tractor'' under 40
CFR 1037.630, or relating to such a vehicle.
Tractor engine means an engine certified for use in tractors. Where
an engine family is certified for use in both tractors and vocational
vehicles, ``tractor engine'' means an engine that the engine
manufacturer reasonably
[[Page 147]]
believes will be (or has been) installed in a tractor. Note that the
provisions of this part may require a manufacturer to document how it
determines that an engine is a tractor engine.
Ultimate purchaser means, with respect to any new engine or vehicle,
the first person who in good faith purchases such new engine or vehicle
for purposes other than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engines, subject
to the requirements of this part, produced by a manufacturer for which
the manufacturer has a reasonable assurance that sale was or will be
made to ultimate purchasers in the United States. This does not include
engines certified to state emission standards that are different than
the emission standards in this part.
Vehicle has the meaning given in 40 CFR 1037.801.
Vocational engine means an engine certified for use in vocational
vehicles. Where an engine family is certified for use in both tractors
and vocational vehicles, ``vocational engine'' means an engine that the
engine manufacturer reasonably believes will be (or has been) installed
in a vocational vehicle. Note that the provisions of this part may
require a manufacturer to document how it determines that an engine is a
vocational engine.
Vocational vehicle means a vehicle meeting the definition of
``vocational'' vehicle in 40 CFR 1037.801.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
Sec. 1036.805 Symbols, abbreviations, and acronyms.
The procedures in this part generally follow either the
International System of Units (SI) or the United States customary units,
as detailed in NIST Special Publication 811 (incorporated by reference
in Sec. 1036.810). See 40 CFR 1065.20 for specific provisions related
to these conventions. This section summarizes the way we use symbols,
units of measure, and other abbreviations.
(a) Symbols for chemical species. This part uses the following
symbols for chemical species and exhaust constituents:
------------------------------------------------------------------------
Symbol Species
------------------------------------------------------------------------
C......................................... carbon.
CH4....................................... methane.
CH4N2O.................................... urea.
CO........................................ carbon monoxide.
CO2....................................... carbon dioxide.
H2O....................................... water.
HC........................................ hydrocarbon.
NMHC...................................... nonmethane hydrocarbon.
NMHCE..................................... nonmethane hydrocarbon
equivalent.
NO........................................ nitric oxide.
NO2....................................... nitrogen dioxide.
NOX....................................... oxides of nitrogen.
N2O....................................... nitrous oxide.
PM........................................ particulate matter.
------------------------------------------------------------------------
(b) Symbols for quantities. This part uses the following symbols and
units of measure for various quantities:
----------------------------------------------------------------------------------------------------------------
Unit in terms of SI
Symbol Quantity Unit Unit symbol base units
----------------------------------------------------------------------------------------------------------------
a............................. atomic hydrogen- mole per mole.... mol/mol........... 1.
to-carbon ratio.
b............................. atomic oxygen-to- mole per mole.... mol/mol........... 1.
carbon ratio.
CdA........................... drag area........ meter squared.... m\2\.............. m\2\.
Crr........................... coefficient of kilogram per kg/tonne.......... 10-\3\.
rolling metric ton.
resistance.
D............................. distance......... miles or meters.. mi or m........... m.
e............................. mass weighted grams/ton-mile... g/ton-mi.......... g/kg-km.
emission result.
Eff........................... efficiency.
Em............................ mass-specific net megajoules/ MJ/kg............. m\2\[middot] s-\2\.
energy content. kilogram.
fn............................ angular speed revolutions per r/min............. [Pi] [middot]
(shaft). minute. 30[middot] s-\1\.
i............................. indexing
variable.
ka............................ drive axle ratio.
ktopgear...................... highest available
transmission
gear.
m............................. mass............. pound mass or lbm or kg......... kg.
kilogram.
M............................. molar mass....... gram per mole.... g/mol............. 10-\3\[middot]
kg[middot] mol-\1\.
M............................. vehicle mass..... kilogram......... kg................ kg.
[[Page 148]]
Mrotating..................... inertial mass of kilogram......... kg................ kg.
rotating
components.
N............................. total number in a
series.
P............................. power............ kilowatt......... kW................ 10\3\[middot]
m\2\[middot]
kg[middot] s-\3\.
T............................. torque (moment of newton meter..... N[middot] m....... m\2\[middot]
force). kg[middot] s-\2\.
t............................. time............. second........... s................. s.
Dt............................ time interval, second........... s................. s.
period, 1/
frequency.
UF............................ utility factor.
v............................. speed............ miles per hour or mi/hr or m/s...... m[middot] s-\1\.
meters per
second.
W............................. work............. kilowatt-hour.... kW[middot] hr..... 3.6[middot]
m\2\[middot]
kg[middot] s-\1\.
wC............................ carbon mass gram/gram........ g/g............... 1.
fraction.
wCH4N2O....................... urea mass gram/gram........ g/g............... 1.
fraction.
x............................. amount of mole per mole.... mol/mol........... 1.
substance mole
fraction.
xb............................ brake energy
fraction.
xbl........................... brake energy
limit.
----------------------------------------------------------------------------------------------------------------
(c) Superscripts. This part uses the following superscripts to
define a quantity:
------------------------------------------------------------------------
Superscript Quantity
------------------------------------------------------------------------
overbar (such as y)....................... arithmetic mean.
overdot overdot (such as y)............... quantity per unit time.
------------------------------------------------------------------------
(d) Subscripts. This part uses the following subscripts to define a
quantity:
------------------------------------------------------------------------
Subscript Quantity
------------------------------------------------------------------------
65..................................... 65 miles per hour.
A...................................... A speed.
acc.................................... accessory.
app.................................... approved.
axle................................... axle.
B...................................... B speed.
C...................................... C speed.
Ccombdry............................... carbon from fuel per mole of
dry exhaust.
CD..................................... charge-depleting.
CO2DEF................................. CO2 resulting from diesel
exhaust fluid decomposition.
comb................................... combustion.
cor.................................... corrected.
CS..................................... charge-sustaining.
cycle.................................. test cycle.
DEF.................................... diesel exhaust fluid.
engine................................. engine.
exh.................................... raw exhaust.
fuel................................... fuel.
H2Oexhaustdry.......................... H2O in exhaust per mole of
exhaust.
hi..................................... high.
i...................................... an individual of a series.
idle................................... idle.
m...................................... mass.
max.................................... maximum.
mapped................................. mapped.
meas................................... measured quantity.
neg.................................... negative.
pos.................................... positive.
record................................. record.
ref.................................... reference quantity.
speed.................................. speed.
stall.................................. stall.
test................................... test.
tire................................... tire.
transient.............................. transient.
vehicle................................ vehicle.
------------------------------------------------------------------------
(e) Other acronyms and abbreviations. This part uses the following
additional abbreviations and acronyms:
ABT averaging, banking, and trading
AECD auxiliary emission control device
ASTM American Society for Testing and Materials
BTU British thermal units
CD charge-depleting
CFR Code of Federal Regulations
CI compression ignition
CS charge-sustaining
DF deterioration factor
DOT Department of Transportation
E85 gasoline blend including nominally 85 percent denatured ethanol
EPA Environmental Protection Agency
FCL Family Certification Level
FEL Family Emission Limit
GEM Greenhouse gas Emissions Model
g/hp-hr grams per brake horsepower-hour
GVWR gross vehicle weight rating
LPG liquefied petroleum gas
NARA National Archives and Records Administration
NHTSA National Highway Traffic Safety Administration
NTE not-to-exceed
RESS rechargeable energy storage system
RMC ramped-modal cycle
[[Page 149]]
rpm revolutions per minute
SCR Selective catalytic reduction
SI spark ignition
U.S. United States
U.S.C. United States Code
(f) Prefixes. This part uses the following prefixes to define a
quantity:
------------------------------------------------------------------------
Symbol Quantity Value
------------------------------------------------------------------------
[micro]............................ micro................. 10-6
m.................................. milli................. 10-3
c.................................. centi................. 10-2
k.................................. kilo.................. 10\3\
M.................................. mega.................. 10\6\
------------------------------------------------------------------------
[81 FR 74011, Oct. 25, 2016; 82 FR 29761, June 30, 2017]
Sec. 1036.810 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5 U.S.C.
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Environmental Protection Agency must
publish a document in the Federal Register and the material must be
available to the public. All approved material is available for
inspection at U.S. EPA, Air and Radiation Docket and Information Center,
1301 Constitution Ave., NW., Room B102, EPA West Building, Washington,
DC 20460, (202) 202-1744, and is available from the sources listed
below. It is also available for inspection at the National Archives and
Records Administration (NARA). For information on the availability of
this material at NARA, call 202-741-6030, or go to http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
(b) American Society for Testing and Materials, 100 Barr Harbor
Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, (877) 909-2786,
http://www.astm.org/.
(1) ASTM D4809-13 Standard Test Method for Heat of Combustion of
Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method),
approved May 1, 2013, (``ASTM D4809''), IBR approved for Sec.
1036.530(b).
(2) [Reserved]
(c) National Institute of Standards and Technology, 100 Bureau
Drive, Stop 1070, Gaithersburg, MD 20899-1070, (301) 975-6478, or
www.nist.gov.
(1) NIST Special Publication 811, Guide for the Use of the
International System of Units (SI), 2008 Edition, March 2008, IBR
approved for Sec. 1036.805.
(2) [Reserved]
Sec. 1036.815 Confidential information.
The provisions of 40 CFR 1068.10 apply for information you consider
confidential.
Sec. 1036.820 Requesting a hearing.
(a) You may request a hearing under certain circumstances, as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.
Sec. 1036.825 Reporting and recordkeeping requirements.
(a) This part includes various requirements to submit and record
data or other information. Unless we specify otherwise, store required
records in any format and on any media and keep them readily available
for eight years after you send an associated application for
certification, or eight years after you generate the data if they do not
support an application for certification. You are expected to keep your
own copy of required records rather than relying on someone else to keep
records on your behalf. We may review these records at any time. You
must promptly send us organized, written records in English if we ask
for them. We may require you to submit written records in an electronic
format.
(b) The regulations in Sec. 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.
[[Page 150]]
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1036.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. Keep
these records for eight years unless the regulations specify a different
period. We may require you to send us these records whether or not you
are a certificate holder.
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and recordkeeping
specified in the applicable regulations. The following items illustrate
the kind of reporting and recordkeeping we require for engines and
vehicles regulated under this part:
(1) We specify the following requirements related to engine
certification in this part 1036:
(i) In Sec. 1036.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vehicle
manufacturers.
(ii) In Sec. 1036.150 we include various reporting and
recordkeeping requirements related to interim provisions.
(iii) In subpart C of this part we identify a wide range of
information required to certify engines.
(iv) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(v) In Sec. Sec. 1036.725, 1036.730, and 1036.735 we specify
certain records related to averaging, banking, and trading.
(2) We specify the following requirements related to testing in 40
CFR part 1065:
(i) In 40 CFR 1065.2 we give an overview of principles for reporting
information.
(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(iii) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
(iv) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
(3) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(i) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(ii) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information
(iii) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(iv) In 40 CFR 1068.105 we require vehicle manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(v) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(vi) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(vii) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(ix) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(x) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
(xi) In 40 CFR part 1068, subpart G, we specify certain records for
requesting a hearing.
Sec. Appendix I to Part 1036 -- Default Engine Fuel Maps for Sec.
1036.540
This appendix includes default steady-state fuel maps for performing
cycle-average engine fuel mapping as described in Sec. Sec. 1036.535
and 1036.540.
(a) Use the following default fuel map for compression-ignition
engines that will be installed in Tractors and Vocational Heavy HDV:
[[Page 151]]
------------------------------------------------------------------------
Engine
torque Fuel mass
Engine speed (r/min) (N[middot] rate (g/
m) sec)
------------------------------------------------------------------------
666.7......................................... 0 0.436
833.3......................................... 0 0.665
1000.......................................... 0 0.94
1166.7........................................ 0 1.002
1333.3........................................ 0 1.17
1500.......................................... 0 1.5
1666.7........................................ 0 1.899
1833.3........................................ 0 2.378
2000.......................................... 0 2.93
2166.7........................................ 0 3.516
2333.3........................................ 0 4.093
2500.......................................... 0 4.672
500........................................... 300 0.974
666.7......................................... 300 1.405
833.3......................................... 300 1.873
1000.......................................... 300 2.324
1166.7........................................ 300 2.598
1333.3........................................ 300 2.904
1500.......................................... 300 3.397
1666.7........................................ 300 3.994
1833.3........................................ 300 4.643
2000.......................................... 300 5.372
2166.7........................................ 300 6.141
2333.3........................................ 300 7.553
2500.......................................... 300 8.449
500........................................... 600 1.723
666.7......................................... 600 2.391
833.3......................................... 600 3.121
1000.......................................... 600 3.756
1166.7........................................ 600 4.197
1333.3........................................ 600 4.776
1500.......................................... 600 5.492
1666.7........................................ 600 6.277
1833.3........................................ 600 7.129
2000.......................................... 600 8.069
2166.7........................................ 600 9.745
2333.3........................................ 600 11.213
2500.......................................... 600 12.59
500........................................... 900 2.637
666.7......................................... 900 3.444
833.3......................................... 900 4.243
1000.......................................... 900 4.997
1166.7........................................ 900 5.802
1333.3........................................ 900 6.702
1500.......................................... 900 7.676
1666.7........................................ 900 8.7
1833.3........................................ 900 9.821
2000.......................................... 900 11.08
2166.7........................................ 900 13.051
2333.3........................................ 900 15.002
2500.......................................... 900 16.862
500........................................... 1200 3.833
666.7......................................... 1200 4.679
833.3......................................... 1200 5.535
1000.......................................... 1200 6.519
1166.7........................................ 1200 7.603
1333.3........................................ 1200 8.735
1500.......................................... 1200 9.948
1666.7........................................ 1200 11.226
1833.3........................................ 1200 12.622
2000.......................................... 1200 14.228
2166.7........................................ 1200 16.488
2333.3........................................ 1200 18.921
2500.......................................... 1200 21.263
500........................................... 1500 6.299
666.7......................................... 1500 6.768
833.3......................................... 1500 6.95
1000.......................................... 1500 8.096
1166.7........................................ 1500 9.399
1333.3........................................ 1500 10.764
1500.......................................... 1500 12.238
1666.7........................................ 1500 13.827
1833.3........................................ 1500 15.586
2000.......................................... 1500 17.589
2166.7........................................ 1500 20.493
2333.3........................................ 1500 23.366
2500.......................................... 1500 26.055
500........................................... 1800 9.413
666.7......................................... 1800 9.551
833.3......................................... 1800 8.926
1000.......................................... 1800 9.745
1166.7........................................ 1800 11.26
1333.3........................................ 1800 12.819
1500.......................................... 1800 14.547
1666.7........................................ 1800 16.485
1833.3........................................ 1800 18.697
2000.......................................... 1800 21.535
2166.7........................................ 1800 24.981
2333.3........................................ 1800 28.404
2500.......................................... 1800 31.768
500........................................... 2100 13.128
666.7......................................... 2100 12.936
833.3......................................... 2100 12.325
1000.......................................... 2100 11.421
1166.7........................................ 2100 13.174
1333.3........................................ 2100 14.969
1500.......................................... 2100 16.971
1666.7........................................ 2100 19.274
1833.3........................................ 2100 22.09
2000.......................................... 2100 25.654
2166.7........................................ 2100 29.399
2333.3........................................ 2100 32.958
2500.......................................... 2100 36.543
500........................................... 2400 17.446
666.7......................................... 2400 16.922
833.3......................................... 2400 15.981
1000.......................................... 2400 14.622
1166.7........................................ 2400 15.079
1333.3........................................ 2400 17.165
1500.......................................... 2400 19.583
1666.7........................................ 2400 22.408
1833.3........................................ 2400 25.635
2000.......................................... 2400 29.22
2166.7........................................ 2400 33.168
2333.3........................................ 2400 37.233
2500.......................................... 2400 41.075
500........................................... 2700 22.365
666.7......................................... 2700 21.511
833.3......................................... 2700 20.225
1000.......................................... 2700 17.549
1166.7........................................ 2700 17.131
1333.3........................................ 2700 19.588
1500.......................................... 2700 22.514
1666.7........................................ 2700 25.574
1833.3........................................ 2700 28.909
2000.......................................... 2700 32.407
2166.7........................................ 2700 36.18
2333.3........................................ 2700 40.454
2500.......................................... 2700 44.968
500........................................... 3000 27.476
666.7......................................... 3000 22.613
833.3......................................... 3000 19.804
1000.......................................... 3000 17.266
1166.7........................................ 3000 19.197
1333.3........................................ 3000 22.109
1500.......................................... 3000 25.288
1666.7........................................ 3000 28.44
1833.3........................................ 3000 31.801
2000.......................................... 3000 35.405
2166.7........................................ 3000 39.152
2333.3........................................ 3000 42.912
2500.......................................... 3000 47.512
------------------------------------------------------------------------
[[Page 152]]
(b) Use the following default fuel map for compression-ignition
engines that will be installed in Vocational Light HDV and Medium HDV:
------------------------------------------------------------------------
Engine
torque Fuel mass
Engine speed (r/min) (N[middot] rate (g/
m) sec)
------------------------------------------------------------------------
708.3......................................... 0 0.255
916.7......................................... 0 0.263
1125.......................................... 0 0.342
1333.3........................................ 0 0.713
1541.7........................................ 0 0.885
1750.......................................... 0 1.068
1958.3........................................ 0 1.27
2166.7........................................ 0 1.593
2375.......................................... 0 1.822
2583.3........................................ 0 2.695
2791.7........................................ 0 4.016
3000.......................................... 0 5.324
500........................................... 120 0.515
708.3......................................... 120 0.722
916.7......................................... 120 0.837
1125.......................................... 120 1.097
1333.3........................................ 120 1.438
1541.7........................................ 120 1.676
1750.......................................... 120 1.993
1958.3........................................ 120 2.35
2166.7........................................ 120 2.769
2375.......................................... 120 3.306
2583.3........................................ 120 4.004
2791.7........................................ 120 4.78
3000.......................................... 120 5.567
500........................................... 240 0.862
708.3......................................... 240 1.158
916.7......................................... 240 1.462
1125.......................................... 240 1.85
1333.3........................................ 240 2.246
1541.7........................................ 240 2.603
1750.......................................... 240 3.086
1958.3........................................ 240 3.516
2166.7........................................ 240 4.093
2375.......................................... 240 4.726
2583.3........................................ 240 5.372
2791.7........................................ 240 6.064
3000.......................................... 240 6.745
500........................................... 360 1.221
708.3......................................... 360 1.651
916.7......................................... 360 2.099
1125.......................................... 360 2.62
1333.3........................................ 360 3.116
1541.7........................................ 360 3.604
1750.......................................... 360 4.172
1958.3........................................ 360 4.754
2166.7........................................ 360 5.451
2375.......................................... 360 6.16
2583.3........................................ 360 7.009
2791.7........................................ 360 8.007
3000.......................................... 360 8.995
500........................................... 480 1.676
708.3......................................... 480 2.194
916.7......................................... 480 2.76
1125.......................................... 480 3.408
1333.3........................................ 480 4.031
1541.7........................................ 480 4.649
1750.......................................... 480 5.309
1958.3........................................ 480 6.052
2166.7........................................ 480 6.849
2375.......................................... 480 7.681
2583.3........................................ 480 8.783
2791.7........................................ 480 10.073
3000.......................................... 480 11.36
500........................................... 600 2.147
708.3......................................... 600 2.787
916.7......................................... 600 3.478
1125.......................................... 600 4.227
1333.3........................................ 600 4.999
1541.7........................................ 600 5.737
1750.......................................... 600 6.511
1958.3........................................ 600 7.357
2166.7........................................ 600 8.289
2375.......................................... 600 9.295
2583.3........................................ 600 10.541
2791.7........................................ 600 11.914
3000.......................................... 600 13.286
500........................................... 720 2.744
708.3......................................... 720 3.535
916.7......................................... 720 4.356
1125.......................................... 720 5.102
1333.3........................................ 720 5.968
1541.7........................................ 720 6.826
1750.......................................... 720 7.733
1958.3........................................ 720 8.703
2166.7........................................ 720 9.792
2375.......................................... 720 10.984
2583.3........................................ 720 12.311
2791.7........................................ 720 13.697
3000.......................................... 720 15.071
500........................................... 840 3.518
708.3......................................... 840 4.338
916.7......................................... 840 5.186
1125.......................................... 840 6.063
1333.3........................................ 840 6.929
1541.7........................................ 840 7.883
1750.......................................... 840 8.94
1958.3........................................ 840 10.093
2166.7........................................ 840 11.329
2375.......................................... 840 12.613
2583.3........................................ 840 13.983
2791.7........................................ 840 15.419
3000.......................................... 840 16.853
500........................................... 960 4.251
708.3......................................... 960 5.098
916.7......................................... 960 5.974
1125.......................................... 960 6.917
1333.3........................................ 960 7.889
1541.7........................................ 960 8.913
1750.......................................... 960 10.152
1958.3........................................ 960 11.482
2166.7........................................ 960 12.87
2375.......................................... 960 14.195
2583.3........................................ 960 15.562
2791.7........................................ 960 16.995
3000.......................................... 960 18.492
500........................................... 1080 4.978
708.3......................................... 1080 5.928
916.7......................................... 1080 6.877
1125.......................................... 1080 7.827
1333.3........................................ 1080 8.838
1541.7........................................ 1080 9.91
1750.......................................... 1080 11.347
1958.3........................................ 1080 12.85
2166.7........................................ 1080 14.398
2375.......................................... 1080 15.745
2583.3........................................ 1080 17.051
2791.7........................................ 1080 18.477
3000.......................................... 1080 19.971
500........................................... 1200 5.888
708.3......................................... 1200 6.837
916.7......................................... 1200 7.787
1125.......................................... 1200 8.736
1333.3........................................ 1200 9.786
1541.7........................................ 1200 10.908
1750.......................................... 1200 12.541
1958.3........................................ 1200 14.217
2166.7........................................ 1200 15.925
2375.......................................... 1200 17.3
[[Page 153]]
2583.3........................................ 1200 18.606
2791.7........................................ 1200 19.912
3000.......................................... 1200 21.357
------------------------------------------------------------------------
(c) Use the following default fuel map for all spark-ignition
engines:
------------------------------------------------------------------------
Engine
torque Fuel mass
Engine speed (r/min) (N[middot] rate (g/
m) sec)
------------------------------------------------------------------------
875........................................... 0 0.535
1250.......................................... 0 0.734
1625.......................................... 0 0.975
2000.......................................... 0 1.238
2375.......................................... 0 1.506
2750.......................................... 0 1.772
3125.......................................... 0 2.07
3500.......................................... 0 2.394
3875.......................................... 0 2.795
4250.......................................... 0 3.312
4625.......................................... 0 3.349
5000.......................................... 0 3.761
500........................................... 65 0.458
875........................................... 65 0.759
1250.......................................... 65 1.065
1625.......................................... 65 1.43
2000.......................................... 65 1.812
2375.......................................... 65 2.22
2750.......................................... 65 2.65
3125.......................................... 65 3.114
3500.......................................... 65 3.646
3875.......................................... 65 4.225
4250.......................................... 65 4.861
4625.......................................... 65 5.328
5000.......................................... 65 6.028
500........................................... 130 0.666
875........................................... 130 1.063
1250.......................................... 130 1.497
1625.......................................... 130 1.976
2000.......................................... 130 2.469
2375.......................................... 130 3.015
2750.......................................... 130 3.59
3125.......................................... 130 4.218
3500.......................................... 130 4.9
3875.......................................... 130 5.652
4250.......................................... 130 6.484
4625.......................................... 130 7.308
5000.......................................... 130 8.294
500........................................... 195 0.856
875........................................... 195 1.377
1250.......................................... 195 1.923
1625.......................................... 195 2.496
2000.......................................... 195 3.111
2375.......................................... 195 3.759
2750.......................................... 195 4.49
3125.......................................... 195 5.269
3500.......................................... 195 6.13
3875.......................................... 195 7.124
4250.......................................... 195 8.189
4625.......................................... 195 9.288
5000.......................................... 195 10.561
500........................................... 260 1.079
875........................................... 260 1.716
1250.......................................... 260 2.373
1625.......................................... 260 3.083
2000.......................................... 260 3.832
2375.......................................... 260 4.599
2750.......................................... 260 5.443
3125.......................................... 260 6.391
3500.......................................... 260 7.444
3875.......................................... 260 8.564
4250.......................................... 260 9.821
4625.......................................... 260 11.268
5000.......................................... 260 12.828
500........................................... 325 1.354
875........................................... 325 2.06
1250.......................................... 325 2.844
1625.......................................... 325 3.696
2000.......................................... 325 4.579
2375.......................................... 325 5.466
2750.......................................... 325 6.434
3125.......................................... 325 7.542
3500.......................................... 325 8.685
3875.......................................... 325 9.768
4250.......................................... 325 11.011
4625.......................................... 325 13.249
5000.......................................... 325 15.095
500........................................... 390 1.609
875........................................... 390 2.44
1250.......................................... 390 3.317
1625.......................................... 390 4.31
2000.......................................... 390 5.342
2375.......................................... 390 6.362
2750.......................................... 390 7.489
3125.......................................... 390 8.716
3500.......................................... 390 9.865
3875.......................................... 390 10.957
4250.......................................... 390 12.405
4625.......................................... 390 15.229
5000.......................................... 390 17.363
500........................................... 455 2.245
875........................................... 455 2.969
1250.......................................... 455 3.867
1625.......................................... 455 4.992
2000.......................................... 455 6.215
2375.......................................... 455 7.415
2750.......................................... 455 8.76
3125.......................................... 455 10.175
3500.......................................... 455 11.53
3875.......................................... 455 12.889
4250.......................................... 455 14.686
4625.......................................... 455 17.243
5000.......................................... 455 19.633
500........................................... 520 3.497
875........................................... 520 4.444
1250.......................................... 520 5.084
1625.......................................... 520 5.764
2000.......................................... 520 7.205
2375.......................................... 520 8.597
2750.......................................... 520 10.135
3125.......................................... 520 11.708
3500.......................................... 520 12.962
3875.......................................... 520 14.225
4250.......................................... 520 15.647
4625.......................................... 520 17.579
5000.......................................... 520 20.031
500........................................... 585 5.179
875........................................... 585 5.962
1250.......................................... 585 5.8
1625.......................................... 585 6.341
2000.......................................... 585 7.906
2375.......................................... 585 9.452
2750.......................................... 585 10.979
3125.......................................... 585 13.019
3500.......................................... 585 13.966
3875.......................................... 585 15.661
4250.......................................... 585 16.738
4625.......................................... 585 17.935
5000.......................................... 585 19.272
500........................................... 650 6.834
875........................................... 650 7.316
1250.......................................... 650 5.632
1625.......................................... 650 6.856
[[Page 154]]
2000.......................................... 650 8.471
2375.......................................... 650 10.068
2750.......................................... 650 11.671
3125.......................................... 650 14.655
3500.......................................... 650 14.804
3875.......................................... 650 16.539
4250.......................................... 650 18.415
4625.......................................... 650 19.152
5000.......................................... 650 20.33
------------------------------------------------------------------------
PART 1037_CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR VEHICLES--
Table of Contents
Subpart A_Overview and Applicability
Sec.
1037.1 Applicability.
1037.2 Who is responsible for compliance?
1037.5 Excluded vehicles.
1037.10 How is this part organized?
1037.15 Do any other regulation parts apply to me?
1037.30 Submission of information.
Subpart B_Emission Standards and Related Requirements
1037.101 Overview of emission standards for heavy-duty vehicles.
1037.102 Exhaust emission standards for NOX, HC, PM, and CO.
1037.103 Evaporative and refueling emission standards.
1037.104 Exhaust emission standards for chassis-certified heavy-duty
vehicles at or below 14,000 pounds GVWR.
1037.105 CO2 emission standards for vocational vehicles.
1037.106 Exhaust emission standards for tractors above 26,000 pounds
GVWR.
1037.107 Emission standards for trailers.
1037.115 Other requirements.
1037.120 Emission-related warranty requirements.
1037.125 Maintenance instructions and allowable maintenance.
1037.130 Assembly instructions for secondary vehicle manufacturers.
1037.135 Labeling.
1037.140 Classifying vehicles and determining vehicle parameters.
1037.150 Interim provisions.
Subpart C_Certifying Vehicle Families
1037.201 General requirements for obtaining a certificate of conformity.
1037.205 What must I include in my application?
1037.210 Preliminary approval before certification.
1037.211 Preliminary approval for manufacturers of aerodynamic devices.
1037.220 Amending maintenance instructions.
1037.225 Amending applications for certification.
1037.230 Vehicle families, sub-families, and configurations.
1037.231 Powertrain families.
1037.232 Axle and transmission families.
1037.235 Testing requirements for certification.
1037.241 Demonstrating compliance with exhaust emission standards for
greenhouse gas pollutants.
1037.243 Demonstrating compliance with evaporative emission standards.
1037.250 Reporting and recordkeeping.
1037.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D_Testing Production Vehicles and Engines
1037.301 Overview of measurements related to GEM inputs in a selective
enforcement audit.
1037.305 Audit procedures for tractors--aerodynamic testing.
1037.310 Audit procedures for trailers.
1037.315 Audit procedures related to powertrain testing.
1037.320 Audit procedures for axles and transmissions.
Subpart E_In-use Testing
1037.401 General provisions.
Subpart F_Test and Modeling Procedures
1037.501 General testing and modeling provisions.
1037.510 Duty-cycle exhaust testing.
1037.515 Determining CO2 emissions to show compliance for
trailers.
1037.520 Modeling CO2 emissions to show compliance for
vocational vehicles and tractors.
1037.525 Aerodynamic measurements for tractors.
1037.526 Aerodynamic measurements for trailers.
1037.527 Aerodynamic measurements for vocational vehicles.
1037.528 Coastdown procedures for calculating drag area
(CdA).
1037.530 Wind-tunnel procedures for calculating drag area
(CdA).
1037.532 Using computational fluid dynamics to calculate drag area
(CdA).
1037.534 Constant-speed procedure for calculating drag area
(CdA).
1037.540 Special procedures for testing vehicles with hybrid power take-
off.
1037.550 Powertrain testing.
1037.551 Engine-based simulation of powertrain testing.
1037.555 Special procedures for testing Phase 1 hybrid systems.
[[Page 155]]
1037.560 Axle efficiency test.
1037.565 Transmission efficiency test.
Subpart G_Special Compliance Provisions
1037.601 General compliance provisions.
1037.605 Installing engines certified to alternate standards for
specialty vehicles.
1037.610 Vehicles with off-cycle technologies.
1037.615 Advanced technologies.
1037.620 Responsibilities for multiple manufacturers.
1037.621 Delegated assembly.
1037.622 Shipment of partially complete vehicles to secondary vehicle
manufacturers.
1037.630 Special purpose tractors.
1037.631 Exemption for vocational vehicles intended for off-road use.
1037.635 Glider kits and glider vehicles.
1037.640 Variable vehicle speed limiters.
1037.645 In-use compliance with family emission limits (FELs).
1037.655 Post-useful life vehicle modifications.
1037.660 Idle-reduction technologies.
1037.665 Production and in-use tractor testing.
1037.670 Optional CO2 emission standards for tractors at or
above 120,000 pounds GCWR.
Subpart H_Averaging, Banking, and Trading for Certification
1037.701 General provisions.
1037.705 Generating and calculating emission credits.
1037.710 Averaging.
1037.715 Banking.
1037.720 Trading.
1037.725 What must I include in my application for certification?
1037.730 ABT reports.
1037.735 Recordkeeping.
1037.740 Restrictions for using emission credits.
1037.745 End-of-year CO2 credit deficits.
1037.750 What can happen if I do not comply with the provisions of this
subpart?
1037.755 Information provided to the Department of Transportation.
Subpart I_Definitions and Other Reference Information
1037.801 Definitions.
1037.805 Symbols, abbreviations, and acronyms.
1037.810 Incorporation by reference.
1037.815 Confidential information.
1037.820 Requesting a hearing.
1037.825 Reporting and recordkeeping requirements.
Appendix I to Part 1037--Heavy-duty Transient Test Cycle
Appendix II to Part 1037--Power Take-Off Test Cycle
Appendix III to Part 1037--Emission Control Identifiers
Appendix IV to Part 1037--Heavy-duty Grade Profile for Phase 2 Steady-
State Test Cycles
Appendix V to Part 1037--Power Take-Off Utility Factors
Authority: 42 U.S.C. 7401--7671q.
Source: 81 FR 74048, Oct. 25, 2016, unless otherwise noted.
Sec. 1037.1 Applicability.
(a) This part contains standards and other regulations applicable to
the emission of the air pollutant defined as the aggregate group of six
greenhouse gases: carbon dioxide, nitrous oxide, methane,
hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. The
regulations in this part 1037 apply for all new heavy-duty vehicles,
except as provided in Sec. Sec. 1037.5 and 1037.104. This includes
electric vehicles and vehicles fueled by conventional and alternative
fuels. This also includes certain trailers as described in Sec. Sec.
1037.5, 1037.150, and 1037.801.
(b) The provisions of this part apply for alternative fuel
conversions as specified in 40 CFR part 85, subpart F.
Sec. 1037.2 Who is responsible for compliance?
The regulations in this part 1037 contain provisions that affect
both vehicle manufacturers and others. However, the requirements of this
part are generally addressed to the vehicle manufacturer(s). The term
``you'' generally means the vehicle manufacturer(s), especially for
issues related to certification. See Sec. 1037.801 for the definition
of ``manufacturer'' and Sec. 1037.620 for provisions related to
compliance when there are multiple entities meeting the definition of
``manufacturer.'' Additional requirements and prohibitions apply to
other persons as specified in subpart G of this part and 40 CFR part
1068.
Sec. 1037.5 Excluded vehicles.
Except for the definitions specified in Sec. 1037.801, this part
does not apply to the following vehicles:
(a) Vehicles not meeting the definition of ``motor vehicle'' in
Sec. 1037.801.
[[Page 156]]
(b) Vehicles excluded from the definition of ``heavy-duty vehicle''
in Sec. 1037.801 because of vehicle weight, weight rating, and frontal
area (such as light-duty vehicles and light-duty trucks).
(c) Vehicles produced in model years before 2014, unless they were
certified under Sec. 1037.150.
(d) Medium-duty passenger vehicles and other vehicles subject to the
light-duty greenhouse gas standards of 40 CFR part 86. See 40 CFR
86.1818 for greenhouse gas standards that apply for these vehicles. An
example of such a vehicle would be a vehicle meeting the definition of
``heavy-duty vehicle'' in Sec. 1037.801 and 40 CFR 86.1803, but also
meeting the definition of ``light truck'' in 40 CFR 86.1818-12(b)(2).
(e) Vehicles subject to the heavy-duty greenhouse gas standards of
40 CFR part 86. See 40 CFR 86.1819 for greenhouse gas standards that
apply for these vehicles. This generally applies for complete heavy-duty
vehicles at or below 14,000 pounds GVWR.
(f) Aircraft meeting the definition of ``motor vehicle''. For
example, this would include certain convertible aircraft that can be
adjusted to operate on public roads. Standards apply separately to
certain aircraft engines, as described in 40 CFR part 87.
(g) Non-box trailers other than flatbed trailers, tank trailers, and
container chassis.
(h) Trailers meeting one or more of the following characteristics:
(1) Trailers with four or more axles and trailers less than 35 feet
long with three axles (i.e., trailers intended for hauling very heavy
loads).
(2) Trailers intended for temporary or permanent residence, office
space, or other work space, such as campers, mobile homes, and carnival
trailers.
(3) Trailers with a gap of at least 120 inches between adjacent axle
centerlines. In the case of adjustable axle spacing, this refers to the
closest possible axle positioning.
(4) Trailers built before January 1, 2018.
(5) Note that the definition of ``trailer'' in Sec. 1037.801
excludes equipment that serves similar purposes but are not intended to
be pulled by a tractor. This exclusion applies to such equipment whether
or not they are known commercially as trailers. For example, any
equipment pulled by a heavy-duty vehicle with a pintle hook or hitch
instead of a fifth wheel does not qualify as a trailer under this part.
(i) Where it is unclear, you may ask us to make a determination
regarding the exclusions identified in this section. We recommend that
you make your request before you produce the vehicle.
Sec. 1037.10 How is this part organized?
This part 1037 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1037
and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify vehicles under this part.
Note that Sec. 1037.150 discusses certain interim requirements and
compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity for vehicles subject to the standards of Sec. 1037.105 or
Sec. 1037.106.
(d) Subpart D of this part addresses testing of production vehicles.
(e) Subpart E of this part addresses testing of in-use vehicles.
(f) Subpart F of this part describes how to test your vehicles and
perform emission modeling (including references to other parts of the
Code of Federal Regulations) for vehicles subject to the standards of
Sec. 1037.105 or Sec. 1037.106.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to
manufacturers, owners, operators, rebuilders, and all others. Section
1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles.
(h) Subpart H of this part describes how you may generate and use
emission credits to certify vehicles.
(i) Subpart I of this part contains definitions and other reference
information.
Sec. 1037.15 Do any other regulation parts apply to me?
(a) Parts 1065 and 1066 of this chapter describe procedures and
equipment
[[Page 157]]
specifications for testing engines and vehicles to measure exhaust
emissions. Subpart F of this part 1037 describes how to apply the
provisions of part 1065 and part 1066 of this chapter to determine
whether vehicles meet the exhaust emission standards in this part.
(b) As described in Sec. 1037.601, certain requirements and
prohibitions of part 1068 of this chapter apply to everyone, including
anyone who manufactures, imports, installs, owns, operates, or rebuilds
any of the vehicles subject to this part 1037. Part 1068 of this chapter
describes general provisions that apply broadly, but do not necessarily
apply for all vehicles or all persons. The issues addressed by these
provisions include these seven areas:
(1) Prohibited acts and penalties for manufacturers and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain vehicles.
(4) Importing vehicles.
(5) Selective enforcement audits of your production.
(6) Recall.
(7) Procedures for hearings.
(c) [Reserved]
(d) Other parts of this chapter apply if referenced in this part.
Sec. 1037.30 Submission of information.
Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1037.801). See
Sec. 1037.825 for additional reporting and recordkeeping provisions.
Subpart B_Emission Standards and Related Requirements
Sec. 1037.101 Overview of emission standards for heavy-duty vehicles.
(a) This part specifies emission standards for certain vehicles and
for certain pollutants. This part contains standards and other
regulations applicable to the emission of the air pollutant defined as
the aggregate group of six greenhouse gases: Carbon dioxide, nitrous
oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur
hexafluoride.
(b) The regulated emissions are addressed in four groups:
(1) Exhaust emissions of NOX, HC, PM, and CO. These
pollutants are sometimes described collectively as ``criteria
pollutants'' because they are either criteria pollutants under the Clean
Air Act or precursors to the criteria 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 Sec. 1037.102, standards for these
pollutants are provided in 40 CFR part 86.
(2) Exhaust emissions of CO2, CH4, and
N2O. These pollutants are described collectively in this part
as ``greenhouse gas pollutants'' because they are regulated primarily
based on their impact on the climate. These standards are provided in
Sec. Sec. 1037.105 through 1037.107.
(3) Hydrofluorocarbons. These pollutants are also ``greenhouse gas
pollutants'' but are treated separately from exhaust greenhouse gas
pollutants listed in paragraph (b)(2) of this section. These standards
are provided in Sec. 1037.115.
(4) Fuel evaporative emissions. These requirements are described in
Sec. 1037.103.
(c) The regulated heavy-duty vehicles are addressed in different
groups as follows:
(1) For criteria pollutants, vocational vehicles and tractors are
regulated based on gross vehicle weight rating (GVWR), whether they are
considered ``spark-ignition'' or ``compression-ignition,'' and whether
they are first sold as complete or incomplete vehicles.
(2) For greenhouse gas pollutants, vehicles are regulated in the
following groups:
(i) Tractors above 26,000 pounds GVWR.
(ii) Trailers.
(iii) Vocational vehicles.
(3) The greenhouse gas emission standards apply differently
depending on the vehicle service class as described in Sec. 1037.140.
In addition, standards apply differently for vehicles with spark-
ignition and compression-ignition engines. References in this part 1037
to ``spark-ignition'' or ``compression-ignition'' generally relate to
the application of standards under 40 CFR 1036.140. For example, a
vehicle with an engine certified to spark-ignition
[[Page 158]]
standards under 40 CFR part 1036 is generally subject to requirements
under this part 1037 that apply for spark-ignition vehicles. However,
note that emission standards for heavy heavy-duty engines are considered
to be compression-ignition standards for purposes of applying vehicle
emission standards under this part. Also, for spark-ignition engines
voluntarily certified as compression-ignition engines under 40 CFR part
1036, you must choose at certification whether your vehicles are subject
to spark-ignition standards or compression-ignition standards.
(4) For evaporative and refueling emissions, vehicles are regulated
based on the type of fuel they use. Vehicles fueled with volatile liquid
fuels or gaseous fuels are subject to evaporative emission standards.
Vehicles up to a certain size that are fueled with gasoline, diesel
fuel, ethanol, methanol, or LPG are subject to refueling emission
standards.
Sec. 1037.102 Exhaust emission standards for NOX, HC,
PM, and CO.
See 40 CFR part 86 for the exhaust emission standards for
NOX, HC, PM, and CO that apply for heavy-duty vehicles.
Sec. 1037.103 Evaporative and refueling emission standards.
(a) Applicability. Evaporative and refueling emission standards
apply to heavy-duty vehicles as follows:
(1) Complete and incomplete heavy-duty vehicles at or below 14,000
pounds GVWR must meet evaporative and refueling emission standards as
specified in 40 CFR part 86, subpart S, instead of the requirements
specified in this section.
(2) Heavy-duty vehicles above 14,000 pounds GVWR that run on
volatile liquid fuel (such as gasoline or ethanol) or gaseous fuel (such
as natural gas or LPG) must meet evaporative and refueling emission
standards as specified in this section.
(b) Emission standards. The evaporative and refueling emission
standards and measurement procedures specified in 40 CFR 86.1813 apply
for vehicles above 14,000 pounds GVWR, except as described in this
section. The evaporative emission standards phase in over model years
2018 through 2022, with provisions allowing for voluntary compliance
with the standards as early as model year 2015. Count vehicles subject
to standards under this section the same as heavy-duty vehicles at or
below 14,000 pounds GVWR to comply with the phase-in requirements
specified in 40 CFR 86.1813. These vehicles may generate and use
emission credits as described in 40 CFR part 86, subpart S, but only for
vehicles that are tested for certification instead of relying on the
provisions of paragraph (c) of this section. The following provisions
apply instead of what is specified in 40 CFR 86.1813:
(1) The refueling standards in 40 CFR 86.1813-17(b) apply to
complete vehicles starting in model year 2022; they are optional for
incomplete vehicles.
(2) The leak standard in 40 CFR 86.1813-17(a)(4) does not apply.
(3) The FEL cap relative to the diurnal plus hot soak standard for
low-altitude testing is 1.9 grams per test.
(4) The diurnal plus hot soak standard for high-altitude testing is
2.3 grams per test.
(5) Testing does not require measurement of exhaust emissions.
Disregard references in subpart B of this part to procedures, equipment
specifications, and recordkeeping related to measuring exhaust
emissions. All references to the exhaust test under 40 CFR part 86,
subpart B, are considered the ``dynamometer run'' as part of the
evaporative testing sequence under this subpart.
(6) Vehicles not yet subject to the Tier 3 standards in 40 CFR
86.1813 must meet evaporative emission standards as specified in 40 CFR
86.008-10(b)(1) and (2) for Otto-cycle applications and 40 CFR 86.007-
11(b)(3)(ii) and (b)(4)(ii) for diesel-cycle applications.
(c) Compliance demonstration. You may provide a statement in the
application for certification that vehicles above 14,000 pounds GVWR
comply with evaporative and refueling emission standards instead of
submitting test data if you include an engineering analysis describing
how vehicles include design parameters, equipment, operating controls,
or other elements of design that adequately demonstrate
[[Page 159]]
that vehicles comply with the standards. We would expect emission
control components and systems to exhibit a comparable degree of control
relative to vehicles that comply based on testing. For example, vehicles
that comply under this paragraph (c) should rely on comparable material
specifications to limit fuel permeation, and components should be sized
and calibrated to correspond with the appropriate fuel capacities, fuel
flow rates, purge strategies, and other vehicle operating
characteristics. You may alternatively show that design parameters are
comparable to those for vehicles at or below 14,000 pounds GVWR
certified under 40 CFR part 86, subpart S.
(d) CNG refueling requirement. Compressed natural gas vehicles must
meet the requirements for fueling connection devices as specified in 40
CFR 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to
comply with evaporative and refueling emission standards.
(e) LNG refueling requirement. Fuel tanks for liquefied natural gas
vehicles must meet the hold-time requirements in Section 4.2 of SAE
J2343 (incorporated by reference in Sec. 1037.810), as modified by this
paragraph (e). All pressures noted are gauge pressure. Vehicles with
tanks meeting these requirements are deemed to comply with evaporative
and refueling emission standards. The provisions of this paragraph (e)
are optional for vehicles produced before January 1, 2020. The hold-time
requirements of SAE J2343 apply, with the following clarifications and
additions:
(1) Hold time must be at least 120 hours. Use the following
procedure to determine hold time for an LNG fuel tank that will be
installed on a heavy-duty vehicle:
(i) Prepare the stored (offboard) fuel and the vehicle such that
tank pressure after the refueling event stabilizes below 690 kPa.
(ii) Fill the tank to the point of automatic shutoff using a
conventional refueling system. This is intended to achieve a net full
condition.
(iii) The hold time starts when tank pressure increases to 690 kPa,
and ends when the tank first vents for pressure relief. Use good
engineering judgment to document the point at which the pressure-relief
valve opens.
(iv) Keep the tank at rest away from direct sun with ambient
temperatures between (10 and 30) deg.C throughout the measurement
procedure.
(2) Following a complete refueling event as described in paragraph
(e)(1) of this section and a short drive, installed tanks may not
increase in pressure by more than 9 kPa per hour over a minimum 12 hour
interval when parked away from direct sun with ambient temperatures at
or below 30 deg.C. Calculate the allowable pressure gain by multiplying
the park time in hours by 9 and rounding to the nearest whole number. Do
not include the first hour after engine shutdown, and start the test
only when tank pressure is between 345 and 900 kPa.
(3) The standards described in this paragraph (e) apply over the
vehicle's useful life as specified in paragraph (f) of this section. The
warranty requirements of Sec. 1037.120 also apply for these standards.
(4) You may specify any amount of inspection and maintenance,
consistent with good engineering judgment, to ensure that tanks meet the
standards in this paragraph (e) during and after the useful life.
(f) Useful life. The evaporative emission standards of this section
apply for the full useful life, expressed in service miles or calendar
years, whichever comes first. The useful life values for the standards
of this section are the same as the values described for evaporative
emission standards in 40 CFR 86.1805.
(g) Auxiliary engines and separate fuel systems. The provisions of
this paragraph (g) apply for vehicles with auxiliary engines. This
includes any engines installed in the final vehicle configuration that
contribute no motive power through the vehicle's transmission.
(1) Auxiliary engines and associated fuel-system components must be
installed when testing complete vehicles. If the auxiliary engine draws
fuel from a separate fuel tank, you must fill the extra fuel tank before
the start of diurnal testing as described for the vehicle's main fuel
tank. Use good engineering judgment to ensure that any nonmetal portions
of the fuel system
[[Page 160]]
related to the auxiliary engine have reached stabilized levels of
permeation emissions. The auxiliary engine must not operate during the
running loss test or any other portion of testing under this section.
(2) For testing with incomplete vehicles, you may omit installation
of auxiliary engines and associated fuel-system components as long as
those components installed in the final configuration are certified to
meet the applicable emission standards for Small SI equipment described
in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. For any
fuel-system components that you do not install, your installation
instructions must describe this certification requirement.
Sec. 1037.104 Exhaust emission standards for chassis-certified heavy
-duty vehicles at or below 14,000 pounds GVWR.
Heavy-duty vehicles at or below 14,000 pounds GVWR are not subject
to the provisions of this part 1037 if they are subject to 40 CFR part
86, subpart S, including all vehicles certified under 40 CFR part 86,
subpart S. See especially 40 CFR 86.1819 and 86.1865 for emission
standards and compliance provisions that apply for these vehicles.
Sec. 1037.105 CO2 emission standards for vocational
vehicles.
(a) The standards of this section apply for the following vehicles:
(1) Heavy-duty vehicles at or below 14,000 pounds GVWR that are
excluded from the standards in 40 CFR 86.1819 or that use engines
certified under Sec. 1037.150(m).
(2) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds
GVWR, but not certified to the vehicle standards in 40 CFR 86.1819.
(3) Vehicles above 26,000 pounds GVWR that are not tractors.
(4) Vocational tractors.
(b) CO2 standards in this paragraph (b) apply based on
modeling and testing as specified in subpart F of this part. The
provisions of Sec. 1037.241 specify how to comply with these standards.
Standards differ based on engine cycle, vehicle size, and intended
vehicle duty cycle. See Sec. 1037.510(c) to determine which duty cycle
applies.
(1) Model year 2027 and later vehicles are subject to CO2
standards corresponding to the selected subcategories as shown in the
following table:
Table 1 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2027 and Later Vocational Vehicles
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Engine cycle Vehicle size Multi-purpose Regional Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition.................. Light HDV............... 330 291 367
Compression-ignition.................. Medium HDV.............. 235 218 258
Compression-ignition.................. Heavy HDV............... 230 189 269
Spark-ignition........................ Light HDV............... 372 319 413
Spark-ignition........................ Medium HDV.............. 268 247 297
----------------------------------------------------------------------------------------------------------------
(2) Model year 2024 through 2026 vehicles are subject to
CO2 standards corresponding to the selected subcategories as
shown in the following table:
Table 2 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2024 Through 2026 Vocational Vehicles
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Engine cycle Vehicle size Multi-purpose Regional Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition.................. Light HDV............... 344 296 385
Compression-ignition.................. Medium HDV.............. 246 221 271
Compression-ignition.................. Heavy HDV............... 242 194 283
Spark-ignition........................ Light HDV............... 385 324 432
Spark-ignition........................ Medium HDV.............. 279 251 310
----------------------------------------------------------------------------------------------------------------
[[Page 161]]
(3) Model year 2021 Through 2023 vehicles are subject to
CO2 standards corresponding to the selected subcategories as
shown in the following table:
Table 3 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2021 Through 2023 Vocational Vehicles
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Engine cycle Vehicle size Multi-purpose Regional Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition.................. Light HDV............... 373 311 424
Compression-ignition.................. Medium HDV.............. 265 234 296
Compression-ignition.................. Heavy HDV............... 261 205 308
Spark-ignition........................ Light HDV............... 407 335 461
Spark-ignition........................ Medium HDV.............. 293 261 328
----------------------------------------------------------------------------------------------------------------
(4) Model year 2014 through 2020 vehicles are subject to Phase 1
CO2 standards as shown in the following table:
Table 4 of Sec. 1037.105--Phase 1 CO2 Standards for Model Year 2014
Through 2020 Vocational Vehicles
[g/ton-mile]
------------------------------------------------------------------------
CO2 standard for CO2 standard for
Vehicle size model years 2014- model year 2017
2016 and later
------------------------------------------------------------------------
Light HDV........................... 388 373
Medium HDV.......................... 234 225
Heavy HDV........................... 226 222
------------------------------------------------------------------------
(c) No CH4 or N2O standards apply under this
section. See 40 CFR part 1036 for CH4 or N2O
standards that apply to engines used in these vehicles.
(d) You may generate or use emission credits for averaging, banking,
and trading to demonstrate compliance with the standards in paragraph
(b) of this section as described in subpart H of this part. This
requires that you specify a Family Emission Limit (FEL) for
CO2 for each vehicle subfamily. The FEL may not be less than
the result of emission modeling from Sec. 1037.520. These FELs serve as
the emission standards for the vehicle subfamily instead of the
standards specified in paragraph (b) of this section.
(e) The exhaust emission standards of this section apply for the
full useful life, expressed in service miles or calendar years,
whichever comes first. The following useful life values apply for the
standards of this section:
(1) 150,000 miles or 15 years, whichever comes first, for Light HDV.
(2) 185,000 miles or 10 years, whichever comes first, for Medium
HDV.
(3) 435,000 miles or 10 years, whichever comes first, for Heavy HDV.
(f) See Sec. 1037.631 for provisions that exempt certain vehicles
used in off-road operation from the standards of this section.
(g) You may optionally certify a vocational vehicle to the standards
and useful life applicable to a heavier vehicle service class (such as
Medium HDV instead of Light HDV). Provisions related to generating
emission credits apply as follows:
(1) If you certify all your vehicles from a given vehicle service
class in a given model year to the standards and useful life that
applies for a heavier vehicle service class, you may generate credits as
appropriate for the heavier service class.
(2) Class 8 hybrid vehicles with light or medium heavy-duty engines
may be certified to compression-ignition standards for the Heavy HDV
service class. You may generate and use credits as allowed for the Heavy
HDV service class.
(3) Except as specified in paragraphs (g)(1) and (2) of this
section, you may not generate credits with the vehicle. If you include
lighter vehicles in a subfamily of heavier vehicles with an FEL
[[Page 162]]
below the standard, exclude the production volume of lighter vehicles
from the credit calculation. Conversely, if you include lighter vehicles
in a subfamily with an FEL above the standard, you must include the
production volume of lighter vehicles in the credit calculation.
(h) You may optionally certify certain vocational vehicles to
alternative Phase 2 standards as specified in this paragraph (h) instead
of the standards specified in paragraph (b) of this section. You may
apply these provisions to any qualifying vehicles even though these
standards were established for custom chassis. For example, large
diversified vehicle manufacturers may certify vehicles to the refuse
hauler standards of this section as long as the manufacturer ensures
that those vehicles qualify as refuse haulers when placed into service.
GEM simulates vehicle operation for each type of vehicle based on an
assigned vehicle service class, independent of the vehicle's actual
characteristics, as shown in Table 5 of this section; however, standards
apply for the vehicle's useful life based on its actual characteristics
as specified in paragraph (e) of this section. Vehicles certified to
these standards must include the following statement on the emission
control label: ``THIS VEHICLE WAS CERTIFIED AS A [identify vehicle type
as identified in Table 5 of this section] UNDER 40 CFR 1037.105(h)].''
These custom-chassis standards apply as follows:
(1) The following alternative emission standards apply by vehicle
type and model year as follows:
Table 5 of Sec. 1037.105--Phase 2 Custom Chassis Standards
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Vehicle type \1\ Assigned vehicle service class MY 2021-2026 MY 2027+
----------------------------------------------------------------------------------------------------------------
School bus.................................... Medium HDV...................... 291 271
Motor home.................................... Medium HDV...................... 228 226
Coach bus..................................... Heavy HDV....................... 210 205
Other bus..................................... Heavy HDV....................... 300 286
Refuse hauler................................. Heavy HDV....................... 313 298
Concrete mixer................................ Heavy HDV....................... 319 316
Mixed-use vehicle............................. Heavy HDV....................... 319 316
Emergency vehicle............................. Heavy HDV....................... 324 319
----------------------------------------------------------------------------------------------------------------
\1\ Vehicle types are generally defined in Sec. 1037.801. ``Other bus'' includes any bus that is not a school
bus or a coach bus. A ``mixed-use vehicle'' is one that meets at least one of the criteria specified in Sec.
1037.631(a)(1) and at least one of the criteria in Sec. 1037.631(a)(2), but not both.
(2) You may generate or use emission credits for averaging to
demonstrate compliance with the alternative standards as described in
subpart H of this part. This requires that you specify a Family Emission
Limit (FEL) for CO2 for each vehicle subfamily. The FEL may
not be less than the result of emission modeling as described in Sec.
1037.520. These FELs serve as the emission standards for the vehicle
subfamily instead of the standards specified in this paragraph (h).
Calculate credits using the equation in Sec. 1037.705(b) with the
standard payload for the assigned vehicle service class and the useful
life identified in paragraph (e) of this section. Each separate vehicle
type identified in Table 5 of this section (or group of vehicle types
identified in a single row) represents a separate averaging set. You may
not use averaging for vehicles meeting standards under paragraph (h)(5)
through (7) of this section, and you may not bank or trade emission
credits from any vehicles certified under this paragraph (h).
(3) [Reserved]
(4) For purposes of emission modeling under Sec. 1037.520, consider
motor homes and coach buses to be subject to the Regional duty cycle,
and consider all other vehicles to be subject to the Urban duty cycle.
(5) Emergency vehicles are deemed to comply with the standards of
this paragraph (h) if they use tires with TRRL at or below 8.4 kg/tonne
(8.7 g/tonne for model years 2021 through 2026).
(6) Concrete mixers and mixed-use vehicles are deemed to comply with
the standards of this paragraph (h) if they use tires with TRRL at or
below 7.1 kg/
[[Page 163]]
tonne (7.6 g/tonne for model years 2021 through 2026).
(7) Motor homes are deemed to comply with the standards of this
paragraph (h) if they have tires with TRRL at or below 6.0 kg/tonne (6.7
g/tonne for model years 2021 through 2026) and automatic tire inflation
systems or tire pressure monitoring systems with wheels on all axles.
(8) Vehicles certified to standards under this paragraph (h) must
use engines certified under 40 CFR part 1036 for the appropriate model
year, except that motor homes and emergency vehicles may use engines
certified with the loose-engine provisions of Sec. 1037.150(m). This
also applies for vehicles meeting standards under paragraphs (h)(5)
through (7) of this section.
Sec. 1037.106 Exhaust emission standards for tractors above 26,000
pounds GVWR.
(a) The CO2 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 Sec.
1037.630.
(b) The CO2 standards for tractors above 26,000 pounds
GVWR in Table 1 of this section apply based on modeling and testing as
described in subpart F of this part. The provisions of Sec. 1037.241
specify how to comply with these standards.
Table 1 of Sec. 1037.106--CO2 Standards for Class 7 and Class 8 Tractors by Model Year
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Phase 1 Phase 1 Phase 2 Phase 2 Phase 2
standards for standards for standards for standards for standards for
Subcategory \1\ model years model years model years model years model year
2014-2016 2017-2020 2021-2023 2024-2026 2027 and later
----------------------------------------------------------------------------------------------------------------
Class 7 Low-Roof (all cab 107 104 105.5 99.8 96.2
styles)........................
Class 7 Mid-Roof (all cab 119 115 113.2 107.1 103.4
styles)........................
Class 7 High-Roof (all cab 124 120 113.5 106.6 100.0
styles)........................
Class 8 Low-Roof Day Cab........ 81 80 80.5 76.2 73.4
Class 8 Low-Roof Sleeper Cab.... 68 66 72.3 68.0 64.1
Class 8 Mid-Roof Day Cab........ 88 86 85.4 80.9 78.0
Class 8 Mid-Roof Sleeper Cab.... 76 73 78.0 73.5 69.6
Class 8 High-Roof Day Cab....... 92 89 85.6 80.4 75.7
Class 8 High-Roof Sleeper Cab... 75 72 75.7 70.7 64.3
Heavy-Haul Tractors............. .............. .............. 52.4 50.2 48.3
----------------------------------------------------------------------------------------------------------------
\1\ Sub-category terms are defined in Sec. 1037.801.
(c) No CH4 or N2O standards apply under this
section. See 40 CFR part 1036 for CH4 or N2O
standards that apply to engines used in these vehicles.
(d) You may generate or use emission credits for averaging, banking,
and trading as described in subpart H of this part. This requires that
you calculate a credit quantity if you specify a Family Emission Limit
(FEL) that is different than the standard specified in this section for
a given pollutant. The FEL may not be less than the result of emission
modeling from Sec. 1037.520. These FELs serve as the emission standards
for the specific vehicle subfamily instead of the standards specified in
paragraph (a) of this section.
(e) The exhaust emission standards of this section apply for the
full useful life, expressed in service miles or calendar years,
whichever comes first. The following useful life values apply for the
standards of this section:
(1) 185,000 miles or 10 years, whichever comes first, for vehicles
at or below 33,000 pounds GVWR.
(2) 435,000 miles or 10 years, whichever comes first, for vehicles
above 33,000 pounds GVWR.
(f) You may optionally certify Class 7 tractors to Class 8 standards
as follows:
(1) You may optionally certify 4x2 tractors with heavy heavy-duty
engines to the standards and useful life for Class 8 tractors, with no
restriction on generating or using emission credits within the Class 8
averaging set.
(2) You may optionally certify Class 7 tractors not covered by
paragraph (f)(1) of this section to the standards and useful life for
Class 8 tractors. Credit provisions apply as follows:
[[Page 164]]
(i) If you certify all your Class 7 tractors to Class 8 standards,
you may use these Heavy HDV credits without restriction.
(ii) This paragraph (f)(2)(ii) applies if you certify some Class 7
tractors to Class 8 standards under this paragraph (f)(2) but not all of
them. If you include Class 7 tractors in a subfamily of Class 8 tractors
with an FEL below the standard, exclude the production volume of Class 7
tractors from the credit calculation. Conversely, if you include Class 7
tractors in a subfamily of Class 8 tractors with an FEL above the
standard, you must include the production volume of Class 7 tractors in
the credit calculation.
(g) Diesel auxiliary power units installed on tractors subject to
standards under this section must meet PM standards as follows:
(1) For model years 2021 through 2023, the APU engine must be
certified under 40 CFR part 1039 with a deteriorated emission level for
PM at or below 0.15 g/kW-hr.
(2) Starting in model year 2024, auxiliary power units installed on
tractors subject to standards under this section must be certified to
the PM emission standard specified in 40 CFR 1039.699. Selling, offering
for sale, or introducing or delivering into commerce in the United
States or importing into the United States a new tractor subject to this
standard is a violation of 40 CFR 1068.101(a)(1) unless the auxiliary
power unit has a valid certificate of conformity and the required label
showing that it meets the PM standard of this paragraph (g)(2).
(3) See Sec. 1037.660(e) for requirements that apply for diesel
APUs in model year 2020 and earlier tractors.
Sec. 1037.107 Emission standards for trailers.
The exhaust emission standards specified in this section apply to
trailers based on the effect of trailer designs on the performance of
the trailer in conjunction with a tractor; this accounts for the effect
of the trailer on the tractor's exhaust emissions, even though trailers
themselves have no exhaust emissions.
(a) Standards apply for trailers based on modeling and testing as
described in subpart F of this part, as follows:
(1) Different levels of stringency apply for box vans depending on
features that may affect aerodynamic performance. You may optionally
meet less stringent standards for different trailer types, which we
characterize as follows:
(i) For trailers 35 feet or longer, you may designate as ``non-aero
box vans'' those box vans that have a rear lift gate or rear hinged
ramp, and at least one of the following side features: Side lift gate,
side-mounted pull-out platform, steps for side-door access, a drop-deck
design, or belly boxes that occupy at least half the length of both
sides of the trailer between the centerline of the landing gear and the
leading edge of the front wheels. For trailers less than 35 feet long,
you may designate as ``non-aero box vans'' any refrigerated box vans
with at least one of the side features identified for longer trailers.
(ii) You may designate as ``partial-aero box vans'' those box vans
that have at least one of the side features identified in paragraph
(a)(1)(i) of this section. Long box vans may also qualify as partial-
aero box vans if they have a rear lift gate or rear hinged ramp. Note
that this paragraph (a)(1)(ii) does not apply for box vans designated as
``non-aero box vans'' under paragraph (a)(1)(i) of this section.
(iii) ``Full-aero box vans'' are box vans that are not designated as
non-aero box vans or partial-aero box vans under this paragraph (a)(1).
(2) CO2 standards apply for full-aero box vans as
specified in the following table:
Table 1 of Sec. 1037.107--Phase 2 CO2 Standards for Full-Aero Box Vans
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Dry van Refrigerated van
Model year ---------------------------------------------------------------
Short Long Short Long
----------------------------------------------------------------------------------------------------------------
2018-2020....................................... 125.4 81.3 129.1 83.0
2021-2023....................................... 123.7 78.9 127.5 80.6
[[Page 165]]
2024-2026....................................... 120.9 77.2 124.7 78.9
2027+........................................... 118.8 75.7 122.7 77.4
----------------------------------------------------------------------------------------------------------------
(3) CO2 standards apply for partial-aero box vans as
specified in the following table:
Table 2 of Sec. 1037.107--Phase 2 CO2 Standards for Partial-Aero Box Vans
[g/ton-mile]
----------------------------------------------------------------------------------------------------------------
Dry van Refrigerated van
Model year ---------------------------------------------------------------
Short Long Short Long
----------------------------------------------------------------------------------------------------------------
2018-2020....................................... 125.4 81.3 129.1 83.0
2021+........................................... 123.7 80.6 127.5 82.3
----------------------------------------------------------------------------------------------------------------
(4) Non-box trailers and non-aero box vans must meet standards as
follows:
(i) Trailers must use automatic tire inflation systems or tire
pressure monitoring systems with wheels on all axles.
(ii) Non-box trailers must use tires with a TRRL at or below 5.1 kg/
tonne. Through model year 2020, non-box trailers may instead use tires
with a TRRL at or below 6.0 kg/tonne.
(iii) Non-aero box vans must use tires with a TRRL at or below 4.7
kg/tonne. Through model year 2020, non-aero box vans may instead use
tires with a TRRL at or below 5.1 kg/tonne.
(5) Starting in model year 2027, you may generate or use emission
credits for averaging to demonstrate compliance with the standards
specified in paragraph (a)(2) of this section as described in subpart H
of this part. This requires that you specify a Family Emission Limit
(FEL) for CO2 for each vehicle subfamily. The FEL may not be
less than the result of the emission calculation in Sec. 1037.515. The
FEL may not be greater than the appropriate standard for model year 2018
trailers. These FELs serve as the emission standards for the specific
vehicle subfamily instead of the standards specified in paragraph (a) of
this section. You may not use averaging for non-box trailers, partial-
aero box vans, or non-aero box vans that meet standards under paragraph
(a)(3) or (a)(4) of this section, and you may not use emission credits
for banking or trading for any trailers.
(6) The provisions of Sec. 1037.241 specify how to comply with the
standards of this section.
(b) No CH4, N2O, or HFC standards apply under
this section.
(c) The emission standards of this section apply for a useful life
of 10 years.
Sec. 1037.115 Other requirements.
Vehicles required to meet the emission standards of this part must
meet the following additional requirements, except as noted elsewhere in
this part:
(a) Adjustable parameters. Vehicles that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing. See 40 CFR 86.094-22 for information related to determining
whether or not an operating parameter is considered adjustable. You must
ensure safe vehicle operation throughout the physically adjustable range
of each adjustable parameter, including consideration of production
tolerances. Note that adjustable roof fairings and trailer rear fairings
are deemed not to be adjustable parameters.
[[Page 166]]
(b) Prohibited controls. You may not design your vehicles with
emission control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the vehicle emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(c) [Reserved]
(d) Defeat devices. 40 CFR 1068.101 prohibits the use of defeat
devices.
(e) Air conditioning leakage. Loss of refrigerant from your air
conditioning systems may not exceed a total leakage rate of 11.0 grams
per year or a percent leakage rate of 1.50 percent per year, whichever
is greater. This applies for all refrigerants. Calculate the total
leakage rate in g/year as specified in 40 CFR 86.1867-12(a). Calculate
the percent leakage rate as: [total leakage rate (g/yr)] / [total
refrigerant capacity (g)] x 100. Round your percent leakage rate to the
nearest one-hundredth of a percent. This paragraph (e) does not apply
for refrigeration units on trailers; similarly, this paragraph (e) does
not apply for self-contained air conditioning or refrigeration units on
vocational vehicles even if they draw electrical power from engines used
to propel the vehicles. For purposes of this requirement, ``refrigerant
capacity'' is the total mass of refrigerant recommended by the vehicle
manufacturer as representing a full charge. Where full charge is
specified as a pressure, use good engineering judgment to convert the
pressure and system volume to a mass. If air conditioning systems with
capacity above 3000 grams of refrigerant are designed such that a
compliance demonstration under 40 CFR 86.1867-12(a) is impossible or
impractical, you may ask to use alternative means to demonstrate that
your air conditioning system achieves an equivalent level of control.
Sec. 1037.120 Emission-related warranty requirements.
(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new vehicle, including all parts
of its emission control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that cause
the vehicle to fail to conform to the requirements of this part during
the applicable warranty period.
(b) Warranty period. (1) Your emission-related warranty must be
valid for at least:
(i) 5 years or 50,000 miles for Light HDV.
(ii) 5 years or 100,000 miles for Medium HDV (except tires).
(iii) 5 years for trailers (except tires).
(iv) 1 year for tires installed on trailers, and 2 years or 24,000
miles for all other tires.
(2) You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the vehicle may not be
shorter than any basic mechanical warranty you provide to that owner
without charge for the vehicle. Similarly, the emission-related warranty
for any component may not be shorter than any warranty you provide to
that owner without charge for that component. This means that your
warranty for a given vehicle may not treat emission-related and
nonemission-related defects differently for any component. The warranty
period begins when the vehicle is placed into service.
(c) Components covered. The emission-related warranty covers tires,
automatic tire inflation systems, tire pressure monitoring systems,
vehicle speed limiters, idle-reduction systems, hybrid system
components, and devices added to the vehicle to improve aerodynamic
performance (not including standard components such as hoods or mirrors
even if they have been optimized for aerodynamics), to the extent such
emission-related components are included in your application for
certification. The emission-related warranty also covers other added
emission-related components to the extent they are included in your
application for certification. The emission-related warranty covers all
components whose failure would increase a vehicle's emissions of air
conditioning refrigerants (for vehicles subject to air conditioning
[[Page 167]]
leakage standards), and it covers all components whose failure would
increase a vehicle's evaporative emissions (for vehicles subject to
evaporative emission standards). The emission-related warranty covers
these components even if another company produces the component. Your
emission-related warranty does not need to cover components whose
failure would not increase a vehicle's emissions of any regulated
pollutant.
(d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115. For example, it may be
appropriate to require the seals on automatic tire inflation systems to
be replaced during the warranty period.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the vehicle.
Sec. 1037.125 Maintenance instructions and allowable maintenance.
Give the ultimate purchaser of each new vehicle written instructions
for properly maintaining and using the vehicle, including the emission
control system. The maintenance instructions also apply to service
accumulation on any of your emission-data vehicles. See paragraph (i) of
this section for requirements related to tire replacement.
(a) Critical emission-related maintenance. Critical emission-related
maintenance includes any adjustment, cleaning, repair, or replacement of
critical emission-related components. This may also include additional
emission-related maintenance that you determine is critical if we
approve it in advance. You may schedule critical emission-related
maintenance on these components if you demonstrate that the maintenance
is reasonably likely to be done at the recommended intervals on in-use
vehicles. We will accept scheduled maintenance as reasonably likely to
occur if you satisfy any of the following conditions:
(1) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the vehicle's
performance.
(2) You present survey data showing that at least 80 percent of
vehicles in the field get the maintenance you specify at the recommended
intervals.
(3) You provide the maintenance free of charge and clearly say so in
your maintenance instructions.
(4) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these maintenance
steps are not necessary to keep the emission-related warranty valid. If
operators do the maintenance specified in paragraph (a) of this section,
but not the recommended additional maintenance, this does not allow you
to disqualify those vehicles from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data vehicles.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
vehicle operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
We may disapprove your maintenance instructions if we determine that you
have specified special maintenance steps to address vehicle operation
that is not atypical, or that the maintenance is unlikely to occur in
use. If we determine that certain maintenance items do not qualify as
special maintenance under this paragraph (c), you may identify this as
recommended additional maintenance under paragraph (b) of this section.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (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
[[Page 168]]
CFR part 1068, Appendix I, that is not covered in paragraph (a) of this
section. You must state in the owners manual that these steps are not
necessary to keep the emission-related warranty valid. If operators fail
to do this maintenance, this does not allow you to disqualify those
vehicles from in-use testing or deny a warranty claim. Do not take these
inspection or maintenance steps during service accumulation on your
emission-data vehicles.
(e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
vehicles, as long as they are reasonable and technologically necessary.
You may perform this nonemission-related maintenance on emission-data
vehicles at the least frequent intervals that you recommend to the
ultimate purchaser (but not the intervals recommended for severe
service).
(f) Source of parts and repairs. State clearly in your written
maintenance instructions that a repair shop or person of the owner's
choosing may maintain, replace, or repair emission control devices and
systems. Your instructions may not require components or service
identified by brand, trade, or corporate name. Also, do not directly or
indirectly condition your warranty on a requirement that the vehicle be
serviced by your franchised dealers or any other service establishments
with which you have a commercial relationship. You may disregard the
requirements in this paragraph (f) if you do one of two things:
(1) Provide a component or service without charge under the purchase
agreement.
(2) Get us to waive this prohibition in the public's interest by
convincing us the vehicle will work properly only with the identified
component or service.
(g) [Reserved]
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.
(i) Tire maintenance and replacement. Include instructions that will
enable the owner to replace tires so that the vehicle conforms to the
original certified vehicle configuration.
Sec. 1037.130 Assembly instructions for secondary vehicle
manufacturers.
(a) If you sell a certified incomplete vehicle to a secondary
vehicle manufacturer, give the secondary vehicle manufacturer
instructions for completing vehicle assembly consistent with the
requirements of this part. Include all information necessary to ensure
that the final vehicle assembly (including the engine for vehicles other
than trailers) will be in its certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: ``Emission-related installation
instructions''.
(2) State: ``Failing to follow these instructions when completing
assembly of a heavy-duty motor vehicle violates federal law, subject to
fines or other penalties as described in the Clean Air Act.''
(3) Describe the necessary steps for installing any diagnostic
system required under 40 CFR part 86.
(4) Describe how your certification is limited for any type of
application, as illustrated in the following examples:
(i) If the incomplete vehicle is at or below 8,500 pounds GVWR,
state that the vehicle's certification is valid under this part 1037
only if the final configuration has a vehicle curb weight above 6,000
pounds or basic vehicle frontal area above 45 square feet.
(ii) If your engine will be installed in a vehicle that you certify
to meet diurnal emission standards using an evaporative canister, but
you do not install the fuel tank, identify the maximum permissible fuel
tank capacity.
(5) Describe any other instructions to make sure the vehicle will
operate according to design specifications in your application for
certification.
(c) Provide instructions in writing or in an equivalent format. You
may include this information with the incomplete vehicle document
required by DOT. If you do not provide the instructions in writing,
explain in your application for certification how you will ensure that
each installer is informed of the installation requirements.
[[Page 169]]
Sec. 1037.135 Labeling.
(a) Assign each vehicle a unique identification number and
permanently affix, engrave, or stamp it on the vehicle in a legible way.
The vehicle identification number (VIN) serves this purpose.
(b) At the time of manufacture, affix a permanent and legible label
identifying each vehicle. The label must meet the requirements of 40 CFR
1068.45.
(c) The label must--
(1) Include the heading ``VEHICLE EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may identify
another company and use its trademark instead of yours if you comply
with the branding provisions of 40 CFR 1068.45.
(3) Include EPA's standardized designation for the vehicle family.
(4) State the regulatory subcategory that determines the applicable
emission standards for the vehicle family (see definition in Sec.
1037.801).
(5) State the date of manufacture [DAY (optional), MONTH, and YEAR].
You may omit this from the label if you stamp, engrave, or otherwise
permanently identify it elsewhere on the vehicle, in which case you must
also describe in your application for certification where you will
identify the date on the vehicle.
(6) Identify the emission control system. Use terms and
abbreviations as described in Appendix III to this part or other
applicable conventions. Phase 2 tractors and Phase 2 vocational vehicles
may omit this information.
(7) Identify any requirements for fuel and lubricants that do not
involve fuel-sulfur levels.
(8) State: ``THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] HEAVY-DUTY VEHICLES.''
(9) If you rely on another company to design and install fuel tanks
in incomplete vehicles that use an evaporative canister for controlling
diurnal emissions, include the following statement: ``THIS VEHICLE IS
DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x
GALLONS OF FUEL TANK CAPACITY.'' Complete this statement by identifying
the maximum specified fuel tank capacity associated with your
certification.
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the vehicle meets
or does not meet (such as European standards).
(2) You may add other information to ensure that the vehicle will be
properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the vehicle's unique identification number
on the label.
(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.
Sec. 1037.140 Classifying vehicles and determining vehicle parameters.
(a) Where applicable, a vehicle's roof height and a trailer's length
are determined from nominal design specifications, as provided in this
section. Specify design values for roof height and trailer length to the
nearest inch.
(b) Base roof height on fully inflated tires having a static loaded
radius equal to the arithmetic mean of the largest and smallest static
loaded radius of tires you offer or a standard tire we approve.
(c) Base trailer length on the outer dimensions of the load-carrying
structure. Do not include aerodynamic devices or HVAC units.
(d) The nominal design specifications must be within the range of
the actual values from production vehicles considering normal production
variability. In the case of roof height, use the mean tire radius
specified in paragraph (b) of this section. If after production begins
it is determined that your nominal design specifications do not
represent production vehicles, we may require you to amend your
application for certification under Sec. 1037.225.
(e) If your vehicle is equipped with an adjustable roof fairing,
measure the
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roof height with the fairing in its lowest setting.
(f) For any provisions in this part that depend on the number of
axles on a vehicle, include lift axles or any other installed axles that
can be used to carry the vehicle's weight while in motion.
(g) The standards and other provisions of this part apply to
specific vehicle service classes for tractors and vocational vehicles as
follows:
(1) Phase 1 and Phase 2 tractors are divided based on GVWR into
Class 7 tractors and Class 8 tractors. Where provisions apply to both
tractors and vocational vehicles, Class 7 tractors are considered
``Medium HDV'' and Class 8 tractors are considered ``Heavy HDV''.
(2) Phase 1 vocational vehicles are divided based on GVWR. ``Light
HDV'' includes Class 2b through Class 5 vehicles; ``Medium HDV includes
Class 6 and Class 7 vehicles; and ``Heavy HDV includes Class 8 vehicles.
(3) Phase 2 vocational vehicles with spark-ignition engines are
divided based on GVWR. ``Light HDV'' includes Class 2b through Class 5
vehicles, and ``Medium HDV includes Class 6 through Class 8 vehicles.
(4) Phase 2 vocational vehicles with compression-ignition engines
are divided as follows:
(i) Class 2b through Class 5 vehicles are considered ``Light HDV''.
(ii) Class 6 through 8 vehicles are considered ``Heavy HDV'' if the
installed engine's primary intended service class is heavy heavy-duty
(see 40 CFR 1036.140). All other Class 6 through Class 8 vehicles are
considered ``Medium HDV''.
(5) In certain circumstances, you may certify vehicles to standards
that apply for a different vehicle service class. For example, see
Sec. Sec. 1037.105(g) and 1037.106(f). If you optionally certify
vehicles to different standards, those vehicles are subject to all the
regulatory requirements as if the standards were mandatory.
(h) Use good engineering judgment to identify the intended duty
cycle (Urban, Multi-Purpose, or Regional) for each of your vocational
vehicle configurations based on the expected use of the vehicles.
Sec. 1037.150 Interim provisions.
The provisions in this section apply instead of other provisions in
this part.
(a) Incentives for early introduction. The provisions of this
paragraph (a) apply with respect to tractors and vocational vehicles
produced in model years before 2014. Manufacturers may voluntarily
certify in model year 2013 (or earlier model years for electric
vehicles) to the greenhouse gas standards of this part.
(1) This paragraph (a)(1) applies for regulatory subcategories
subject to the standards of Sec. 1037.105 or Sec. 1037.106. Except as
specified in paragraph (a)(3) of this section, to generate early credits
under this paragraph for any vehicles other than electric vehicles, you
must certify your entire U.S.-directed production volume within the
regulatory subcategory to these standards. Except as specified in
paragraph (a)(4) of this section, if some vehicle families within a
regulatory subcategory are certified after the start of the model year,
you may generate credits only for production that occurs after all
families are certified. For example, if you produce three vehicle
families in an averaging set and you receive your certificates for those
families on January 4, 2013, March 15, 2013, and April 24, 2013, you may
not generate credits for model year 2013 production in any of the
families that occurs before April 24, 2013. Calculate credits relative
to the standard that would apply in model year 2014 using the equations
in subpart H of this part. You may bank credits equal to the surplus
credits you generate under this paragraph (a) multiplied by 1.50. For
example, if you have 1.0 Mg of surplus credits for model year 2013, you
may bank 1.5 Mg of credits. Credit deficits for an averaging set prior
to model year 2014 do not carry over to model year 2014. These credits
may be used to show compliance with the standards of this part for 2014
and later model years. We recommend that you notify EPA of your intent
to use this provision before submitting your applications.
(2) [Reserved]
(3) You may generate emission credits for the number of additional
SmartWay designated tractors (relative to your 2012 production),
provided you do not generate credits for those
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vehicles under paragraph (a)(1) of this section. Calculate credits for
each regulatory subcategory relative to the standard that would apply in
model year 2014 using the equations in subpart H of this part. Use a
production volume equal to the number of designated model year 2013
SmartWay tractors minus the number of designated model year 2012
SmartWay tractors. You may bank credits equal to the surplus credits you
generate under this paragraph (a)(3) multiplied by 1.50. Your 2012 and
2013 model years must be equivalent in length.
(4) This paragraph (a)(4) applies where you do not receive your
final certificate in a regulatory subcategory within 30 days of
submitting your final application for that subcategory. Calculate your
credits for all production that occurs 30 days or more after you submit
your final application for the subcategory.
(b) Phase 1 coastdown procedures. For tractors subject to Phase 1
standards under Sec. 1037.106, the default method for measuring drag
area (CdA) is the coastdown procedure specified in 40 CFR
part 1066, subpart D. This includes preparing the tractor and the
standard trailer with wheels meeting specifications of Sec. 1037.528(b)
and submitting information related to your coastdown testing under Sec.
1037.528(h).
(c) Provisions for small manufacturers. Standards apply on a delayed
schedule for manufacturers meeting the small business criteria specified
in 13 CFR 121.201. Apply the small business criteria for NAICS code
336120 for vocational vehicles and tractors and 336212 for trailers; the
employee limits apply to the total number employees together for
affiliated companies. Qualifying small manufacturers are not subject to
the greenhouse gas standards of Sec. Sec. 1037.105 and 1037.106 for
vehicles with a date of manufacture before January 1, 2022, Similarly,
qualifying small manufacturers are not subject to the greenhouse gas
standards of Sec. 1037.107 for trailers with a date of manufacture
before January 1, 2019. In addition, qualifying small manufacturers
producing vehicles that run on any fuel other than gasoline, E85, or
diesel fuel may delay complying with every later standard under this
part by one model year. Qualifying manufacturers must notify the
Designated Compliance Officer each model year before introducing these
excluded vehicles into U.S. commerce. This notification must include a
description of the manufacturer's qualification as a small business
under 13 CFR 121.201. You must label your excluded vehicles with the
following statement: ``THIS VEHICLE IS EXCLUDED UNDER 40 CFR
1037.150(c).'' Small manufacturers may certify their vehicles under this
part 1037 before standards start to apply; however, they may generate
emission credits only if they certify their entire U.S.-directed
production volume within the applicable averaging set for that model
year.
(d) Air conditioning leakage for vocational vehicles. The air
conditioning leakage standard of Sec. 1037.115 does not apply for model
year 2020 and earlier vocational vehicles.
(e) Delegated assembly. The delegated-assembly provisions of Sec.
1037.621 do not apply before January 1, 2018.
(f) Electric vehicles. Tailpipe emissions of regulated pollutants
from electric vehicles (as defined in Sec. 1037.801) are deemed to be
zero. No emission testing is required for electric vehicles. Use good
engineering judgment to apply other requirements of this part to
electric vehicles.
(g) Compliance date. Compliance with the standards of this part was
optional prior to January 1, 2014. This means that if your 2014 model
year begins before January 1, 2014, you may certify for a partial model
year that begins on January 1, 2014 and ends on the day your model year
would normally end. You must label model year 2014 vehicles excluded
under this paragraph (g) with the following statement: ``THIS VEHICLE IS
EXCLUDED UNDER 40 CFR 1037.150(g).''
(h) Off-road vehicle exemption. (1) Vocational vehicles with a date
of manufacture before January 1, 2021 automatically qualify for an
exemption under Sec. 1037.631 if the tires installed on the vehicle
have a maximum speed rating at or below 55 miles per hour.
(2) In unusual circumstances, vehicle manufacturers may ask us to
exempt vehicles under Sec. 1037.631 based on other criteria that are
equivalent to those specified in Sec. 1037.631(a); however, we
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will normally not grant relief in cases where the vehicle manufacturer
has credits or can otherwise comply with applicable standards. Request
approval for an exemption under this paragraph (h) before you produce
the subject vehicles. Send your request with supporting information to
the Designated Compliance Officer; we will coordinate with NHTSA in
making a determination under Sec. 1037.210. If you introduce into U.S.
commerce vehicles that depend on our approval under this paragraph (h)
before we inform you of our approval, those vehicles violate 40 CFR
1068.101(a)(1).
(i) Limited carryover from Phase 1 to Phase 2. The provisions for
carryover data in Sec. 1037.235(d) do not allow you to use aerodynamic
test results from Phase 1 to support a compliance demonstration for
Phase 2 certification.
(j) Limited prohibition related to early model year engines. The
provisions of this paragraph (j) apply only for vehicles that have a
date of manufacture before January 1, 2018. See Sec. 1037.635 for
related provisions that apply in later model years. The prohibition in
Sec. 1037.601 against introducing into U.S. commerce a vehicle
containing an engine not certified to the standards applicable for the
calendar year of installation does not apply for vehicles using model
year 2014 or 2015 spark-ignition engines, or any model year 2013 or
earlier engines.
(k) Verifying drag areas from in-use tractors. This paragraph (k)
applies for tractors instead of Sec. 1037.401(b) through model year
2020. We may measure the drag area of your vehicles after they have been
placed into service. To account for measurement variability, your
vehicle is deemed to conform to the regulations of this part with
respect to aerodynamic performance if we measure its drag area to be at
or below the maximum drag area allowed for the bin above the bin to
which you certified (for example, Bin II if you certified the vehicle to
Bin III), unless we determine that you knowingly produced the vehicle to
have a higher drag area than is allowed for the bin to which it was
certified.
(l) Optional sister-vehicle certification under 40 CFR part 86. You
may certify certain complete or cab-complete vehicles to the GHG
standards of 40 CFR 86.1819 instead of the standards of Sec. 1037.105
as specified in 40 CFR 86.1819-14(j).
(m) Loose engine sales. Manufacturers may certify certain spark-
ignition engines along with chassis-certified heavy-duty vehicles where
they are identical to engines used in those vehicles as described in 40
CFR 86.1819-14(k)(8). Vehicles in which those engines are installed are
subject to standards under this part as specified in Sec. 1037.105.
(n) Transition to engine-based model years. The following provisions
apply for production and ABT reports during the transition to engine-
based model year determinations for tractors and vocational vehicles in
2020 and 2021:
(1) If you install model year 2020 or earlier engines in your
vehicles in calendar year 2020, include all those Phase 1 vehicles in
your production and ABT reports related to model year 2020 compliance,
although we may require you identify these separately from vehicles
produced in calendar year 2019.
(2) If you install model year 2020 engines in your vehicles in
calendar year 2021, submit production and ABT reports for those Phase 1
vehicles separate from the reports you submit for Phase 2 vehicles with
model year 2021 engines.
(o) Interim useful life for light heavy-duty vocational vehicles.
Class 2b through Class 5 vocational vehicles certified to Phase 1
standards are subject to a useful life of 110,000 miles or 10 years,
whichever comes first, instead of the useful life specified in Sec.
1037.105. For emission credits generated from these Phase 1 vehicles,
multiply any banked credits that you carry forward to demonstrate
compliance with Phase 2 standards by 1.36.
(p) Credit multiplier for advanced technology. If you generate
credits from Phase 1 vehicles certified with advanced technology, you
may multiply these credits by 1.50, except that you may not apply this
multiplier in addition to the early-credit multiplier of paragraph (a)
of this section. If you generate credits from model year 2027 and
earlier Phase 2 vehicles certified with advanced technology, you may
multiply these credits by 3.5 for plug-in
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hybrid electric vehicles, 4.5 for electric vehicles, and 5.5 for fuel
cell vehicles.
(q) Vehicle families for advanced and off-cycle technologies. Apply
the following provisions for grouping vehicles into families if you use
off-cycle technologies under Sec. 1037.610 or advanced technologies
under Sec. 1037.615:
(1) For vocational vehicles and tractors subject to Phase 1
standards, create separate vehicle families for vehicles that contain
advanced or off-cycle technologies; group those vehicles together in a
vehicle family if they use the same advanced or off-cycle technologies.
(2) For vocational vehicles and tractors subject to Phase 2
standards, create separate vehicle families if there is a credit
multiplier for advanced technology; group those vehicles together in a
vehicle family if they use the same multiplier.
(r) Conversion to mid- roof and high-roof configurations. Secondary
vehicle manufacturers that qualify as small manufacturers may convert
low- and mid-roof tractors to mid- and high-roof configurations without
recertification for the purpose of building a custom sleeper tractor or
converting it to run on natural gas, as follows:
(1) The original low- or mid-roof tractor must be covered by a valid
certificate of conformity.
(2) The modifications may not increase the frontal area of the
tractor beyond the frontal area of the equivalent mid- or high-roof
tractor with the corresponding standard trailer. Note that these
dimensions have a tolerance of 2 inches. Use good
engineering judgment to achieve aerodynamic performance similar to or
better than the certifying manufacturer's corresponding mid- or high-
roof tractor.
(3) Add a permanent supplemental label to the vehicle near the
original manufacturer's emission control information label. On the label
identify your full corporate name and include the following statement:
``THIS VEHICLE WAS MODIFIED AS ALLOWED UNDER 40 CFR 1037.150.''
(4) We may require that you submit annual production reports as
described in Sec. 1037.250.
(5) Modifications made under this paragraph (r) do not violate 40
CFR 1068.101(b)(1).
(s) Confirmatory testing for Falt-aero. If we conduct
coastdown testing to verify your Falt-aero value for Phase 2
tractors, we will make our determination using a statistical analysis
consistent with the principles of SEA testing in Sec. 1037.305. We will
calculate confidence intervals using the same equations and will not
replace your test results with ours if your result falls within our
confidence interval or is greater than our test result.
(t) Glider kits and glider vehicles. (1) Glider vehicles conforming
to the requirements in this paragraph (t)(1) are exempt from the Phase 1
emission standards of this part 1037 prior to January 1, 2021. Engines
in such vehicles (including vehicles produced after January 1, 2021)
remain subject to the requirements of 40 CFR part 86 applicable for the
engines' original model year, but not subject to the Phase 1 or Phase 2
standards of 40 CFR part 1036 unless they were originally manufactured
in model year 2014 or later.
(i) You are eligible for this exemption if you are a small
manufacturer and you sold one or more glider vehicles in 2014 under the
provisions of Sec. 1037.150(c). You do not qualify if you only produced
glider vehicles for your own use. You must notify us of your plans to
use this exemption before you introduce exempt vehicles into U.S.
commerce. In your notification, you must identify your annual U.S.-
directed production volume (and sales, if different) of such vehicles
for calendar years 2010 through 2014. Vehicles you produce before
notifying us are not exempt under this section.
(ii) In a given calendar year, you may produce up to 300 exempt
vehicles under this section, or up to the highest annual production
volume you identify in paragraph (t)(1) of this section, whichever is
less.
(iii) Identify the number of exempt vehicles you produced under this
exemption for the preceding calendar year in your annual report under
Sec. 1037.250.
(iv) Include the appropriate statement on the label required under
Sec. 1037.135, as follows:
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(A) For Phase 1 vehicles, ``THIS VEHICLE AND ITS ENGINE ARE EXEMPT
UNDER 40 CFR 1037.150(t)(1).''
(B) For Phase 2 vehicles, ``THE ENGINE IN THIS VEHICLE IS EXEMPT
UNDER 40 CFR 1037.150(t)(1).''
(v) If you produce your glider vehicle by installing remanufactured
or previously used components in a glider kit produced by another
manufacturer, you must provide the following to the glider kit
manufacturer prior to obtaining the glider kit:
(A) Your name, the name of your company, and contact information.
(B) A signed statement that you are a qualifying small manufacturer
and that your production will not exceed the production limits of this
paragraph (t)(1). This statement is deemed to be a submission to EPA,
and we may require the glider kit manufacturer to provide a copy to us
at any time.
(vi) This exemption is valid for a given vehicle and engine only if
you meet all the requirements and conditions of this paragraph (t)(1)
that apply with respect to that vehicle and engine. Introducing such a
vehicle into U.S. commerce without meeting all applicable requirements
and conditions violates 40 CFR 1068.101(a)(1).
(vii) Companies that are not small manufacturers may sell
uncertified incomplete vehicles without engines to small manufacturers
for the purpose of producing exempt vehicles under this paragraph
(t)(1), subject to the provisions of Sec. 1037.622. However, such
companies must take reasonable steps to ensure that their incomplete
vehicles will be used in conformance with the requirements of this part
1037.
(2) Glider vehicles produced using engines certified to model year
2010 or later standards for all pollutants are subject to the same
provisions that apply to vehicles using engines within their useful life
in Sec. 1037.635.
(3) For calendar year 2017, you may produce a limited number of
glider kits and/or glider vehicles subject to the requirements
applicable to model year 2016 glider vehicles, instead of the
requirements of Sec. 1037.635. The limit applies to your combined 2017
production of glider kits and glider vehicles and is equal to your
highest annual production of glider kits and glider vehicles for any
year from 2010 to 2014. Any glider kits or glider vehicles produced
beyond this cap are subject to the provisions of Sec. 1037.635. Count
any glider kits and glider vehicles you produce under paragraph (t)(1)
of this section as part of your production with respect to this
paragraph (t)(3).
(u) Streamlined preliminary approval for trailer devices. Before
January 1, 2018, manufacturers of aerodynamic devices for trailers may
ask for preliminary EPA approval of compliance data for their devices
based on qualifying for designation under the SmartWay program based on
measured CdA values, whether or not that involves testing or
other methods specified in Sec. 1037.526. Trailer manufacturers may
certify based on DCdA values established under this paragraph
(u) through model year 2020. Manufacturers must perform testing as
specified in subpart F of this part for any vehicles or aerodynamic
devices not qualifying for approval under this paragraph (u).
(v) Transitional allowances for trailers. Through model year 2026,
trailer manufacturers may calculate a number of trailers that are exempt
from the standards and certification requirements of this part.
Calculate the number of exempt box vans in a given model year by
multiplying your total U.S.-directed production volume of certified box
vans by 0.20 and rounding to the nearest whole number; however, in no
case may the number of exempted box vans be greater than 350 units in
any given model year. Repeat this calculation to determine the number of
non-box trailers, up to 250 annual units, that are exempt from standards
and certification requirements. Perform the calculation based on your
projected production volumes in the first year that standards apply; in
later years, use actual production volumes from the preceding model
year. Include these calculated values and your production volumes of
exempt trailers in your annual production report under Sec. 1037.250.
You must apply a label meeting the requirements of 40 CFR 1068.45(a)
that identifies your corporate name and states that the trailer is
exempt under the provisions of Sec. 1037.150. Unlabeled trailers will
be considered in violation of 40 CFR 1068.101(a)(1).
[[Page 175]]
(w) Roll-up doors for non-aero box vans. Through model year 2023,
box vans may qualify for non-aero or partial-aero standards under Sec.
1037.107 by treating roll-up rear doors as being equivalent to rear lift
gates.
(x) Aerodynamic testing for trailers. Section 1037.526 generally
requires you to adjust DCdA values from alternate test
methods to be equivalent to measurements with the primary test method.
This paragraph (x) describes approximations that we believe are
consistent with good engineering judgment; however, you may not use
these approximations where we determine that clear and convincing
evidence shows that they would significantly overestimate actual
improvements in aerodynamic performance.
(1) You may presume that CFD measurements at a yaw angle of 4.5 deg.
are equal to measurements made using the primary method, and you may use
them without adjustment.
(2) You may presume that coastdown measurements at yaw angles
smaller than 4.5 deg. are equal to measurements
made using the primary method, and you may use them without adjustment.
This applies equally for device manufacturers, but it does not apply for
EPA testing.
(3) You may use testing or analytical methods to adjust coastdown
measurements to account for aerodynamic effects at a yaw angle of 4.5 deg.. This applies for rear fairings and other
devices whose performance is affected by yaw angle.
(y) Transition to Phase 2 standards. The following provisions allow
for enhanced generation and use of emission credits from Phase 1
tractors and vocational vehicles for meeting the Phase 2 standards:
(1) For vocational Light HDV and vocational Medium HDV, emission
credits you generate in model years 2018 through 2021 may be used
through model year 2027, instead of being limited to a five-year credit
life as specified in Sec. 1037.740(c). For Class 8 vocational vehicles
with medium heavy-duty engines, we will approve your request to generate
these credits in and use these credits for the Medium HDV averaging set
if you show that these vehicles would qualify as Medium HDV under the
Phase 2 program as described in Sec. 1037.140(g)(4).
(2) You may use the off-cycle provisions of Sec. 1037.610 to apply
technologies to Phase 1 vehicles as follows:
(i) You may apply an improvement factor of 0.988 for tractors and
vocational vehicles with automatic tire inflation systems on all axles.
(ii) For vocational vehicles with automatic engine shutdown systems
that conform with Sec. 1037.660, you may apply an improvement factor of
0.95.
(iii) For vocational vehicles with stop-start systems that conform
with Sec. 1037.660, you may apply an improvement factor of 0.92.
(iv) For vocational vehicles with neutral-idle systems conforming
with Sec. 1037.660, you may apply an improvement factor of 0.98. You
may adjust this improvement factor if we approve a partial reduction
under Sec. 1037.660(a)(2); for example, if your design reduces fuel
consumption by half as much as shifting to neutral, you may apply an
improvement factor of 0.99.
(3) Small manufacturers may generate emission credits for natural
gas-fueled vocational vehicles as follows:
(i) Small manufacturers may certify their vehicles instead of
relying on the exemption of paragraph (c) of this section. The
provisions of this part apply for such vehicles, except as specified in
this paragraph (y)(3).
(ii) Use Phase 1 GEM to determine a CO2 emission level
for your vehicle, then multiply this value by the engine's FCL for
CO2 and divide by the engine's applicable CO2
emission standard.
(z) Constraints for vocational duty cycles. The following provisions
apply to determinations of vocational duty cycles as described in Sec.
1037.140:
(1) The Regional duty cycle applies if the engine was certified
based on testing only with the ramped-modal cycle.
(2) The Regional duty cycle applies for coach buses and motor homes
you certify under Sec. 1037.105(b).
(3) You may not select the Urban duty cycle for any vehicle with a
manual or single-clutch automated manual transmission.
(4) Starting in model year 2024, you must select the Regional duty
cycle for
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any vehicle with a manual transmission.
(5) You may select the Urban duty cycle for a hybrid vehicle
equipped with regenerative braking, unless it is equipped with a manual
transmission.
(6) You may select the Urban duty cycle for any vehicle with a
hydrokinetic torque converter paired with an automatic transmission, or
a continuously variable automatic transmission, or a dual-clutch
transmission with no more than two consecutive forward gears between
which it is normal for both clutches to be momentarily disengaged.
(aa) Custom-chassis standards. The following provisions apply
uniquely to small manufacturers under the custom-chassis standards of
Sec. 1037.105(h):
(1) You may use emission credits generated under Sec. 1037.105(d),
including banked or traded credits from any averaging set. Such credits
remain subject to other limitations that apply under subpart H of this
part.
(2) You may produce up to 200 drayage tractors in a given model year
to the standards described in Sec. 1037.105(h) for ``other buses''.
Treat these drayage tractors as being in their own averaging set.
Subpart C_Certifying Vehicle Families
Sec. 1037.201 General requirements for obtaining a certificate
of conformity.
(a) You must send us a separate application for a certificate of
conformity for each vehicle family. A certificate of conformity is valid
from the indicated effective date until the end of the model year for
which it is issued. You must renew your certification annually for any
vehicles you continue to produce.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1037.255).
(c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec. 1037.250.
(d) You must use good engineering judgment for all decisions related
to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1037.255 for provisions describing how we will process
your application.
(g) We may perform confirmatory testing on your vehicles or
components; for example, we may test vehicles to verify drag areas or
other GEM inputs. This includes tractors used to determine
Falt-aero under Sec. 1037.525. We may require you to deliver
your test vehicles or components to a facility we designate for our
testing. Alternatively, you may choose to deliver another vehicle or
component that is identical in all material respects to the test vehicle
or component, or a different vehicle or component that we determine can
appropriately serve as an emission-data vehicle for the family. We may
perform confirmatory testing on engines under 40 CFR part 1036 and may
require you to apply modified fuel maps from that testing for
certification under this part.
(h) The certification and testing provisions of 40 CFR part 86,
subpart S, apply instead of the provisions of this subpart relative to
the evaporative and refueling emission standards specified in Sec.
1037.103, except that Sec. 1037.245 describes how to demonstrate
compliance with evaporative emission standards. For vehicles that do not
use an evaporative canister for controlling diurnal emissions, you may
certify with respect to exhaust emissions and use the provisions of
Sec. 1037.622 to let a different company certify with respect to
evaporative emissions.
(i) Vehicles and installed engines must meet exhaust, evaporative,
and refueling emission standards and certification requirements in 40
CFR part 86 or 40 CFR part 1036, as applicable. Include the information
described in 40 CFR part 86, subpart S, or 40 CFR 1036.205 in your
application for certification in addition to what we specify in Sec.
1037.205 so we can issue a single certificate of conformity for all the
requirements that apply for your vehicle and the installed engine.
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Sec. 1037.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1037.201(c). We may require you to provide additional information to
evaluate your application. References to testing and emission-data
vehicles refer to testing vehicles or components to measure any quantity
that serves as an input value for modeling emission rates under Sec.
1037.515 or 1037.520.
(a) Describe the vehicle family's specifications and other basic
parameters of the vehicle's design and emission controls. List the fuel
type on which your vocational vehicles and tractors are designed to
operate (for example, ultra-low-sulfur diesel fuel).
(b) Explain how the emission control system operates. As applicable,
describe in detail all system components for controlling greenhouse gas
emissions, including all auxiliary emission control devices (AECDs) and
all fuel-system components you will install on any production vehicle.
Identify the part number of each component you describe. For this
paragraph (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Also describe your modeling inputs
as described in Sec. Sec. 1037.515 and 1037.520, with the following
additional information if it applies for your vehicles:
(1) Describe your design for vehicle speed limiters, consistent with
Sec. 1037.640.
(2) Describe your design for predictive cruise control.
(3) Describe your design for automatic engine shutdown systems,
consistent with Sec. 1037.660.
(4) Describe your engineering analysis demonstrating that your air
conditioning compressor qualifies as a high-efficiency model as
described in 40 CFR 86.1868-12(h)(5).
(5) Describe your design for idle-reduction technology, including
the logic for engine shutdown and the maximum duration of engine
operation after the onset of any vehicle conditions described in Sec.
1037.660.
(6) If you perform powertrain testing under Sec. 1037.550, report
both CO2 and NOX emission levels corresponding to
each test run.
(7) Describe the configuration and basic design of hybrid systems.
Include measurements for vehicles with hybrid power take-off systems.
(8) If you install auxiliary power units in tractors under Sec.
1037.106(g), identify the family name associated with the engine's
certification under 40 CFR part 1039. Starting in model year 2024, also
identify the family name associated with the auxiliary power unit's
certification to the standards of 40 CFR 1039.699.
(9) Describe how you meet any applicable criteria in Sec.
1037.631(a)(1) and (2).
(c) For vehicles subject to air conditioning standards, include:
(1) The refrigerant leakage rates (leak scores).
(2) The type of refrigerant and the refrigerant capacity of the air
conditioning systems.
(3) The corporate name of the final installer of the air
conditioning system.
(d) Describe any vehicles or components you selected for testing and
the reasons for selecting them.
(e) Describe any test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1037.501). Include information describing the procedures you used to
determine CdA values as specified in Sec. Sec. 1037.525
through 1037.527. Describe which type of data you are using for engine
fuel maps (see 40 CFR 1036.510). If your trailer certification relies on
approved data from device manufacturers, identify the device and device
manufacturer.
(f) Describe how you operated any emission-data vehicle before
testing, including the duty cycle and the number of vehicle operating
miles used to stabilize emission-related performance. Explain why you
selected the method of service accumulation. Describe any scheduled
maintenance you did.
(g) Where applicable, list the specifications of any test fuel to
show that it falls within the required ranges we specify in 40 CFR part
1065.
(h) Identify the vehicle family's useful life.
(i) Include the maintenance instructions and warranty statement you
will
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give to the ultimate purchaser of each new vehicle (see Sec. Sec.
1037.120 and 1037.125).
(j) Describe your emission control information label (see Sec.
1037.135).
(k) Identify the emission standards or FELs to which you are
certifying vehicles in the vehicle family. For families containing
multiple subfamilies, this means that you must identify the highest and
lowest FELs to which any of your subfamilies will be certified.
(l) Where applicable, identify the vehicle family's deterioration
factors and describe how you developed them. Present any emission test
data you used for this (see Sec. 1037.241(c)).
(m) Where applicable, state that you operated your emission-data
vehicles as described in the application (including the test procedures,
test parameters, and test fuels) to show you meet the requirements of
this part.
(n) [Reserved]
(o) Report calculated and modeled emission results as follows:
(1) For vocational vehicles and tractors, report modeling results
for ten configurations. Include modeling inputs and detailed
descriptions of how they were derived. Unless we specify otherwise,
include the configuration with the highest modeling result, the lowest
modeling result, and the configurations with the highest projected
sales.
(2) For trailers that demonstrate compliance with g/ton-mile
emission standards as described in Sec. 1037.515, report the
CO2 emission result for the configuration with the highest
calculated value. If your trailer family generates or uses emission
credits, also report the CO2 emission results for the
configuration with the lowest calculated value, and for the
configuration with the highest projected sales.
(p) Where applicable, describe all adjustable operating parameters
(see Sec. 1037.115), including production tolerances. You do not need
to include parameters that do not affect emissions covered by your
application. Include the following in your description of each
parameter:
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use vehicles to settings outside your intended
physically adjustable ranges.
(q) [Reserved]
(r) Unconditionally certify that all the vehicles in the vehicle
family comply with the requirements of this part, other referenced parts
of the CFR, and the Clean Air Act.
(s) Include good-faith estimates of U.S.-directed production volumes
by subfamily. We may require you to describe the basis of your
estimates.
(t) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1037.725 if you
plan to generate or use emission credits.
(u) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(v) Name an agent for service located in the United States. Service
on this agent constitutes service on you or any of your officers or
employees for any action by EPA or otherwise by the United States
related to the requirements of this part.
Sec. 1037.210 Preliminary approval before certification.
If you send us information before you finish the application, we may
review it and make any appropriate determinations. Decisions made under
this section are considered to be preliminary approval, subject to final
review and approval. We will generally not reverse a decision where we
have given you preliminary approval, unless we find new information
supporting a different decision. If you request preliminary approval
related to the upcoming model year or the model year after that, we will
make best-efforts to make the appropriate determinations as soon as
practicable. We will generally not provide preliminary approval related
to a future model year more than two years ahead of time.
[[Page 179]]
Sec. 1037.211 Preliminary approval for manufacturers of aerodynamic
devices.
(a) If you design or manufacture aerodynamic devices for trailers,
you may ask us to provide preliminary approval for the measured
performance of your devices. While decisions made under this section are
considered to be preliminary approval, we will not reverse a decision
where we have given you preliminary approval, unless we find new
information supporting a different decision. For example, where we
measure the performance of your device after giving you preliminary
approval and its measured performance is less than your data indicated,
we may rescind the preliminary approval of your test results.
(b) To request this, you must provide test data for DCdA
values as specified in Sec. 1037.150(u) or Sec. 1037.526. Trailer
manufacturers may use approved DCdA values as inputs under
Sec. 1037.515 to support their application for certification.
Sec. 1037.220 Amending maintenance instructions.
You may amend your emission-related maintenance instructions after
you submit your application for certification as long as the amended
instructions remain consistent with the provisions of Sec. 1037.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for a vehicle family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. If operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those vehicles from
in-use testing or deny a warranty claim.
(a) If you are decreasing or eliminating any specified maintenance,
you may distribute the new maintenance instructions to your customers 30
days after we receive your request, unless we disapprove your request.
This would generally include replacing one maintenance step with
another. We may approve a shorter time or waive this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions any
time after you send your request. For example, this paragraph (b) would
cover adding instructions to increase the frequency of filter changes
for vehicles in severe-duty applications.
(c) You need not request approval if you are making only minor
corrections (such as correcting typographical mistakes), clarifying your
maintenance instructions, or changing instructions for maintenance
unrelated to emission control. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
Sec. 1037.225 Amending applications for certification.
Before we issue you a certificate of conformity, you may amend your
application to include new or modified vehicle configurations, subject
to the provisions of this section. After we have issued your certificate
of conformity, you may send us an amended application requesting that we
include new or modified vehicle configurations within the scope of the
certificate, subject to the provisions of this section. You must amend
your application if any changes occur with respect to any information
that is included or should be included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add any vehicle configurations to a vehicle family that are not
already covered by your application. For example, if your application
identifies three possible engine models, and you plan to produce
vehicles using an additional engine model, then you must amend your
application before producing vehicles with the fourth engine model. The
added vehicle configurations must be consistent with other vehicle
configurations in the vehicle family with respect to the criteria listed
in Sec. 1037.230.
(2) Change a vehicle configuration already included in a vehicle
family in a way that may change any of the components you described in
your application for certification, or make any other changes that would
make the
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emissions inconsistent with the information in your application. This
includes production and design changes that may affect emissions any
time during the vehicle's lifetime.
(3) Modify an FEL for a vehicle family as described in paragraph (f)
of this section.
(b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the vehicle model
or configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended
vehicle family complies with all applicable requirements. You may do
this by showing that the original emission-data vehicle is still
appropriate for showing that the amended family complies with all
applicable requirements.
(3) If the original emission-data vehicle or emission modeling for
the vehicle family is not appropriate to show compliance for the new or
modified vehicle configuration, include new test data or emission
modeling showing that the new or modified vehicle configuration meets
the requirements of this part.
(4) Include any other information needed to make your application
correct and complete.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For vehicle families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified vehicle. You may ask for
a hearing if we deny your request (see Sec. 1037.820).
(e) For vehicle families already covered by a certificate of
conformity, you may start producing the new or modified vehicle
configuration any time after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected vehicles do not meet applicable
requirements, we will notify you to cease production of the vehicles and
may require you to recall the vehicles at no expense to the owner.
Choosing to produce vehicles under this paragraph (e) is deemed to be
consent to recall all vehicles that we determine do not meet applicable
emission standards or other requirements and to remedy the nonconformity
at no expense to the owner. If you do not provide information required
under paragraph (c) of this section within 30 days after we request it,
you must stop producing the new or modified vehicles.
(f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to vehicles
you have already introduced into U.S. commerce, except as described in
this paragraph (f). You may ask us to approve a change to your FEL in
the following cases:
(1) You may ask to raise your FEL for your vehicle subfamily at any
time. In your request, you must show that you will still be able to meet
the emission standards as specified in subparts B and H of this part.
Use the appropriate FELs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart H
of this part.
(2) Where testing applies, you may ask to lower the FEL for your
vehicle subfamily only if you have test data from production vehicles
showing that emissions are below the proposed lower FEL. Otherwise, you
may ask to lower your FEL for your vehicle subfamily at any time. The
lower FEL applies only to vehicles you produce after we approve the new
FEL. Use the appropriate FELs with corresponding production volumes to
calculate emission credits for the model year, as described in subpart H
of this part.
(3) You may ask to add an FEL for your vehicle family at any time.
(g) You may produce vehicles as described in your amended
application for certification and consider those vehicles to be in a
certified configuration if we approve a new or modified vehicle
configuration during the model year under paragraph (d) of this section.
Similarly, you may modify in-use vehicles as described in your amended
application for certification and consider those vehicles to be in a
certified configuration if we approve a new or modified vehicle
configuration at any time
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under paragraph (d) of this section. Modifying a new or in-use vehicle
to be in a certified configuration does not violate the tampering
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve
changing to a certified configuration with a higher family emission
limit. See Sec. 1037.621(g) for special provisions that apply for
changing to a different certified configuration in certain
circumstances.
Sec. 1037.230 Vehicle families, sub-families, and configurations.
(a) For purposes of certifying your vehicles to greenhouse gas
standards, divide your product line into families of vehicles based on
regulatory subcategories as specified in this section. Subcategories are
specified using terms defined in Sec. 1037.801. Your vehicle family is
limited to a single model year.
(1) Apply subcategories for vocational vehicles and vocational
tractors as shown in Table 1 of this section. This involves 15 separate
subcategories for Phase 2 vehicles to account for engine
characteristics, GVWR, and the selection of duty cycle for vocational
vehicles as specified in Sec. 1037.510; vehicles may additionally fall
into one of the subcategories defined by the custom-chassis standards in
Sec. 1037.105(h). Divide Phase 1 vehicles into three GVWR-based vehicle
service classes as shown in Table 1 of this section, disregarding
additional specified characteristics. Table 1 follows:
Table 1 of Sec. 1037.230--Vocational Vehicle Subcategories
----------------------------------------------------------------------------------------------------------------
Engine cycle Light HDV Medium HDV Heavy HDV
----------------------------------------------------------------------------------------------------------------
Compression-ignition................. Urban.................. Urban.................. Urban.
Multi-Purpose.......... Multi-Purpose.......... Multi-Purpose.
Regional............... Regional............... Regional.
----------------------------------------------------------------------------------------------------------------
Spark-ignition....................... Urban.................. Urban..................
Multi-Purpose.......... Multi-Purpose..........
Regional............... Regional...............
----------------------------------------------------------------------------------------------------------------
(2) Apply subcategories for tractors (other than vocational
tractors) as shown in Table 2 of this section. Vehicles may additionally
fall into one of the subcategories defined by the optional tractor
standards in Sec. 1037.670.
Table 2 of Sec. 1037.230--Tractor Subcategories
------------------------------------------------------------------------
------------------------------------------------------------------------
Class 7 Class 8
------------------------------------------------------------------------
Low-roof tractors............... Low-roof day cabs. Low-roof sleeper
cabs.
Mid-roof tractors............... Mid-roof day cabs. Mid-roof sleeper
cabs.
High-roof tractors.............. High-roof day cabs High-roof sleeper
cabs.
---------------------------------------
Heavy-haul tractors (starting with
Phase 2).
------------------------------------------------------------------------
(3) Apply subcategories for trailers as shown in the following
table:
Table 3 of Sec. 1037.230--Trailer Subcategories
------------------------------------------------------------------------
Partial-aero
Full-aero trailers trailers Other trailers
------------------------------------------------------------------------
Long dry box vans............... Long dry box vans. Non-aero trailers.
Short dry box vans.............. Short dry box vans Non-box trailers.
Long refrigerated box vans...... Long refrigerated
box vans..
Short refrigerated box vans..... Short refrigerated
box vans..
------------------------------------------------------------------------
(b) If the vehicles in your family are being certified to more than
one FEL, subdivide your greenhouse gas vehicle families into subfamilies
that include vehicles with identical FELs. Note that
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you may add subfamilies at any time during the model year.
(c) Group vehicles into configurations consistent with the
definition of ``vehicle configuration'' in Sec. 1037.801. Note that
vehicles with hardware or software differences that are related to
measured or modeled emissions are considered to be different vehicle
configurations even if they have the same modeling inputs and FEL. Note
also, that you are not required to separately identify all
configurations for certification. Note that you are not required to
identify all possible configurations for certification; also, you are
required to include in your end-of-year report only those configurations
you produced.
(d) You may combine dissimilar vehicles into a single vehicle family
in special circumstances as follows:
(1) For a Phase 1 vehicle model that straddles a roof-height, cab
type, or GVWR division, you may include all the vehicles in the same
vehicle family if you certify the vehicle family to the more stringent
standard. For roof height, this means you must certify to the taller
roof standards. For cab-type and GVWR, this means you must certify to
the numerically lower standards.
(2) For a Phase 2 vehicle model that includes a range of GVWR values
that straddle weight classes, you may include all the vehicles in the
same vehicle family if you certify the vehicle family to the numerically
lower CO2 emission standard from the affected service
classes. Vehicles that are optionally certified to a more stringent
standard under this paragraph (d)(2) are subject to useful-life and all
other provisions corresponding to the weight class with the numerically
lower CO2 emission standard. For a Phase 2 tractor model that
includes a range of roof heights that straddle subcategories, you may
include all the vehicles in the same vehicle family if you certify the
vehicle family to the appropriate subcategory as follows:
(i) You may certify mid-roof tractors as high-roof tractors, but you
may not certify high-roof tractors as mid-roof tractors.
(ii) For tractor families straddling the low-roof/mid-roof division,
you may certify the family based on the primary roof-height as long as
no more than 10 percent of the tractors are certified to the otherwise
inapplicable subcategory. For example, if 95 percent of the tractors in
the family are less than 120 inches tall, and the other 5 percent are
122 inches tall, you may certify the tractors as a single family in the
low-roof subcategory.
(iii) Determine the appropriate aerodynamic bin number based on the
actual roof height if you measure a CdA value. However, use
the GEM input for the bin based on the standards to which you certify.
For example, of you certify as mid-roof tractors some low-roof tractors
with a measured CdA value of 4.2 m\2\, they qualify as Bin
IV; and you must input into GEM the mid-roof Bin IV value of 5.85 m\2\.
(3) You may include refrigerated box vans in a vehicle family with
dry box vans by treating them all as dry box vans for demonstrating
compliance with emission standards. You may include certain other types
of trailers in a vehicle family with a different type of trailer, such
that the combined set of trailers are all subject to the more stringent
standards, as follows:
(i) Standards for long trailers are more stringent than standards
for short trailers.
(ii) Standards for long dry box vans are more stringent than
standards for short refrigerated box vans.
(iii) Standards for non-aero box vans are more stringent than
standards for non-box trailers.
(e) You may divide your families into more families than specified
in this section.
(f) You may ask us to allow you to group into the same configuration
vehicles that have very small body hardware differences that do not
significantly affect drag areas.
Sec. 1037.231 Powertrain families.
(a) If you choose to perform powertrain testing as specified in
Sec. 1037.550, use good engineering judgment to divide your product
line into powertrain families that are expected to have similar fuel
consumptions and CO2 emission characteristics throughout the
useful life. Your powertrain
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family is limited to a single model year.
(b) Except as specified in paragraph (c) of this section, group
powertrains in the same powertrain family if they share all the
following attributes:
(1) Engine family.
(2) Shared vehicle service class grouping, as follows:
(i) Light HDV or Medium HDV.
(ii) Heavy HDV other than heavy-haul tractors.
(iii) Heavy-haul tractors.
(3) Number of clutches.
(4) Type of clutch (e.g., wet or dry).
(5) Presence and location of a fluid coupling such as a torque
converter.
(6) Gear configuration, as follows:
(i) Planetary (e.g., simple, compound, meshed-planet, stepped-
planet, multi-stage).
(ii) Countershaft (e.g., single, double, triple).
(iii) Continuously variable (e.g., pulley, magnetic, toroidal).
(7) Number of available forward gears, and transmission gear ratio
for each available forward gear, if applicable.
(8) Transmission oil sump configuration (e.g., conventional or dry).
(9) The power transfer configuration of any hybrid technology (e.g.,
series or parallel).
(10) The energy storage device and capacity of any hybrid technology
(e.g., 10 MJ hydraulic accumulator, 10 kW[middot] hr Lithium-ion battery
pack, 10 MJ ultracapacitor bank).
(11) The rated output of any hybrid mechanical power technology
(e.g., 50 kW electric motor).
(c) For powertrains that share all the attributes described in
paragraph (b) of this section, divide them further into separate
powertrain families based on common calibration attributes. Group
powertrains in the same powertrain family to the extent that powertrain
test results and corresponding emission levels are expected to be
similar throughout the useful life.
(d) You may subdivide a group of powertrains with shared attributes
under paragraph (b) of this section into different powertrain families.
(e) In unusual circumstances, you may group powertrains into the
same powertrain family even if they do not have shared attributes under
in paragraph (b) of this section if you show that their emission
characteristics throughout the useful life will be similar.
(f) If you include the axle when performing powertrain testing for
the family, you must limit the family to include only those axles
represented by the test results. You may include multiple axle ratios in
the family if you test with the axle expected to produce the highest
emission results.
Sec. 1037.232 Axle and transmission families.
(a) If you choose to perform axle testing as specified in Sec.
1037.560 or transmission testing as specified in Sec. 1037.565, use
good engineering judgment to divide your product line into axle or
transmission families that are expected to have similar hardware, noting
that efficiencies can differ across the members of a family. Note that,
while there is no certification for axle and transmission families under
this part, vehicle manufacturers may rely on axle and transmission test
data to certify their vehicles.
(b) Except as specified in paragraph (d) of this section, group
axles in the same axle family if they have the same number of drive
axles and the same load rating.
(c) Except as specified in paragraph (d) of this section, group
transmissions in the same transmission family if they share all the
following attributes:
(1) Number and type of clutches (wet or dry).
(2) Presence and location of a fluid coupling such as a torque
converter.
(3) Gear configuration, as follows:
(i) Planetary (e.g., simple, compound, meshed-planet, stepped-
planet, multi-stage).
(ii) Countershaft (e.g., single, double, triple).
(iii) Continuously variable (e.g., pulley, magnetic, toroidal). Note
that GEM does not accommodate efficiency testing for continuously
variable transmissions.
(4) Transmission oil sump configuration (conventional or dry).
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(d) You may subdivide a group of axles or powertrains with shared
attributes under paragraph (b) or (c) of this section into different
families.
Sec. 1037.235 Testing requirements for certification.
This section describes the emission testing you must perform to show
compliance with respect to the greenhouse gas emission standards in
subpart B of this part, and to determine any input values from
Sec. Sec. 1037.515 and 1037.520 that involve measured quantities.
(a) Select emission-data vehicles that represent production vehicles
and components for the vehicle family consistent with the specifications
in Sec. Sec. 1037.205(o), 1037.515, and 1037.520. Where the test
results will represent multiple vehicles or components with different
emission performance, use good engineering judgment to select worst-case
emission data vehicles or components. In the case of powertrain testing
under Sec. 1037.550, select a test engine and test transmission by
considering the whole range of vehicle models covered by the powertrain
family and the mix of duty cycles specified in Sec. 1037.510.
(b) Test your emission-data vehicles (including emission-data
components) using the procedures and equipment specified in subpart F of
this part. Measure emissions (or other parameters, as applicable) using
the specified procedures.
(c) We may perform confirmatory testing by measuring emissions (or
other parameters, as applicable) from any of your emission-data
vehicles.
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the vehicle or component to a
test facility we designate. The vehicle or component you provide must be
in a configuration that is suitable for testing. For example, vehicles
must have the tires you used for testing, and tractors must be set up
with the trailer you used for testing. If we do the testing at your
plant, you must schedule it as soon as possible and make available the
instruments, personnel, and equipment we need (see paragraph (g) of this
section for provisions that apply specifically for testing a tractor's
aerodynamic performance).
(2) If we measure emissions (or other parameters, as applicable)
from your vehicle or component, the results of that testing become the
official emission results for the vehicle or component. Note that
changing the official emission result does not necessarily require a
change in the declared modeling input value. Unless we later invalidate
these data, we may decide not to consider your data in determining if
your vehicle family meets applicable requirements.
(3) Before we test one of your vehicles or components, we may set
its adjustable parameters to any point within the physically adjustable
ranges, if applicable.
(4) Before we test one of your vehicles or components, we may
calibrate it within normal production tolerances for anything we do not
consider an adjustable parameter. For example, this would apply for a
vehicle parameter that is subject to production variability because it
is adjustable during production, but is not considered an adjustable
parameter (as defined in Sec. 1037.801) because it is permanently
sealed. For parameters that relate to a level of performance that is
itself subject to a specified range (such as maximum power output), we
will generally perform any calibration under this paragraph (c)(4) in a
way that keeps performance within the specified range. Note that this
paragraph (c)(4) does not allow us to test your vehicles in a condition
that would be unrepresentative of production vehicles.
(d) You may ask to use carryover data for a vehicle or component
from a previous model year instead of doing new tests if the applicable
emission-data vehicle from the previous model year remains the
appropriate emission-data vehicle under paragraph (b) of this section.
(e) We may require you to test a second vehicle or component of the
same configuration in addition to the vehicle or component tested under
paragraph (a) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent
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to the procedures specified in subpart F of this part, we may reject
data you generated using the alternate procedure.
(g) We may perform testing to verify your aerodynamic drag area
values using any method specified in subpart F of this part. The
following additional provisions apply:
(1) We intend to use the same aerodynamic test facility you used,
and if you provide any instruments you used, we intend to use those
instruments to perform our testing.
(2) We may perform coastdown testing to verify your tractor drag
area for any certified configuration. If you use an alternate method for
determining aerodynamic drag area for tractors, we may perform testing
to verify Falt-aero as specified in subpart F of this part.
(3) We may test trailers (and devices receiving preliminary
approval) using the wind-tunnel method described in Sec. 1037.530. We
may also test using an alternate method; however, we will determine how
to appropriately correct or correlate those results to testing with the
wind-tunnel method.
(h) You may ask us to use analytically derived GEM inputs for
untested configurations as identified in subpart F of this part based on
interpolation of all relevant measured values for related
configurations, consistent with good engineering judgment. We may
establish specific approval criteria base on prevailing industry
practice. If we allow this, we may test any configurations. We may also
require you to test any configurations as part of a selective
enforcement audit.
Sec. 1037.241 Demonstrating compliance with exhaust emission
standards for greenhouse gas pollutants.
(a) Compliance determinations for purposes of certification depend
on whether or not you participate in the ABT program in subpart H of
this part.
(1) If none of your vehicle families generate or use emission
credits in a given model year,, each of your vehicle families is
considered in compliance with the CO2 emission standards in
Sec. Sec. 1037.105 through 1037.107 if all vehicle configurations in
the family have calculated or modeled CO2 emission rates from
Sec. 1037.515 or Sec. 1037.520 that are at or below the applicable
standards. A vehicle family is deemed not to comply if any vehicle
configuration in the family has a calculated or modeled CO2
emission rate that is above the applicable standard.
(2) If you generate or use emission credits with one or more vehicle
families in a given model year, your vehicle families within an
averaging set are considered in compliance with the CO2
emission standards in Sec. Sec. 1037.105 through 1037.107 if the sum of
positive and negative credits for all vehicle configurations in those
vehicle families lead to a zero balance or a positive balance of
credits, except as allowed bySec. 1037.745. Note that the FEL is
considered to be the applicable emission standard for an individual
configuration.
(b) For non-box trailers and non-aero box vans, your vehicle family
is considered in compliance with the emission standards if all vehicle
configurations in that family meet specified design standards and have
TRRL values at or below the specified standard. Your family is deemed
not to comply for certification if any trailer does not meet specified
design standards or if any vehicle configuration in that family has a
measured TRRL value above the specified standard.
(c) We may require you to provide an engineering analysis showing
that the performance of your emission controls will not deteriorate
during the useful life with proper maintenance. If we determine that
your emission controls are likely to deteriorate during the useful life,
we may require you to develop and apply deterioration factors consistent
with good engineering judgment. For example, you may need to apply a
deterioration factor to address deterioration of battery performance for
a hybrid electric vehicle. Where the highest useful life emissions occur
between the end of useful life and at the low-hour test point, base
deterioration factors for the vehicles on the difference between (or
ratio of) the point at which the highest emissions occur and the low-
hour test point.
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Sec. 1037.243 Demonstrating compliance with evaporative emission
standards.
(a) For purposes of certification, your vehicle family is considered
in compliance with the evaporative emission standards in subpart B of
this part if you prepare an engineering analysis showing that your
vehicles in the family will comply with applicable standards throughout
the useful life, and there are no test results from an emission-data
vehicle representing the family that exceed an emission standard.
(b) Your evaporative emission family is deemed not to comply if your
engineering analysis is not adequate to show that all the vehicles in
the family will comply with applicable emission standards throughout the
useful life, or if a test result from an emission-data vehicle
representing the family exceeds an emission standard.
(c) To compare emission levels with emission standards, apply
deterioration factors to the measured emission levels. Establish an
additive deterioration factor based on an engineering analysis that
takes into account the expected aging from in-use vehicles.
(d) Apply the deterioration factor to the official emission result,
as described in paragraph (c) of this section, then round the adjusted
figure to the same number of decimal places as the emission standard.
Compare the rounded emission levels to the emission standard for each
emission-data vehicle.
(e) Your analysis to demonstrate compliance with emission standards
must take into account your design strategy for vehicles that require
testing. Specifically, vehicles above 14,000 pounds GVWR are presumed to
need the same technologies that are required for heavy-duty vehicles at
or below 14,000 pounds GVWR. Similarly, your analysis to establish a
deterioration factor must take into account your testing to establish
deterioration factors for smaller vehicles.
Sec. 1037.250 Reporting and recordkeeping.
(a) Within 90 days after the end of the model year, send the
Designated Compliance Officer a report including the total U.S.-directed
production volume of vehicles you produced in each vehicle family during
the model year (based on information available at the time of the
report). Report by vehicle identification number and vehicle
configuration and identify the subfamily identifier. Report uncertified
vehicles sold to secondary vehicle manufacturers. We may waive the
reporting requirements of this paragraph (a) for small manufacturers.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.
(2) Any of the information we specify in Sec. 1037.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data vehicle (including
emission-related components), if applicable.
(4) Production figures for each vehicle family divided by assembly
plant.
(5) Keep a list of vehicle identification numbers for all the
vehicles you produce under each certificate of conformity. Also identify
the technologies that make up the certified configuration for each
vehicle you produce.
(c) Keep required data from emission tests and all other information
specified in this section for eight years after we issue your
certificate. If you use the same emission data or other information for
a later model year, the eight-year period restarts with each year that
you continue to rely on the information.
(d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we ask
for them. You must keep these records readily available. We may review
them at any time.
(e) If you fail to properly keep records or to promptly send us
information as required under this part, we may require that you submit
the information specified in this section after each calendar quarter,
and we may require that you routinely send us information that the
regulation requires you to submit only if we request it. If we find that
you are fraudulent or grossly negligent or otherwise act in bad faith
regarding information reporting and recordkeeping, we may require that
you send us a detailed description
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of the certified configuration for each vehicle before you produce it.
Sec. 1037.255 What decisions may EPA make regarding my certificate
of conformity?
(a) If we determine your application is complete and shows that the
vehicle family meets all the requirements of this part and the Act, we
will issue a certificate of conformity for your vehicle family for that
model year. We may make the approval subject to additional conditions.
(b) We may deny your application for certification if we determine
that your vehicle family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
(3) Render any test data inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce vehicles for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
(6) Fail to supply requested information or amend your application
to include all vehicles being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part, with respect to your vehicle family.
(d) We may void the certificate of conformity for a vehicle family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also violations
of 40 CFR 1068.101(a)(2).
(e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
(f) If we deny your application or suspend, revoke, or void your
certificate, you may ask for a hearing (see Sec. 1037.820).
Subpart D_Testing Production Vehicles and Engines
Sec. 1037.301 Overview of measurements related to GEM inputs
in a selective enforcement audit.
(a) We may require you to perform selective enforcement audits under
40 CFR part 1068, subpart E, with respect to any GEM inputs in your
application for certification. Sections 1037.305 through 1037.315
describe how this applies uniquely in certain circumstances.
(b) A selective enforcement audit for this part 1037 consists of
performing measurements with production vehicles relative to one or more
declared values for GEM inputs, and using those measured values in place
of your declared values to run GEM. Except as specified in this subpart,
the vehicle is considered passing if the new modeled emission result is
at or below the modeled emission result corresponding to the declared
GEM inputs. If you report an FEL for the vehicle configuration before
the audit, we will instead consider the vehicle passing if the new
cycle-weighted emission result matches or exceeds the efficiency
improvement is at or below the FEL.
(c) We may audit your production components and your records to
confirm that physical parameters are correct, such as dimensional
accuracy and material selection. We may also audit your records to
confirm that you are properly documenting the certified configurations
of production vehicles.
(d) Selective enforcement audit provisions for fuel maps apply to
engine manufacturers as specified in 40 CFR 1036.301. See Sec. 1037.315
for selective enforcement audit provisions applicable to powertrain fuel
maps.
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(e) We may suspend or revoke certificates based on the outcome of a
selective enforcement audit for any appropriate configurations within
one or more vehicle families.
(f) We may apply selective enforcement audit provisions with respect
to off-cycle technologies, with any necessary modifications, consistent
with good engineering judgment.
Sec. 1037.305 Audit procedures for tractors--aerodynamic testing.
To perform a selective enforcement audit with respect to drag area
for tractors, use the reference method specified in Sec. 1037.525; we
may instead require you to use the same method you used for
certification. The following provisions apply instead of 40 CFR 1068.420
for a selective enforcement audit with respect to drag area:
(a) Determine whether or not a tractor fails to meet standards as
follows:
(1) We will select a vehicle configuration for testing. Perform a
coastdown measurement with the vehicle in its production configuration
according to Sec. 1037.528. Instead of the process described in Sec.
1037.528(h)(12), determine your test result as described in this
paragraph (a). You must have an equal number of runs in each direction.
(2) Measure a yaw curve for your test vehicle using your alternate
method according to Sec. 1037.525(b)(3). You do not need to test at the
coastdown effective. You may use a previously established yaw curve from
your certification testing if it is available.
(3) Using this yaw curve, perform a regression using values of drag
area, CdAalt, and yaw angle, calt, to
determine the air-direction correction coefficients, a0,
a1, a2, a3, and a4, for the
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.083
(4) Adjust the drag area value from each coastdown run,
CdArun, from the yaw angle of each run,
crun, to 4.5 deg. to represent a wind-
averaged drag area value, CdAwa by applying Eq.
1037.305-1 as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.084
(5) Perform additional coastdown measurements until you reach a pass
or fail decision under this paragraph (a).
(6) Calculate statistical values to characterize cumulative test
results at least once per day based on an equal number of coastdown runs
in each direction. Determine the wind-averaged drag area value for the
test CdAwa by averaging all
CdAwa-run values for all days of testing.
Determine the upper and lower bounds of the drag area value,
CdAwa-bounded, expressed to two decimal places,
using a confidence interval as follows:
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[GRAPHIC] [TIFF OMITTED] TR25OC16.085
Where:
CdAwa-boundeded = the upper bound,
CdAwa-upper, and lower bound,
CdAwa-lower, of the drag area value,
where CdAwa-upper is the larger number.
CdAwa = the average of all
CdAwa-run values.
s = the standard deviation of all CdArun values
(see 40 CFR 1065.602(c)).
n = the total number of coastdown runs.
(7) Compliance is determined based on the values of
CdAwa-upper and CdAwa-lower
relative to the adjusted bin boundary. For purposes of this section, the
upper limit of a bin is expressed as the specified value plus 0.05 to
account for rounding. For example, for a bin including values of 5.5-5.9
m\2\, being above the upper limit means exceeding 5.95. The vehicle
reaches a pass or fail decision relative to the adjusted bin boundary
based on one of the following criteria:
(i) The vehicle passes if CdAwa-upper is less
than or equal to the upper limit of the bin to which you certified the
vehicle.
(ii) The vehicle fails if CdAwa-lower is
greater than the upper limit of the bin to which you certified the
vehicle.
(iii) The vehicle passes if you perform 100 coastdown runs and
CdAwa-upper is greater than and
CdAwa-lower is lower than the upper limit of the
bin to which you certified the vehicle.
(iv) The vehicle fails if you choose to stop testing before reaching
a final determination under this paragraph (a)(7).
(b) If you reach a pass decision on the first test vehicle, the
emission family passes the SEA and you may stop testing. If you reach a
fail decision on the first test vehicle, repeat the testing described in
paragraph (a) of this section for two additional vehicles of the same
configuration, or of a different configuration that we specify. Continue
testing two additional vehicles for each failing vehicle until you reach
a pass or fail decision for the family based on one of the following
criteria:
(1) The emission family passes if at any point more than 50 percent
of the vehicles have reached a pass decision.
(2) The emission family fails if six vehicles reach a fail decision.
(3) The emission family passes if you test 11 vehicles with five or
fewer vehicles reaching a fail decision.
(4) The emission family fails if you choose to stop testing before
reaching a final determination under this paragraph (b).
(c) We may suspend a certificate of conformity as described in 40
CFR 1068.430 if your emission family fails an SEA, subject to the
following provisions:
(1) We may reinstate a suspended certificate if you revise
Falt-aero or make other changes to your testing methodology
to properly correlate your testing to the reference method specified in
Sec. 1037.525.
(2) We may require you to apply any adjustments and corrections
determined under paragraph (c)(1) of this section to your other emission
families in any future application for certification.
(d) If we test some of your vehicles in addition to your testing, we
may decide not to include your test results as official data for those
vehicles if there is substantial disagreement between your testing and
our testing. We will reinstate your data as valid if you show us that we
made an error and your data are correct. If we perform testing, we may
choose to stop testing after any number of tests and not determine a
failure.
(e) If we rely on our test data instead of yours, we will notify you
in writing of our decision and the reasons we believe your facility is
not appropriate for doing the tests we require under this paragraph (b).
You may request in
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writing that we consider your test results from the same facility for
future testing if you show us that you have made changes to resolve the
problem.
(f) We may allow you to perform additional replicate tests with a
given vehicle or to test additional vehicles, consistent with good
engineering judgment.
(g) You must assign the appropriate CdA bin for your
compliance demonstration at the end of the model year for every
configuration you tested that failed under this section.
Sec. 1037.310 Audit procedures for trailers.
(a) We may audit trailer manufacturers to ensure that trailers are
being produced to conform with the certificate of conformity. If this
involves aerodynamic measurements, we will specify how to adapt the
protocol described in Sec. 1037.305 to appropriately evaluate trailer
performance.
(b) We may require device manufacturers that obtain preliminary
approval under Sec. 1037.211 to perform aerodynamic testing of
production samples of approved devices to ensure that the devices
conform to the approved configuration.
Sec. 1037.315 Audit procedures related to powertrain testing.
(a) For vehicles certified based on powertrain testing as specified
in Sec. 1037.550, we may apply the selective enforcement audit
requirements to the powertrain. If engine manufacturers perform the
powertrain testing and include those results in their certification
under 40 CFR part 1036, they are responsible for selective enforcement
audits related to those results. Otherwise, the certificate holder for
the vehicle is responsible for the selective enforcement audit.
(b) The following provisions apply for a selective enforcement audit
with respect to powertrain testing:
(1) A selective enforcement audit for powertrains would generally
consist of performing a test with the complete powertrain (engine and
transmission together). We may alternatively allow you to test the
engine on a dynamometer with no installed transmission as described in
Sec. 1037.551.
(2) Recreate a set of test results for each of three separate
powertrains. Generate GEM results for each of the configurations that
are defined as the centers of each group of four points that define a
boundary of cycle work and average powertrain speed divided by average
vehicle speed, for each of the three selected powertrains. See 40 CFR
1036.301(b)(2) for an example on how these points are defined. Each
unique map for a given configuration with a particular powertrain
constitutes a separate test for purposes of evaluating whether the
vehicle family meets the pass-fail criteria under 40 CFR 1068.420. The
test result for a single test run in the audit is considered passing if
it is at or below the value selected as an input for GEM. Perform
testing with the same GEM configurations for additional powertrains as
needed to reach a pass-fail decision under 40 CFR 1068.240.
Sec. 1037.320 Audit procedures for axles and transmissions.
Selective enforcement audit provisions apply for axles and
transmissions relative to the efficiency demonstrations of Sec. Sec.
1037.560 and 1037.565 as follows:
(a) A selective enforcement audit for axles or transmissions would
consist of performing measurements with a production axle or
transmission to determine mean power loss values as declared for GEM
simulations, and running GEM over one or more applicable duty cycles
based on those measured values. The engine is considered passing for a
given configuration if the new modeled emission result for every
applicable duty cycle is at or below the modeled emission result
corresponding to the declared GEM inputs.
(b) Run GEM for each applicable vehicle configuration identified in
40 CFR 1036.540. For axle testing, this may require omitting several
vehicle configurations based on selecting axle ratios that correspond to
the tested axle. The GEM result for each vehicle configuration counts as
a separate test for determining whether the family passes or fails the
audit. Select additional production axles or transmissions to perform
additional tests as needed.
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