[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2022 Edition]
[From the U.S. Government Publishing Office]

[[Page i]]

Title 40

Protection of Environment

________________________

Parts 1000 to 1059

Revised as of July 1, 2022

Containing a codification of documents of general
applicability and future effect

As of July 1, 2022
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........................ 807
Alphabetical List of Agencies Appearing in the CFR...... 827
List of CFR Sections Affected........................... 837

[[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
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
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
volume.

LEGAL STATUS

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collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as
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[[Page vii]]

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Oliver A. Potts,
Director,
Office of the Federal Register
July 1, 2022

[[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 82-84, parts 85-96, parts 97-99, 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, 2022.

Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. OMB control numbers for title 40 appear in Sec. 9.1 of
this chapter.

Chapters IV-IX--Regulations issued by the Environmental Protection
Agency and Department of Justice, Council on Environmental Quality,
Chemical Safety and Hazard Investigation Board, Environmental Protection
Agency and Department of Defense; Uniform National Discharge Standards
for Vessels of the Armed Forces, Gulf Coast Ecosystem Restoration
Council, and the Federal Permitting Improvement Steering Council appear
in volume thirty-seven.

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)

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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 vehicle and engine compliance
programs................................ 5
1030 Control of greenhouse gas emissions from
engines installed on airplanes.......... 12
1033 Control of emissions from locomotives....... 16
1036 Control of emissions from new and in-use
heavy-duty highway engines.............. 95
1037 Control of emissions from new heavy-duty
motor vehicles.......................... 226
1039 Control of emissions from new and in-use
nonroad compression-ignition engines.... 370
1042 Control of emissions from new and in-use
marine compression-ignition engines and
vessels................................. 461
1043 Control of NOX, SOX,
and PM emissions from marine engines and
vessels subject to the MARPOL protocol.. 549
1045 Control of emissions from spark-ignition
propulsion marine engines and vessels... 560
1048 Control of emissions from new, large nonroad
spark-ignition engines.................. 622
1051 Control of emissions from recreational
engines and vehicles.................... 679
1054 Control of emissions from new, small nonroad
spark-ignition engines and equipment.... 741

[[Page 5]]

SUBCHAPTER U_AIR POLLUTION CONTROLS

PARTS 1000 1026 [RESERVED]

PART 1027_FEES FOR VEHICLE AND ENGINE 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 motor vehicle and engine compliance program (MVECP).
This includes activities related to approving certificates of conformity
and performing tests and taking other steps to verify compliance with
emission standards in this part. 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
1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR
part 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 1042 or 1043.
(iv) Marine spark-ignition engines and vessels we regulate under 40
CFR part 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 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) [Reserved]
(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 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

[[Page 6]]

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; 86
FR 34373, June 29, 2021]

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 that apply for certificates
received in 2020. See paragraph (c) of this section for provisions
describing how we calculate fees for 2021 and later years.
(b) The following baseline fees apply for each application for
certification:
(1) Except as specified in paragraph (b)(2) of this section for
Independent Commercial Importers, the following fees apply in 2020 for
motor vehicles and motor vehicle engines:

------------------------------------------------------------------------
Category 1 Certificate type Fee
------------------------------------------------------------------------
(i) Light-duty vehicles, light- Federal............. $27,347
duty trucks, medium-duty
passenger vehicle, and complete
heavy-duty highway vehicles.
(ii) Light-duty vehicles, light- California-only..... 14,700
duty trucks, medium-duty
passenger vehicle, and complete
heavy-duty highway vehicles.
(iii) Heavy-duty highway engine... Federal............. 56,299
(iv) Heavy-duty highway engine.... California-only..... 563
(v) Heavy-duty vehicle............ Evap................ 563
(vi) Highway motorcycle, including All................. 1,852
Independent Commercial Importers.
------------------------------------------------------------------------
\1\ The specified categories include engines and vehicles that use all
applicable fuels.

(2) A fee of $87,860 applies in 2020 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 in 2020 for nonroad and stationary
engines, vehicles, equipment, and components:

------------------------------------------------------------------------
Category 1 Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $563
engines.
(ii) Marine compression-ignition All, including EIAPP 563
engines and stationary
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
(iii) Other nonroad compression- All................. 2,940
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines and All................. 563
stationary spark-ignition engines
above 19 kW.
(v) Marine SI engines. Small SI Exhaust only........ 563
engines, and stationary spark-
ignition engines at or below 19
kW.
(vi) Recreational vehicles........ Exhaust (or combined 563
exhaust and evap).
(vii) Equipment and fuel-system Evap (where separate 397
components associated with certification is
nonroad and stationary spark- required).
ignition engines, including
portable fuel containers..
------------------------------------------------------------------------

(c) We will calculate adjusted fees for 2021 and 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 March 31 of the
preceding year.
(1) We will adjust the values specified in paragraph (b) of this
section for years after 2020 as follows:
(i) Use the following equation for certification related to
evaporative emissions from nonroad and stationary engines when a
separate fee applies for certification to evaporative emission
standards:

[[Page 7]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.011

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. as described in paragraph (d)(2) of
this section
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:
[GRAPHIC] [TIFF OMITTED] TR29JN21.012

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 paragraph (b)(2) of this
section................................
(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 Urban Consumers at
https://www.usinflationcalculator.com/under ``Inflation and Prices'' and
``Consumer Price Index Data from 1913 to. . . .''. 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

[[Page 8]]

on the grouping shown in paragraph (d)(1) of this section.

[86 FR 34373, June 29, 2021]

Sec. 1027.110 What special provisions apply for certification related
to motor vehicles?

(a) We will adjust fees 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.

[73 FR 59184, Oct. 8, 2008, as amended at 86 FR 34375, June 29, 2021]

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 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

[[Page 9]]

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
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.

[[Page 10]]

(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 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

[[Page 11]]

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 online at www.Pay.gov, or as
specified in our guidance.
(f) You may request to have refund amounts applied to the amount due
on another application for certification.

[73 FR 59184, Oct. 8, 2008, as amended at 86 FR 34375, June 29, 2021]

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 electronic funds transfer or any method available for
payment online at www.Pay.gov, or as specified in EPA guidance.
(b) Submit a completed fee filing form at www.Pay.gov.
(c) You must pay the fee amount due before we will start to process
an application for certification.
(d) If we deny a reduced fee, you must pay the proper fee within 30
days after we notify you of our decision.

[73 FR 59184, Oct. 8, 2008, as amended at 86 FR 34375, June 29, 2021]

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) We will hold a deficient filing along with any payment until we
receive a completed form and full payment. If the filing remains
deficient at the end of the model year, we will continue to hold any
funds associated with the filing so you can make a timely request for a
refund. We will not process

[[Page 12]]

an application for certification if the associated filing is deficient.

[73 FR 59184, Oct. 8, 2008, as amended at 86 FR 34375, June 29, 2021]

Sec. 1027.140 What reporting and recordkeeping requirements apply under
this part?

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:

Table 1 to Sec. 1027.155
------------------------------------------------------------------------

------------------------------------------------------------------------
CFR.............................. Code of Federal Regulations.
CPI.............................. Consumer Price Index.
EPA.............................. U.S. Environmental Protection Agency.
Evap............................. Evaporative emissions.
EIAPP............................ Engine International Air Pollution
Prevention (from MARPOL Annex VI).
ICI.............................. Independent Commercial Importer.
MVECP............................ Motor vehicle and engine compliance
program.
MY............................... Model year.
U.S.............................. United States.
------------------------------------------------------------------------

[86 FR 34375, June 29, 2021]

PART 1030_CONTROL OF GREENHOUSE GAS EMISSIONS FROM ENGINES INSTALLED ON
AIRPLANES--Table of Contents

Scope and Applicability

Sec.
1030.1 Applicability.
1030.5 State standards and controls.
1030.10 Exemptions.

Subsonic Airplane Emission Standards and Measurement Procedures

1030.20 Fuel efficiency metric.
1030.23 Specific air range (SAR).
1030.25 Reference geometric factor (RGF).
1030.30 GHG emission standards.
1030.35 Change criteria.
1030.98 Confidential business information.

Reference Information

1030.100 Abbreviations.
1030.105 Definitions.
1030.110 Incorporation by reference.

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

Source: 86 FR 2171, Jan. 11, 2021, unless otherwise noted.

[[Page 13]]

Scope and Applicability

Sec. 1030.1 Applicability.

(a) Except as provided in paragraph (c) of this section, when an
aircraft engine subject to 40 CFR part 87 is installed on an airplane
that is described in this section and subject to title 14 of the Code of
Federal Regulations, the airplane may not exceed the Greenhouse Gas
(GHG) standards of this part when original civil certification under
title 14 is sought.
(1) A subsonic jet airplane that has--
(i) A type certificated maximum passenger seating capacity of 20
seats or more;
(ii) A maximum takeoff mass (MTOM) greater than 5,700 kg; and
(iii) An application for original type certification that is
submitted on or after January 11, 2021.
(2) A subsonic jet airplane that has--
(i) A type certificated maximum passenger seating capacity of 19
seats or fewer;
(ii) A MTOM greater than 5,700 kg, but not greater than 60,000 kg;
and
(iii) An application for original type certification that is
submitted on or after January 1, 2023.
(3) A propeller-driven airplane that has--
(i) A MTOM greater than 8,618 kg; and
(ii) An application for original type certification that is
submitted on or after January 1, 2020.
(4) A subsonic jet airplane--
(i) That is a modified version of an airplane whose original type
certificated version was not required to have GHG emissions
certification under this part;
(ii) That has a MTOM greater than 5,700 kg;
(iii) For which an application for the modification in type design
is submitted on or after January 1, 2023; and
(iv) For which the first certificate of airworthiness is issued for
an airplane built with the modified design.
(5) A propeller-driven airplane--
(i) That is a modified version of an airplane whose original type
certificated version was not required to have GHG emissions
certification under this part;
(ii) That has a MTOM greater than 8,618 kg;
(iii) For which an application for certification that is submitted
on or after January 1, 2023; and
(iv) For which the first certificate of airworthiness is issued for
an airplane built with the modified design.
(6) A subsonic jet airplane that has--
(i) A MTOM greater than 5,700 kg; and
(ii) Its first certificate of airworthiness issued on or after
January 1, 2028.
(7) A propeller-driven airplane that has--
(i) A MTOM greater than 8,618 kg; and
(ii) Its first certificate of airworthiness issued on or after
January 1, 2028.
(b) An airplane that incorporates modifications that change the fuel
efficiency metric value of a prior version of airplane may not exceed
the GHG standards of this part when certification under 14 CFR is
sought. The criteria for modified airplanes are described in Sec.
1030.35. A modified airplane may not exceed the metric value limit of
the prior version under Sec. 1030.30.
(c) The requirements of this part do not apply to:
(1) Subsonic jet airplanes having a MTOM at or below 5,700 kg.
(2) Propeller-driven airplanes having a MTOM at or below 8,618 kg.
(3) Amphibious airplanes.
(4) Airplanes initially designed, or modified and used, for
specialized operations. These airplane designs may include
characteristics or configurations necessary to conduct specialized
operations that the EPA and the FAA have determined may cause a
significant increase in the fuel efficiency metric value.
(5) Airplanes designed with a reference geometric factor of zero.
(6) Airplanes designed for, or modified and used for, firefighting.
(7) Airplanes powered by piston engines

Sec. 1030.5 State standards and controls.

No State or political subdivision of a State may adopt or attempt to
enforce any airplane or aircraft engine standard with respect to
emissions unless the standard is identical to a standard

[[Page 14]]

that applies to airplanes under this part.

Sec. 1030.10 Exemptions.

Each person seeking relief from compliance with this part at the
time of certification must submit an application for exemption to the
FAA in accordance with the regulations of 14 CFR parts 11 and 38. The
FAA will consult with the EPA on each exemption application request
before the FAA takes action.

Subsonic Airplane Emission Standards and Measurement Procedures

Sec. 1030.20 Fuel efficiency metric.

For each airplane subject to this part, including an airplane
subject to the change criteria of Sec. 1030.35, a fuel efficiency
metric value must be calculated in units of kilograms of fuel consumed
per kilometer using the following equation, rounded to three decimal
places:
[GRAPHIC] [TIFF OMITTED] TR11JA21.017

Where:

SAR = specific air range, determined in accordance with Sec. 1030.23.
RGF = reference geometric factor, determined in accordance with Sec.
1030.25.

Sec. 1030.23 Specific air range (SAR).

(a) For each airplane subject to this part the SAR of an airplane
must be determined by either:
(1) Direct flight test measurements; or
(2) Using a performance model that is:
(i) Validated by actual SAR flight test data; and
(ii) Approved by the FAA before any SAR calculations are made.
(b) For each airplane model, establish a 1/SAR value at each of the
following reference airplane masses:
(1) High gross mass: 92 percent maximum takeoff mass (MTOM).
(2) Low gross mass: (0.45 * MTOM) + (0.63 * (MTOM[supcaret]0.924)).
(3) Mid gross mass: Simple arithmetic average of high gross mass and
low gross mass.
(c) Calculate the average of the three 1/SAR values described in
paragraph (b) of this section to calculate the fuel efficiency metric
value in Sec. 1030.20. Do not include auxiliary power units in any 1/
SAR calculation.
(d) All determinations under this section must be made according to
the procedures applicable to SAR in Paragraphs 2.5 and 2.6 of ICAO Annex
16, Volume III and Appendix 1 of ICAO Annex 16, Volume III (incorporated
by reference in Sec. 1030.110).

[86 FR 2172, Jan. 11, 2021; 86 FR 52416, Sept. 21, 2021]

Sec. 1030.25 Reference geometric factor (RGF).

For each airplane subject to this part, determine the airplane's
nondimensional reference geometric factor (RGF) for the fuselage size of
each airplane model, calculated as follows:
(a) For an airplane with a single deck, determine the area of a
surface (expressed in m^[caret]2) bounded by the maximum width
of the fuselage outer mold line projected to a flat plane parallel with
the main deck floor and the forward and aft pressure bulkheads except
for the crew cockpit zone.
(b) For an airplane with more than one deck, determine the sum of
the areas (expressed in m^[caret]2) as follows:
(1) The maximum width of the fuselage outer mold line, projected to
a flat plane parallel with the main deck floor by the forward and aft
pressure bulkheads except for any crew cockpit zone.
(2) The maximum width of the fuselage outer mold line at or above
each other deck floor, projected to a flat plane parallel with the
additional deck floor by the forward and aft pressure bulkheads except
for any crew cockpit zone.

[[Page 15]]

(c) Determine the non-dimensional RGF by dividing the area defined
in paragraph (a) or (b) of this section by 1 m^[caret]2.
(d) All measurements and calculations used to determine the RGF of
an airplane must be made according to the procedures for determining RGF
in Appendix 2 of ICAO Annex 16, Volume III (incorporated by reference in
Sec. 1030.110).

Sec. 1030.30 GHG emission standards.

(a) The greenhouse gas emission standards in this section are
expressed as maximum permitted values fuel efficiency metric values, as
calculated under Sec. 1030.20.
(b) The fuel efficiency metric value may not exceed the following,
rounded to three decimal places:

------------------------------------------------------------------------
For airplanes defined in . . . the standard is . . .
with MTOM . . .
------------------------------------------------------------------------
(1) Section 1030.1(a)(1) and 5,700 < MTOM < 10(-2.73780 +
(2). 60,000 kg. (0.681310 *
log10(MTOM))
+ (-0.0277861 *
(log10(MTOM))[caret]
2))
(2) Section 1030.1(a)(3)...... 8,618 < MTOM < 10(-2.73780 +
60,000 kg. (0.681310 *
log10(MTOM))
+ (-0.0277861 *
(log10(MTOM))[caret]
2))
(3) Section 1030.1(a)(1) and 60,000 < MTOM < 0.764
(3). 70,395 kg.
(4) Section 1030.1(a)(1) and MTOM 10(-1.412742 + (-
(3). 70,395 kg. 0.020517 *
log10(MTOM))
+ (0.0593831 *
(log10(MTOM))[caret]
2))
(5) Section 1030.1(a)(4) and 5,700 < MTOM < 10(-2.57535 +
(6). 60,000 kg. (0.609766 *
log10(MTOM))
+ (-0.0191302 *
(log10(MTOM))[caret]
2))
(6) Section 1030.1(a)(5) and 8,618 < MTOM < 10(-2.57535 +
(7). 60,000 kg. (0.609766 *
log10(MTOM))
+ (-0.0191302 *
(log10(MTOM))[caret]
2))
(7) Section 1030.1(a)(4) 60,000 < MTOM < 0.797
through (7). 70,107 kg.
(8) Section 1030.1(a)(4) MTOM 10(-1.39353 + (-
through (7). 70,107 kg. 0.020517 *
log10(MTOM))
+ (0.0593831 *
(log10(MTOM))[caret]
2))
------------------------------------------------------------------------

Sec. 1030.35 Change criteria.

(a) For an airplane that has demonstrated compliance with Sec.
1030.30, any subsequent version of that airplane must demonstrate
compliance with Sec. 1030.30 if the subsequent version incorporates a
modification that either increases--
(1) The maximum takeoff mass; or
(2) The fuel efficiency metric value by more than:
(i) For airplanes with a MTOM greater than or equal to 5,700 kg, the
value decreases linearly from 1.35 to 0.75 percent for an airplane with
a MTOM of 60,000 kg.
(ii) For airplanes with a MTOM greater than or equal to 60,000 kg,
the value decreases linearly from 0.75 to 0.70 percent for airplanes
with a MTOM of 600,000 kg.
(iii) For airplanes with a MTOM greater than or equal to 600,000 kg,
the value is 0.70 percent.
(b) For an airplane that has demonstrated compliance with Sec.
1030.30, any subsequent version of that airplane that incorporates
modifications that do not increase the MTOM or the fuel efficiency
metric value in excess of the levels shown in paragraph (a) of this
section, the fuel efficiency metric value of the modified airplane may
be reported to be the same as the value of the prior version.
(c) For an airplane that meets the criteria of Sec. 1030.1(a)(4) or
(5), after January 1, 2023 and until January 1, 2028, the airplane must
demonstrate compliance with Sec. 1030.30 if it incorporates any
modification that increases the fuel efficiency metric value by more
than 1.5 per cent from the prior version of the airplane.

Sec. 1030.98 Confidential business information.

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

Reference Information

Sec. 1030.100 Abbreviations.

The abbreviations used in this part have the following meanings:

Table 1 to Sec. 1030.100
------------------------------------------------------------------------

------------------------------------------------------------------------
EPA.................................... U.S. Environmental Protection
Agency.
FAA.................................... U.S. Federal Aviation
Administration.
GHG.................................... greenhouse gas.
IBR.................................... incorporation by reference.
ICAO................................... International Civil Aviation
Organization.
MTOM................................... maximum takeoff mass.
RGF.................................... reference geometric factor.
SAR.................................... specific air range.
------------------------------------------------------------------------

[[Page 16]]

Sec. 1030.105 Definitions.

The following definitions in this section apply to this part. Any
terms not defined in this section have the meaning given in the Clean
Air Act. The definitions follow:
Aircraft has the meaning given in 14 CFR 1.1, a device that is used
or intended to be used for flight in the air.
Aircraft engine means a propulsion engine that is installed on or
that is manufactured for installation on an airplane for which
certification under 14 CFR is sought.
Airplane has the meaning given in 14 CFR 1.1, an engine-driven
fixed-wing aircraft heavier than air, that is supported in flight by the
dynamic reaction of the air against its wings.
Exempt means to allow, through a formal case-by-case process, an
airplane to be certificated and operated that does not meet the
applicable standards of this part.
Greenhouse Gas (GHG) means an air pollutant that is the aggregate
group of six greenhouse gases: carbon dioxide, nitrous oxide, methane,
hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride.
ICAO Annex 16, Volume III means Volume III of Annex 16 to the
Convention on International Civil Aviation (see Sec. 1030.110).
Maximum takeoff mass (MTOM) is the maximum allowable takeoff mass as
stated in the approved certification basis for an airplane type design.
Maximum takeoff mass is expressed in kilograms.
Performance model is an analytical tool (or a method) validated
using corrected flight test data that can be used to determine the
specific air range values for calculating the fuel efficiency metric
value.
Reference geometric factor is a non-dimensional number derived from
a two-dimensional projection of the fuselage.
Round has the meaning given in 40 CFR 1065.1001.
Specific air range is the distance an airplane travels per unit of
fuel consumed. Specific air range is expressed in kilometers per
kilogram of fuel.
Subsonic means an airplane that has not been certificated under 14
CFR to exceed Mach 1 in normal operation.
Type certificated maximum passenger seating capacity means the
maximum number of passenger seats that may be installed on an airplane
as listed on its type certificate data sheet, regardless of the actual
number of seats installed on an individual airplane.

Sec. 1030.110 Incorporation by reference.

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.

[[Page 17]]

1033.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1033.101 Exhaust emission standards.
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.

[[Page 18]]

1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.

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 19]]

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 20]]

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 21]]

\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;
(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.

[[Page 22]]

(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 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

[[Page 23]]

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]

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

[[Page 24]]

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
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

[[Page 25]]

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. 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.

[[Page 26]]

(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 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

[[Page 27]]

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:
(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.

[[Page 28]]

(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 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

[[Page 29]]

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.''
(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.

[[Page 30]]

(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) [Reserved]
(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.

[[Page 31]]

(d) [Reserved]
(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 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 2017 and
earlier Tier 4 earlier Tier 4
NOX standards PM 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.

[[Page 32]]

(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)-(j) [Reserved]
(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.

[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; 86 FR 34375, June 29, 2021]

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 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.

[[Page 33]]

(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 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.

[[Page 34]]

(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 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

[[Page 35]]

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]

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

[[Page 36]]

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 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

[[Page 37]]

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.
(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).

[[Page 38]]

(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. 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

[[Page 39]]

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.
(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

[[Page 40]]

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-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

[[Page 41]]

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.
(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

[[Page 42]]

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.
(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.

[[Page 43]]

We will base our decision on all available information. If we deny an
application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(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 an 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 a certificate of conformity 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 a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete.
(f) If we deny an application or suspend, revoke, or void a
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; 86 FR 34375, June 29, 2021]

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 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

[[Page 44]]

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 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.

[[Page 45]]

(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.

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

[[Page 46]]

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 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.

[[Page 47]]

(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.

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).

[[Page 48]]

(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]

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.

[[Page 49]]

(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 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

[[Page 50]]

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 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.

[[Page 51]]

(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.
(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:

[[Page 52]]

(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 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,

[[Page 53]]

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, 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.

[[Page 54]]

(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
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.

[[Page 55]]

(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 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

[[Page 56]]

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.
(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:

[[Page 57]]

(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 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

[[Page 58]]

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.
(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-

[[Page 59]]

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.
----------------------------------------------------------------------------------------------------------------
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.

[[Page 60]]

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.
(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.

[[Page 61]]

(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.

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.

[[Page 62]]

(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 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

[[Page 63]]

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.
(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.

[[Page 64]]

(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
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.

[[Page 65]]

(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.)
(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(h) do not apply for
locomotives.
(5) The provisions for importing engines and equipment under the
ancient engine exemption of 40 CFR 1068.315(i) 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

[[Page 66]]

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; 86 FR 34376, June
29, 2021]

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 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

[[Page 67]]

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.

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.

[[Page 68]]

(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:
(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

[[Page 69]]

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 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

[[Page 70]]

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 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

[[Page 71]]

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] 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

[[Page 72]]

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).
(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

[[Page 73]]

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 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

[[Page 74]]

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 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.

[[Page 75]]

(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 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

[[Page 76]]

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 (k). 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;
86 FR 34376, June 29, 2021]

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
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.

[[Page 77]]

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
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.

[[Page 78]]

(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.
(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.

[[Page 79]]

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 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.

[[Page 80]]

(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.
(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 is restricted
depending on the standards against which they were generated.
(a) Pre-2008 credits. NOX and PM credits generated before
model year 2008 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

[[Page 81]]

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.

[73 FR 37197, June 30, 2008, as amended at 86 FR 34376, June 29, 2021]

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
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,

[[Page 82]]

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:
(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

[[Page 83]]

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 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.

[[Page 84]]

(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 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.

[[Page 85]]

(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 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.

[[Page 86]]

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.
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.

[[Page 87]]

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).
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

[[Page 88]]

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.
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

[[Page 89]]

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 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

[[Page 90]]

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
January 1, 2000, 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.
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.

[[Page 91]]

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, 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

[[Page 92]]

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 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

[[Page 93]]

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.
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; 86 FR 34376, June
29, 2021]

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]

[[Page 94]]

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.
(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 in this chapter. 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.

[[Page 95]]

(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, as amended at 86 FR 34376, June 29, 2021]

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
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.

[[Page 96]]

1036.241 Demonstrating compliance with greenhouse gas emission
standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D_Testing Production Engines and Hybrid Powertrains

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?
1036.503 Engine data and information for vehicle certification.
1036.505 Supplemental emission test.
1036.510 Transient testing.
1036.525 Hybrid engines.
1036.527 Powertrain system rated power determination.
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.
1036.543 Carbon balance error verification.

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?
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 A to Part 1036--Summary of Previous Emission Standards
Appendix B to Part 1036--Transient Duty Cycles
Appendix C 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.
(3) The provisions of Sec. 1036.501(h)(1) 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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34376, June 29, 2021]

[[Page 97]]

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.
(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

[[Page 98]]

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 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. The emission standards in this paragraph (a)
apply for engines and optionally powertrains 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 Sec. 1036.501 (referred to as the Supplemental Emission
Test, or SET, even though emission sampling involves measurements from
discrete modes). This testing with the SET duty cycle is intended for
engines designed to be used primarily in tractors and other line-haul
applications. Note that the use of some SET-certified tractor engines in
vocational applications does not affect your certification obligation
under this paragraph (a)(1); see other provisions of this part and 40
CFR part 1037 for limits on using engines certified to only one cycle.
For medium and heavy heavy-duty engines certified as both tractor and
vocational engines, measure CO2 emissions using the steady-
state duty cycle and the transient duty cycle (sometimes referred to as
the Federal Test Procedure (FTP)

[[Page 99]]

engine cycle) specified in Sec. 1036.501. Testing with both SET and FTP
duty cycles 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 Sec.
1036.501.
(i) The CO2 standard is 627 g/hp[middot]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[middot]hr):

Table 1 of Sec. 1036.108--Compression-Ignition Engine Standards for MY 2014-2020
----------------------------------------------------------------------------------------------------------------
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[middot]hr):

Table 2 of Sec. 1036.108--Compression-Ignition Engine Standards for MY 2021 and Later
----------------------------------------------------------------------------------------------------------------
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[middot]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.
(3) The N2O emission standard is 0.10 g/hp[middot]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,

[[Page 100]]

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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34376, June 29, 2021]

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 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

[[Page 101]]

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 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-

[[Page 102]]

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
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.

[[Page 103]]

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.

Table 1 of Sec. 1036.150--Alternate Phase-In Standards
----------------------------------------------------------------------------------------------------------------
Vehicle type Model years LHD Engines MHD Engines HHD Engines
----------------------------------------------------------------------------------------------------------------
Tractors....................... 2013-2015........ NA............... 512 g/hphr....... 485 g/hphr.
2016 and later NA............... 487 g/hphr....... 460 g/hphr.
\1\.
Vocational..................... 2013-2015........ 618 g/hphr....... 618 g/hphr....... 577 g/hphr.
2016 through 576 g/hphr....... 576 g/hphr....... 555 g/hphr.
20201.
----------------------------------------------------------------------------------------------------------------
\1\ 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 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 0.010 g/hphr for N2O
emissions from any engine through model year 2021, and 0.020 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

[[Page 104]]

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 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:

Table 2 of Sec. 1036.150--Alternative Standards for Model Years 2024 Through 2026
----------------------------------------------------------------------------------------------------------------
Medium heavy- Heavy heavy-
Model years duty- duty- Medium heavy- Heavy heavy-
vocational vocational duty- tractor duty- tractor
----------------------------------------------------------------------------------------------------------------
2024-2026................................... 542 510 467 442
----------------------------------------------------------------------------------------------------------------

(q) Confirmatory testing of fuel maps defined in Sec. 1036.503(b).
For model years 2021 and later, where the results from Eq. 1036.235-1
for a confirmatory test is less than or equal to 2.0%, we will not
replace the manufacturer's fuel maps.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34377, June 29, 2021]

[[Page 105]]

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
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.

[[Page 106]]

(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.

[[Page 107]]

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) The amended application applies starting with the date you
submit the amended application, as follows:
(1) For engine families already covered by a certificate of
conformity, you may start producing a 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 in this part, 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 in this part 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.
(2) [Reserved]
(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.
(1) You may ask to raise your FEL for your engine family at any time
before the end of the model year. 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.
(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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34378, June 29, 2021]

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

[[Page 108]]

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) Except as described in paragraph (f) of this section, 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.
(f) Engine families may be divided into subfamilies with respect to
compliance with CO2 standards.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34378, June 29, 2021]

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.
When testing hybrid powertrains substitute ``hybrid powertrain'' for
``engine'' as it applies to requirements for certification.
(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 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:

[[Page 109]]

(1) If you are certifying the engine for use in tractors, you must
measure CO2 emissions using the applicable SET specified in
Sec. 1036.501, 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 Sec.
1036.501.
(3) You may certify your engine family for both tractor and
vocational use by submitting CO2 emission data from both SET
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 SET 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 Sec. 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 in this part.
(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, we may calibrate it within normal
production tolerances 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 defined in Sec. 1036.503(b) as
the official emission results. We will not replace individual points
from your fuel map.
(i) We will determine fuel masses, mfuel[cycle], and mean
idle fuel mass flow rates, mifuelidle, if applicable, using
the method described in Sec. 1036.535(h).
(ii) We will perform this comparison using the weighted results from
GEM, using vehicles that are appropriate for the engine under test. For
example, we may select vehicles that the engine went into for the
previous model year.
(iii) 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:
(A) Directly measuring the highway cruise cycle-average fuel maps.
(B) 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.
(iv) We will replace fuel maps as a result of confirmatory testing
as follows:

[[Page 110]]

(A) Weight individual duty cycle results using the vehicle
categories determined in paragraph (c)(5)(i) of this section and
respective weighting factors in Table 1 of 40 CFR 1037.510 to determine
a composite CO2 emission value for each vehicle
configuration; then repeat the process for all the unique vehicle
configurations used to generate the manufacturer's fuel maps.
(B) The average percent difference between fuel maps is calculated
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.013

Where:

i = an indexing variable that represents one individual weighted duty
cycle result for a vehicle configuration.
N = total number of vehicle configurations.
eCO2compEPAi = unrounded composite mass of CO2
emissions in g/ton-mile for vehicle configuration i for the
EPA confirmatory test.
eCO2compManui = unrounded composite mass of CO2
emissions in g/ton-mile for vehicle configuration i for the
manufacturer-declared map.

(C) Where the unrounded average percent difference between our
composite weighted fuel map and the manufacturer's is greater than or
equal to 0%, we will not replace the manufacturer's maps, and we will
consider an individual engine to have passed the fuel map confirmatory
test.
(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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34378, June 29, 2021]

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.

[[Page 111]]

(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 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

[[Page 112]]

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 a certificate of
conformity?

(a) If we determine an 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 the engine family for that
model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine
that an 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 an application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(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 an application to
include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part.
(d) We may void a certificate of conformity 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 a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1036.820).

[86 FR 34379, June 29, 2021]

Subpart D_Testing Production Engines and Hybrid Powertrains

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.

[[Page 113]]

(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 Heavy-Duty Vehicles (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. 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

[[Page 114]]

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.
[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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34379, June 29, 2021]

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.

[[Page 115]]

(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 2016 through 2020 engines:
(1) Measure CO2, CH4, and N2O
emissions using the transient cycle specified in either 40 CFR 86.1333
or Sec. 1036.510.
(2) For engines subject to SET testing under Sec. 1036.108(a)(1),
measure CO2 emissions using the SET specified in 40 CFR
86.1362.
(h) 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:
(1) If your engine is intended for installation in a vehicle
equipped with stop-start technology, you may turn the engine off during
the idle portions of the duty cycle to represent in-use operation,
consistent with good engineering judgment. We recommend installing an
engine starter motor and allowing the engine's Electronic Control Unit
(ECU) to control the engine stop and start events.
(2) For engines subject to SET testing under Sec. 1036.108(a)(1),
use one of the following methods to measure CO2 emissions:
(i) Use the SET duty cycle specified in Sec. 1036.505 using either
continuous or batch sampling.
(ii) Measure CO2 emissions over the SET duty 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
CO2 weighting factors specified in 40 CFR 86.1362 to
calculate a composite emission result.
(3) Measure CO2, CH4, and N2O
emissions over the transient cycle specified in either 40 CFR 86.1333 or
Sec. 1036.510.
(4) Measure or calculate emissions of criteria pollutants
corresponding to your measurements to demonstrate compliance with
CO2 standards in subpart B of this part. These test results
are not subject to the duty-cycle standards of 40 CFR part 86, subpart
A.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34380, June 29, 2021]

Sec. 1036.503 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, combustion type, engine
family name, calibration identification, and engine displacement. Also
identify which standards the engines meet.
(b) This paragraph (b) describes four different methods to generate
engine fuel maps. For engines without hybrid components or mild hybrid
where you choose not to include hybrid components in the test, you must
generate fuel maps using either paragraph (b)(1) or (2) of this section.
For mild hybrid engines where you choose to include the hybrid
components in the test and for hybrid engines, you must generate fuel
maps using paragraph (b)(4) of this section. For all other hybrids,
powertrains, and for vehicles where the transmission is not automatic,
automated manual, manual, or dual-clutch you must use paragraph (b)(3)
of this section.
(1) Combined steady-state and cycle-average. Determine steady-state
engine fuel maps and fuel consumption at idle as described in Sec.
1036.535(b) and (c) respectively, 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(c) and (d), 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(b). 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-

[[Page 116]]

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 CFR 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. The option in 40 CFR
1037.550(b)(2) is only allowed for hybrid powertrain testing.
(4) Hybrid engine. Determine fuel consumption at idle as described
in Sec. 1036.535(c) and (d), and determine cycle-average engine fuel
maps as described in Sec. 1037.550, including cycle-average engine fuel
maps for highway cruise cycles.
(c) Provide the following information if you generate engine fuel
maps using either paragraph (b)(1), (2), or (4) of this section:
(1) Full-load torque curve for installed engines, and the full-load
torque curve of the engine (parent 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 that have an RESS as described in 40 CFR
1065.510(g)(2) with the hybrid system active. For hybrid engines that do
not include an RESS follow 40 CFR 1065.510(b)(5)(ii).
(2) Motoring torque map as described in 40 CFR 1065.510(c)(2) and
(5) for conventional and hybrid engines, respectively. For engines with
a low-speed governor, remove data points where the low speed governor is
active. If you don't know when the low-speed governor is active, we
recommend removing all points below 40 r/min above the low warm idle
speed.
(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.
(4) The engine idle speed during the transient cycle-average fuel
map.
(5) The engine idle torque during the transient cycle-average fuel
map.
(d) If you generate powertrain fuel maps using paragraph (b)(3) of
this section, determine the system continuous rated power according to
Sec. 1036.527.

[86 FR 34380, June 29, 2021]

Sec. 1036.505 Supplemental emission test.

(a) Starting in model year 2021, you must measure CO2
emissions using the SET duty cycle in 40 CFR 86.1362 as described in
Sec. 1036.501, or using the SET duty cycle in this section.
(b) Perform SET testing with one of the following procedures:
(1) For engine testing, the SET duty cycle is based on normalized
speed and torque values relative to certain maximum values. Denormalize
torque as described in 40 CFR 1065.610(d). Denormalize speed as
described in 40 CFR 1065.512.
(2) For hybrid powertrain and hybrid engine testing, follow 40 CFR
1037.550 to carry out the test, but do not compensate the duty cycle for
the distance driven as described in 40 CFR 1037.550(g)(4), for hybrid
engines select the transmission from Table 1 of Sec. 1036.540
substituting ``engine'' for ``vehicle'' and ``highway cruise cycle'' for
``SET'', and cycles do not follow 40 CFR 1037.550(j). For cycles that
begin with a set of contiguous idle points, leave the transmission in
neutral or park for the full initial idle segment. Place the
transmission into drive within 5 seconds of the first nonzero vehicle
speed setpoint. Place the transmission into park or neutral when the
cycle reaches SET mode 14. Use the following vehicle parameters in place
of those in 40 CFR 1037.550 to define the vehicle model in 40 CFR
1037.550(a)(3):
(i) Determine the vehicle test mass, M, as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.014

[[Page 117]]

Where:

Pcontrated = the continuous rated power of the hybrid system
determined in Sec. 1036.527.
Pcontrated = 350.1 kW
M = 15.1[middot]350.1\1.31\ = 32499 kg

(ii) Determine the vehicle frontal area, Afront, as
follows:
(A) For M <= 18050 kg:
[GRAPHIC] [TIFF OMITTED] TR29JN21.015

Example:
M = 16499 kg
Afront = -169 [middot] 10^-8 [middot] 16499\2\ +
6.33 [middot] 10^-4 [middot] 16499 + 1.67 = 7.51
m\2\

(B) For M 18050 kg, Afront = 7.59 m\2\.
(iii) Determine the vehicle drag area, CdA, as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.016

Where:

g = gravitational constant = 9.80665 m/s\2\.
[rho] = air density at reference conditions. Use [rho] = 1.1845 kg/m\3\.
[GRAPHIC] [TIFF OMITTED] TR29JN21.017

(iv) Determine the coefficient of rolling resistance,
Crr, as follows:

[[Page 118]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.018

(vii) Select a drive axle ratio, ka, that represents the
worst-case pair of drive axle ratio and tire size for CO2
expected for vehicles in which the powertrain will be installed. This is
typically the highest numeric axle ratio.
(viii) Select a tire radius, r, that represents the worst-case pair
of tire size and drive axle ratio for CO2 expected for
vehicles in which the powertrain will be installed. This is typically
the smallest tire radius.
(ix) If you are certifying a hybrid powertrain system without the
transmission, use a default transmission efficiency of 0.95. If you
certify with this configuration, you must use 40 CFR 1037.550(a)(3)(ii)
to create the vehicle model along with its default transmission shift
strategy. Use the transmission parameters defined in Table 1 of Sec.
1036.540 to determine transmission type and gear ratio. For Light and
Medium HDVs, use the Light and Medium HDV parameters for the FTP and
SET. For Tractors and Heavy HDVs, use the Tractor and Heavy HDV
transient cycle parameters for the FTP and the Tractor and Heavy HDV
highway cruise cycle parameters for the SET.

[[Page 119]]

(x) Select axle efficiency, Effaxle, according to 40 CFR
1037.550.
(c) Measure emissions using the SET duty cycle shown in Table 1 of
this section to determine whether engines and hybrid powertrains meet
the steady-state compression-ignition standards specified in subpart B
of this part. Table 1 of this section specifies settings for engine and
hybrid powertrain testing, as follows:
(1) The duty cycle for testing engines involves a schedule of
normalized engine speed and torque values.
(2) The duty cycle for hybrid powertrain testing involves a schedule
of vehicle speeds and road grade.
(i) Determine road grade at each point based on the continuous rated
power of the hybrid powertrain system, Pcontrated, in kW
determined in Sec. 1036.527, the vehicle speed (A, B, or C) in mi/hr
for a given SET mode, vref[speed], and the specified road
grade coefficients using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.019

Example for SET mode 3a in Table 1 to this section:

Pcontrated = 345.2 kW
vrefB = 59.3 mi/hr
Road grade = 8.296 [middot] 10^-9 [middot] 345.2\3\ + (-4.752
[middot] 10^-7) [middot] 345.2\2\ [middot] 59.3 + 1.291
[middot] 10^-5 [middot] 345.2\2\ + 2.88 [middot]
10^-4 [middot] 59.3\2\ [middot] 4.524 [middot] 10^-4
[middot] 345.2 [middot] 59.3 + (-1.802 [middot] 10^-2)
[middot] 345.2 + (-1.83 [middot] 10^-1) [middot] 59.3 + 8.81 =
0.53%

(ii) Use the vehicle C speed determined in Sec. 1036.527 and
determine the vehicle A and B speeds as follows:
(A) Determine vehicle A speed using the following equation:

[[Page 120]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.020

[[Page 121]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.021

[[Page 122]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.022

[86 FR 34381, June 29, 2021]

Sec. 1036.510 Transient testing.

(a) Measure emissions by testing the engine or hybrid powertrain on
a dynamometer with one of the following transient duty cycles to
determine whether it meets the transient emission standards in subpart B
of this part:

[[Page 123]]

(1) For spark-ignition engines, use the transient duty cycle
described in paragraph (a) of appendix B of this part.
(2) For compression-ignition engines, use the transient duty cycle
described in paragraph (b) of appendix B of this part.
(3) For spark-ignition hybrid powertrains, use the transient duty
cycle described in paragraph (a) of appendix B of this part.
(4) For compression-ignition hybrid powertrains, use the transient
duty cycle described in paragraph (b) of appendix B of this part.
(b) Perform the following depending on if you are testing engines or
hybrid powertrains:
(1) For engine testing, the transient duty cycles are based on
normalized speed and torque values relative to certain maximum values.
Denormalize torque as described in 40 CFR 1065.610(d). Denormalize speed
as described in 40 CFR 1065.512.
(2) For hybrid powertrain testing, follow Sec. 1036.505(b)(2) to
carry out the test except replace Pcontrated with
Prated, the peak rated power determined in Sec. 1036.527,
keep the transmission in drive for all idle segments after the initial
idle segment, and for hybrid engines select the transmission from Table
1 of Sec. 1036.540 substituting ``engine'' for ``vehicle''. You may
request to change the engine commanded torque at idle to better
represent curb idle transmission torque (CITT).
(c) The transient test sequence consists of an initial run through
the transient duty cycle from a cold start, 20 minutes with no engine
operation, then a final run through of the same transient duty cycle.
Emissions from engine starting is part of the both the cold and hot test
intervals. Calculate the total emission mass of each constituent, m, and
the total work, W, over each test interval according to 40 CFR 1065.650.
Calculate the official transient emission result from the cold-start and
hot-start test intervals using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.023

(d) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 for engines and 40 CFR 1037.550
for hybrid powertrains to confirm that the test is valid.

[86 FR 34385, June 29, 2021]

Sec. 1036.525 Hybrid engines.

(a) For model years 2014 through 2020, 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

[[Page 124]]

as specified in this part and 40 CFR part 1065. For SET testing,
deactivate the hybrid features unless we specify otherwise. The
following provisions apply for testing hybrid engines:
(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] TR29JN21.024

Where:

Wneg = the negative work over the cycle.
Wpos = the positive work over the cycle.
[GRAPHIC] [TIFF OMITTED] TR29JN21.025

Where:

Pmax = the maximum power of the engine with the hybrid system
engaged, in kW.
[GRAPHIC] [TIFF OMITTED] TR29JN21.026

[[Page 125]]

Where:

Wcycle = cycle work when xb is greater than
xbl.
Example:
Wneg = 4.69 kW-hr
Wpos = 14.67 kW-hr
Pmax = 223 kW
[GRAPHIC] [TIFF OMITTED] TR29JN21.027

xbl = 4.158 [middot] 10^-4 [middot] 223 + 0.2247 =
0.317423
since xb xbl;

Wcycle = 14.67-([verbar]4.69[verbar]-0.317423 [middot]
0.317423 [middot] 14.67) = 14.6365 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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34386, June 29, 2021]

Sec. 1036.527 Powertrain system rated power determination.

This section describes how to determine the peak and continuous
rated power of conventional and hybrid powertrain systems and the
vehicle speed for carrying out testing according to Sec. Sec. 1036.505
and 1036.510 and 40 CFR 1037.550.
(a) Set up the powertrain according to 40 CFR 1037.550, but use the
vehicle parameters in Sec. 1036.505(b)(2), except replace
Pcontrated with the manufacturer declared system peak power
and use applicable automatic transmission for the engine. Note that if
you repeat the system rated power determination as described in
paragraph (f)(4) of this section, use the measured system peak power in
place of Pcontrated.
(b) Prior to the start of each test interval verify the following:
(1) The state-of-charge of the rechargeable energy storage system
(RESS) is =90% of the operating range between the minimum and
maximum RESS energy levels specified by the manufacturer.
(2) The conditions of all hybrid system components are within their
normal operating range as declared by the manufacturer.
(3) RESS restrictions (e.g., power limiting, thermal limits, etc.)
are not active.
(c) Carry out the test as follows:
(1) Warm up the powertrain by operating it. We recommend operating
the powertrain at any vehicle speed and road grade that achieves
approximately 75% of its expected maximum power. Continue the warm-up
until the engine coolant, block, or head absolute temperature is within
2% of its mean value for at least 2 min or until
the engine thermostat controls engine temperature.
(2) Start the test by keying on the powertrain and letting it sit at
0 mi/hr for 50 seconds.
(3) Set maximum driver demand for a full load acceleration at 6%
road grade starting at an initial vehicle speed of 0 mi/hr.
(4) 268 seconds after the initiation of paragraph (c)(3) of this
section, linearly ramp the grade from 6% to 0% over 300 seconds. Stop
the test after the vehicle speed has stopped increasing above the
maximum value observed during the test.
(d) Record the powertrain system angular speed and torque values
measured at the dynamometer at 100 Hz and use these in conjunction with
the vehicle model to calculate Psys,vehicle.
(e) Calculate the system power, Psys, for each data point
as follows:
(1) For testing with the speed and torque measurements at the
transmission input shaft, Psys is equal to the calculated
vehicle system peak power, Psys,vehicle, determined in
paragraphs (c) through (d) of this section.
(2) For testing with the speed and torque measurements at the axle
input shaft or the wheel hubs, determine Psys using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.028

Where:

Psys,vehicle = the calculated vehicle system peak power.
[egr]trans = the default transmission efficiency = 0.95.

[[Page 126]]

[egr]axle = the default axle efficiency. Set this value = 1
for speed and torque measurement at the axle input shaft or =
0.955 at the wheel hubs.
Example:
Psys,vehicle = 317.6 kW
[GRAPHIC] [TIFF OMITTED] TR29JN21.029

(f) The system peak rated power, Prated, is the highest
calculated Psys where the coefficient of variation (COV) <2%.
The COV is determined as follows:
(1) Calculate the standard deviation, [sigma](t).
[GRAPHIC] [TIFF OMITTED] TR29JN21.030

Where:

N = the number of measurement intervals = 20.
Psysi = the N samples in the 100 Hz signal previously used to
calculate the respective P[micro](t) values at the time step
t.
P[micro](t) = the power vector from the results of each test run that is
determined by a moving averaging of 20 consecutive samples of
Psys in the 100 Hz that converts P[micro](t) to a 5 Hz signal.

(2) The resulting 5 Hz power and covariance signals are used to
determine system rated power.
(3) The coefficient of variation COV(t) shall be calculated as the
ratio of the standard deviation, [sigma](t), to the mean value of power,
P[micro](t), for each time step t.
[GRAPHIC] [TIFF OMITTED] TR29JN21.031

(4) If the determined system peak rated power is not within 3% of the system peak rated power as declared by the
manufacturer, you must repeat the procedure in paragraphs (a) through
(f)(3) of this section using the measured system peak rated power
determined in paragraph (f) of this section instead of the manufacturer
declared value. The result from this repeat is the final determined
system peak rated power.
(5) If the determined system peak rated power is within 3% of the system peak rated power as declared by the
manufacturer, the declared system peak rated power shall be used.
(g) Determine continuous rated power as follows:
(1) For conventional powertrains, Pcontrated equals
Prated.
(2) For hybrid powertrains, continuous rated power,
Pcontrated, is the maximum measured power from the data
collected in paragraph (c)(3) of this section that meets the
requirements in paragraph (f) of this section.
(h) Vehicle C speed, [nu]refC, is determined as follows:
(1) For powertrains where Psys is greater than 0.98
[middot] Pcontrated in top gear at more than one vehicle
speed, [nu]refC is the average of the minimum and maximum
vehicle speeds from the data collected in paragraph (c)(4) of this
section that meets the requirements in paragraph (f) of this section.
(2) For powertrains where Psys is not greater than 0.98
[middot] Pcontrated in top gear at more than one vehicle
speed, [nu]refC is the maximum vehicle speed from the data
collected in paragraph (c)(4) of this section that meets the
requirements in paragraph (f) of this section where Psys is
great than 0.98 [middot] Pcontrated.

[86 FR 34386, June 29, 2021]

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 CO2 emission results for each duty
cycle as described in 40 CFR 86.004-28 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

[[Page 127]]

type. Use good engineering judgment to develop and apply testing
protocols to minimize the impact of variations in test fuels.
(1) Determine your test fuel's mass-specific net energy content,
Emfuelmeas, also known as lower heating value, in MJ/kg,
expressed to at least three decimal places. Determine
Emfuelmeas as follows:
(i) For liquid fuels, determine Emfuelmeas according to
ASTM D4809 (incorporated by reference in Sec. 1036.810). Have the
sample analyzed by at least three different labs and determine the final
value of your test fuel's Emfuelmeas as the median all of the
lab results you obtained. If you have results from three different labs,
we recommend you screen them to determine if additional observations are
needed. To perform this screening, determine the absolute value of the
difference between each lab result and the average of the other two lab
results. If the largest of these three resulting absolute value
differences is greater than 0.297 MJ/kg, we recommend you obtain
additional results prior to determining the final value of
Emfuelmeas.
(ii) For gaseous fuels, determine Emfuelmeas according to
ASTM D3588 (incorporated by reference in Sec. 1036.810).
(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.
(i) For liquid fuels, have the sample analyzed by at least three
different labs and determine the final value of your test fuel's
wC as the median of all of the lab results you obtained. If
you have results from three different labs, we recommend you screen them
to determine if additional observations are needed. To perform this
screening, determine the absolute value of the difference between each
lab result and the average of the other two lab results. If the largest
of these three resulting absolute value differences is greater than 1.56
percent carbon, we recommend you obtain additional results prior to
determining the final value of wC.
(ii) For gaseous fuels, have the sample analyzed by a single lab and
use that result 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 paragraph (b)(3), 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] TR29JN21.032

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 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] TR29JN21.033

eCO2cor = 624.5 g/hp[middot]hr

Table 1 to Sec. 1036.530--Reference Fuel Properties
----------------------------------------------------------------------------------------------------------------
Reference fuel carbon-mass-
Fuel type \a\ specific net energy content, Reference fuel carbon mass
EmfuelCref, (MJ/kgC) \b\ fraction, wCref \b\
----------------------------------------------------------------------------------------------------------------
Diesel fuel...................................... 49.3112 0.874
Gasoline......................................... 50.4742 0.846

[[Page 128]]

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
----------------------------------------------------------------------------------------------------------------
\a\ For fuels that are not listed, you must ask us to approve reference fuel properties.
\b\ 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.

[86 FR 34387, June 29, 2021]

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. 1036.540, omit mapping
under paragraph (b) of the section and instead perform mapping as
described in paragraph (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's torque curve and declare engine idle speed as
described in Sec. 1036.503(c)(1) 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 consisting of pairs of speed and torque 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 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) Generate the sequence of steady-state engine operating points as
follows:
(i) Determine the required steady-state engine operating points as
follows:
(A) For engines with an adjustable warm idle speed setpoint, select
the following speed setpoints: Minimum

[[Page 129]]

warm idle speed, fnidlemin, the highest speed above maximum
power at which 70% of maximum power occurs, nhi, and eight
(or more) equally spaced points between fnidlemin and
nhi. (See 40 CFR 1065.610(c)). For engines without an
adjustable warm idle speed replace minimum warm idle speed with warm
idle speed, fnidle.
(B) Select the following torque setpoints at each of the selected
speed setpoints: Zero (T = 0), maximum mapped torque,
Tmax mapped, and eight (or more) equally spaced points
between T = 0 and Tmax mapped. For each of the selected speed
setpoints, replace any torque setpoints that are above the mapped torque
at the selected speed setpoint, Tmax, minus 5 percent of
Tmax mapped, with one test point at Tmax.
(ii) Select any additional (optional) steady-state engine operating
points consistent with good engineering judgment. For example you may
select additional points when linear interpolation between the defined
points is not a reasonable assumption for determining fuel consumption
from the engine. For each additional speed setpoint, increments between
torque setpoints must be no larger than one-ninth of
Tmax,mapped and we recommend including a torque setpoint of
Tmax. If you select a maximum torque setpoint less than
Tmax, use good engineering judgment to select your maximum
torque setpoint to avoid unrepresentative data. Note that if the test
points were added for the child rating, they should still be reported in
the parent fuel map. We will select at least as many points as you.
(iii) Set the run order for all of the steady-state engine operating
points (both required and optional) as described in this paragraph
(b)(1)(iii). Arrange the list of steady-state engine operating points
such that the resulting list of paired speed and torque setpoints begins
with the highest speed setpoint and highest torque setpoint followed by
decreasing torque setpoints at the highest speed setpoint. This will be
followed by the next lowest speed setpoint and the highest torque
setpoint at that speed setpoint continuing through all the steady-state
engine operating points and ending with the lowest speed
(fnidlemin) and torque setpoint (T = 0). The following figure
provides an example of this array of points and run order.

[[Page 130]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.034

(iv) The steady-state engine operating points that have the highest
torque setpoint for a given speed setpoint are optional reentry points
into the steady-state-fuel-mapping sequence, should you need to pause or
interrupt the sequence during testing.
(v) The steady-state engine operating points that have the lowest
torque setpoint for a given speed setpoint are optional exit points from
the steady-state-fuel-mapping sequence, should you need to pause or
interrupt the sequence during testing.
(2) If the engine has an adjustable warm idle speed setpoint, set it
to its minimum value, fnidlemin.
(3) During each test interval, control speed within 1% of nhi and engine torque within 5% of Tmax mapped except for the following
cases where both setpoints cannot be achieved because the steady-state
engine operating point is near an engine operating boundary:
(i) For steady-state engine operating points that cannot be achieved
and the operator demand stabilizes at minimum; control the dynamometer
so it gives priority to follow the torque setpoint and let the engine
govern the speed (see 40 CFR 1065.512(b)(1)). In this case, the
tolerance on speed control in paragraph (b)(3) of this section does not
apply and engine torque is controlled to within 25
N[middot]m.
(ii) For steady-state engine operating points that cannot be
achieved and the operator demand stabilizes at maximum and the speed
setpoint is below 90% of nhi; control the dynamometer so it
gives priority to follow the speed setpoint and let the engine govern
the torque (see 40 CFR 1065.512(b)(2)). In this case, the tolerance on
torque control given in paragraph (b)(3) of this section does not apply.
(iii) For steady-state engine operating points that cannot be
achieved and the operator demand stabilizes at maximum and the speed
setpoint is at or above 90% of nhi; control the dynamometer
so it gives priority to follow the torque setpoint and let the engine
govern the speed (see 40 CFR

[[Page 131]]

1065.512(b)(1)). In this case, the tolerance on speed control given in
paragraph (b)(3) of this section does not apply.
(iv) For the steady-state engine operating points at the minimum
speed setpoint and maximum torque setpoint, you may select a dynamometer
control mode that gives priority to speed and an engine control mode
that gives priority to torque. In this case, if the operator demand
stabilizes at minimum or maximum, the tolerance on torque control in
paragraph (b)(3) of this section does not apply.
(4) You may select the appropriate dynamometer and engine control
modes in real-time or at any time prior based on various factors
including the operating setpoint location relative to an engine
operating boundary. Warm-up the engine as described in 40 CFR
1065.510(b)(2).
(5) Within 60 seconds after concluding the warm-up, linearly ramp
the speed and torque setpoints over 5 seconds to the first steady-state
engine operating point from paragraph (b)(1) of this section.
(6) Operate the engine at the steady-state engine operating point
for (70 1) seconds, and then start the test
interval and record measurements using one of the following methods. You
must also measure and report NOX emissions over each test
interval as described in paragraph (a)(2) of this section. If you use
redundant systems for the determination of fuel consumption, for example
combining measurements of dilute and raw emissions when generating your
map, follow the requirements of 40 CFR 1065.201(d).
(i) Indirect measurement of fuel flow. Record speed and torque and
measure emissions and other inputs needed to run the chemical balance in
40 CFR 1065.655(c) for a (30 1) second test
interval; determine the corresponding mean values for the test interval.
For dilute sampling of emissions, in addition to the background
measurement provisions described in 40 CFR 1065.140 you may do the
following:
(A) If you use batch sampling to measure background emissions, you
may sample periodically into the bag over the course of multiple test
intervals and read them as allowed in paragraph (b)(7)(i) of this
section. If you use this paragraph (b)(6)(i)(A), you must apply the same
background readings to correct emissions from each of the applicable
test intervals.
(B) You may determine background emissions by sampling from the
dilution air during the non-test interval periods in the test sequence,
including pauses allowed in paragraph (b)(7)(i) of this section. If you
use this paragraph (b)(6)(i)(B), you must allow sufficient time for
stabilization of the background measurement; followed by an averaging
period of at least 30 seconds. Use the average of the most recent pre-
test interval and the next post-test interval background readings to
correct each test interval. The most recent pre-test interval background
reading must be taken no greater than 30 minutes prior to the start of
the first applicable test interval and the next post-test interval
background reading must be taken no later than 30 minutes after the end
of the last applicable test interval. Background readings must be taken
prior to the test interval for each reentry point and after the test
interval for each exit point or more frequently.
(ii) Direct measurement of fuel flow. Record speed and torque and
measure fuel consumption with a fuel flow meter for a (30 1) second test interval; determine the corresponding
mean values for the test interval.
(7) After completing the test interval described in paragraph (b)(6)
of this section, linearly ramp the speed and torque setpoints over 5
seconds to the next steady-state engine operating point.
(i) You may pause the steady-state-fuel-mapping sequence at any of
the reentry points (as noted in paragraph (b)(1)(iv) of this section) to
calibrate emission-measurement instrumentation; to read and evacuate
background bag samples collected over the course of multiple test
intervals; or to sample the dilution air for background emissions. This
paragraph (b)(7)(i) allows you to spend more than the 70 seconds noted
in paragraph (b)(6) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the
steady-state-fuel-mapping sequence and allow

[[Page 132]]

the regeneration event to finish. You may continue to operate at the
steady-state engine operating point where the event began or, using good
engineering judgment, you may transition to another operating condition
to reduce the regeneration event duration. You may complete any post-
test interval activities to validate test intervals prior to the most
recent reentry point. Once the regeneration event is finished, linearly
ramp the speed and torque setpoints over 5 seconds to the most recent
reentry point described in paragraph (b)(1)(iv) of this section, and
restart the steady-state-fuel-mapping sequence by repeating the steps in
paragraphs (b)(6) and (7) of this section for all the remaining steady-
state engine operating points. Operate at the reentry point for longer
than the 70 seconds in paragraph (b)(6), as needed, to bring the
aftertreatment to representative thermal conditions. Void all test
intervals in the steady-state-fuel-mapping sequence beginning with the
reentry point and ending with the steady-state engine operating point
where the regeneration event began.
(iii) You may interrupt the steady-state-fuel-mapping sequence after
any of the exit points described in paragraph (b)(1)(v) of this section.
To restart the steady-state-fuel-mapping sequence; begin with paragraph
(b)(4) of this section and continue with paragraph (b)(5) of this
section, except that the steady-state engine operating point is the next
reentry point, not the first operating point from paragraph (b)(1) of
this section. Follow paragraphs (b)(6) and (7) of this section until all
remaining steady-state engine operating points are tested.
(iv) If the steady-state-fuel-mapping sequence is interrupted due
test equipment or engine malfunction, void all test intervals in the
steady-state-fuel-mapping sequence beginning with the most recent
reentry point as described in paragraph (b)(1)(iv) of this section.
Complete any post-test interval activities to validate test intervals
prior to the most recent reentry point. Correct the malfunction and
restart the steady-state-fuel-mapping sequence as described in paragraph
(b)(7)(iii) of this section.
(v) If any steady-state engine test interval is voided, void all
test intervals in the steady-state-fuel-mapping sequence beginning with
the most recent reentry point as described in paragraph (b)(1)(iv) of
this section and ending with the next exit point as described in
paragraph (b)(1)(v) of this section. Rerun that segment of the steady-
state-fuel-mapping sequence. If multiple test intervals are voided in
multiple speed setpoints, you may exclude the speed setpoints where all
of the test intervals were valid from the rerun sequence. Rerun the
steady-state-fuel-mapping sequence as described in paragraph (b)(7)(iii)
of this section.
(8) 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:
[GRAPHIC] [TIFF OMITTED] TR29JN21.035

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 [alpha], [beta], and wC for
liquid fuels. You may not account for the

[[Page 133]]

contribution to [alpha], [beta], [gamma], and [delta] of
diesel exhaust fluid or other non-fuel fluids injected into
the exhaust.
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)(9) 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] TR29JN21.036

(9) 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] TR29JN21.037

Where:

miDEF = the mean mass flow rate of injected urea solution
diesel exhaust fluid for a given sampling period, determined
directly from the electronic 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 urea diesel exhaust fluid as a solution of urea in
water. You may use a default value of 32.5% or use good
engineering judgment to determine this value based on
measurement.
MCH4N2O = molar mass of urea.
Example:
miDEF = 0. 304 g/s
MCO2 = 44.0095 g/mol
wCH4N2O = 32.5% = 0.325
MCH4N2O = 60.05526 g/mol
[GRAPHIC] [TIFF OMITTED] TR29JN21.038

[[Page 134]]

(c) Fuel consumption at idle. Determine fuel-consumption rates for
engines certified for installation in vocational vehicles for each
engine configuration over a series of engine-idle operating points
consisting of pairs of speed and torque points as described in this
paragraph (c). You may use shared data across engine configurations,
consistent with good engineering judgment. Perform measurements as
follows:
(1) Determine the required engine-idle operating points as follows:
(i) Select the following two speed setpoints:
(A) Engines with an adjustable warm idle speed setpoint: Minimum
warm idle speed, fnidlemin, and the maximum warm idle speed,
fnidlemax.
(B) Engines without an adjustable warm idle speed setpoint: Warm
idle speed (with zero torque on the primary output shaft),
fnidle, and 1.15 times fnidle.
(ii) Select the following two torque setpoints at each of the
selected speed setpoints: 0 and 100 N[middot]m.
(iii) You may run these four engine-idle operating points in any
order.
(2) Control speed and torque as follows:
(i) Engines with an adjustable warm idle speed setpoint. For the
warm-up in paragraph (c)(3) of this section and the transition in
paragraph (c)(4) of this section control both speed and torque. At any
time prior to reaching the next engine-idle operating point, set the
engine's adjustable warm idle speed setpoint to the speed setpoint of
the next engine-idle operating point in the sequence. This may be done
before or during the warm-up or during the transition. Near the end of
the transition period control speed and torque as described in paragraph
(b)(3)(i) of this section. Once the transition is complete; set the
operator demand to minimum to allow the engine governor to control
speed; and control torque with the dynamometer as described in paragraph
(b)(3) of this section.
(ii) Engines without an adjustable warm idle speed setpoint. Control
speed and torque with operator demand and the dynamometer for the
engine-idle operating points at the higher speed setpoint as described
in paragraph (b)(3) of this section. Both the speed and torque
tolerances apply for these points because they are not near the engine's
operating boundary and are achievable. Control speed and torque for the
engine-idle operating points at the lower speed setpoint as described in
paragraph (c)(2)(i) of this section except for setting the engine's
adjustable warm idle speed setpoint.
(3) Warm-up the engine as described in 40 CFR 1065.510(b)(2).
(4) After concluding the warm-up procedure, linearly ramp the speed
and torque setpoints over 20 seconds to operate the engine at the next
engine-idle operating point from paragraph (c)(1) of this section.
(5) Operate the engine at the engine-idle operating point for (180
1) seconds, and then start the test interval and
record measurements using one of the following methods. You must also
measure and report NOX emissions over each test interval as
described in paragraph (a)(2) of this section. If you use redundant
systems for the determination of fuel consumption, for example combining
measurements of dilute and raw emissions when generating your map,
follow the requirements of 40 CFR 1065.201(d).
(i) Indirect measurement of fuel flow. Record speed and torque and
measure emissions and other inputs needed to run the chemical balance in
40 CFR 1065.655(c) for a (600 1) second test
interval; determine the corresponding mean values for the test interval.
We will use an average of indirect measurement of fuel flow with dilute
sampling and direct sampling. For dilute sampling of emissions, measure
background according to the provisions described in 40 CFR 1065.140, but
read the background as described in paragraph (c)(7)(i) of this section.
If you use batch sampling to measure background emissions, you may
sample periodically into the bag over the course of multiple test
intervals and read them as allowed in paragraph (b)(7)(i) of this
section. If you use this paragraph (c)(5)(i), you must apply the same
background readings to correct emissions from each of the applicable
test intervals. Note that the minimum dilution ratio requirements for PM
sampling in 40 CFR 1065.140(e)(2) do not apply. We recommend minimizing
the

[[Page 135]]

CVS flow rate to minimize errors due to background correction consistent
with good engineering judgment and operational constraints such as
minimum flow rate for good mixing.
(ii) Direct measurement of fuel flow. Record speed and torque and
measure fuel consumption with a fuel flow meter for a (600 1) second test interval; determine the corresponding
mean values for the test interval.
(6) After completing the test interval described in paragraph (c)(5)
of this section, repeat the steps in paragraphs (c)(3) through (5) of
this section for all the remaining engine-idle operating points. After
completing the test interval on the last engine-idle operating point,
the fuel-consumption-at-idle sequence is complete.
(7) The following provisions apply for interruptions in the fuel-
consumption-at-idle sequence in a way that is intended to produce
results equivalent to running the sequence without interruption:
(i) You may pause the fuel-consumption-at-idle sequence after each
test interval to calibrate emission-measurement instrumentation and to
read and evacuate background bag samples collected over the course of a
single test interval. This paragraph (c)(7)(i) allows you to shut-down
the engine or to spend more time at the speed/torque idle setpoint after
completing the test interval before transitioning to the step in
paragraph (c)(3) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the fuel-
consumption-at-idle sequence and allow the regeneration event to finish.
You may continue to operate at the engine-idle operating point where the
event began or, using good engineering judgment, you may transition to
another operating condition to reduce the regeneration event duration.
If the event occurs during a test interval, void that test interval.
Once the regeneration event is finished, restart the fuel-consumption-
at-idle sequence by repeating the steps in paragraphs (c)(3) through (5)
of this section for all the remaining engine-idle operating points.
(iii) You may interrupt the fuel-consumption-at-idle sequence after
any of the test intervals. Restart the fuel-consumption-at-idle sequence
by repeating the steps in paragraphs (c)(3) through (5) of this section
for all the remaining engine-idle operating points.
(iv) If the fuel-consumption-at-idle sequence is interrupted due to
test equipment or engine malfunction, correct the malfunction and
restart the fuel-consumption-at-idle sequence by repeating the steps in
paragraphs (c)(3) through (5) of this section for all the remaining
engine-idle operating points. If the malfunction occurred during a test
interval, void that test interval.
(v) If any idle test intervals are voided, repeat the steps in
paragraphs (c)(3) through (5) of this section for each of the voided
engine-idle operating points.
(8) Correct the measured or calculated mean fuel mass flow rate,
mifuel at each of the engine-idle operating points to account
for mass-specific net energy content as described in paragraph (b)(13)
of this section.
(d) Steady-state fuel maps used for cycle-average fuel mapping of
the cruise cycles. Determine fuel-consumption rates for each engine
configuration over a series of steady-state engine operating points near
idle as described in this paragraph (d). You may use shared data across
an engine platform to the extent that the fuel-consumption rates remain
valid.
(1) Perform steady-state fuel mapping as described in paragraph (b)
of this section with the following exceptions:
(i) All the required steady-state engine operating points as
described in paragraph (b)(1)(i) of this section are optional.
(ii) Select speed setpoints to cover the range of idle speeds
expected as follows:
(A) The minimum number of speed setpoints is two.
(B) For engines with an adjustable warm idle speed setpoint, the
minimum speed setpoint must be equal to the minimum warm idle speed,
fnidlemin, and the maximum speed setpoint must be equal to or
greater than the maximum warm idle speed, fnidlemax. The
minimum speed setpoint for engines without an adjustable warm idle speed
setpoint, must be equal to the warm

[[Page 136]]

idle speed (with zero torque on the primary output shaft),
fnidle, and the maximum speed setpoint must be equal to or
greater than 1.15 times the warm idle speed, fnidle.
(iii) Select torque setpoints at each speed setpoint to cover the
range of idle torques expected as follows:
(A) The minimum number of torque setpoints at each speed setpoint is
three. Note that you must meet the minimum torque spacing requirements
described in paragraph (b)(1)(ii) of this section.
(B) The minimum torque setpoint at each speed setpoint is zero.
(C) The maximum torque setpoint at each speed setpoint must be
greater than or equal to the estimated maximum torque at warm idle (in-
drive) conditions, Tidlemaxest, using the following equation.
For engines with an adjustable warm idle speed setpoint, evaluate
Tidlemaxest at the maximum warm idle speed,
fnidlemax. For engines without an adjustable warm idle speed
setpoint, use the warm idle speed (with zero torque on the primary
output shaft), fnidle.
[GRAPHIC] [TIFF OMITTED] TR29JN21.039

Where:

Tfnstall = the maximum engine torque at fnstall.
fnidle = the applicable engine idle speed as described in
this paragraph (d).
fnstall = the stall speed of the torque converter; use
fntest or 2250 r/min, 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
fnidle = 700 r/min = 73.30 rad/s
Pacc = 1500 W
[GRAPHIC] [TIFF OMITTED] TR29JN21.040

(2) Remove the points from the default map that are below 115% of
the maximum speed and 115% of the maximum torque of the boundaries of
the points measured in paragraph (d)(1) of this section.
(3) Add the points measured in paragraph (d)(1) of this section.
(e) Carbon balance verification. The provisions related to carbon
balance verification in Sec. 1036.543 apply to test intervals in this
section.
(f) Correction for net energy content. Correct the measured or
calculated mean fuel mass flow rate, mifuel at each engine
operating condition as specified in paragraphs (b), (c), and (d) of this
section to a mass-specific net energy content of a reference fuel using
the following equation:

[[Page 137]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.041

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] TR29JN21.042

(g) 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. This includes
if you use multiple measurement methods as allowed in paragraph (b)(7)
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. If you perform the carbon balance
error verification in Sec. 1036.543, for each fuel map data point:
(1) If you pass the [isin]rC verification, you must
declare fuel-consumption rates no lower than the average of the direct
and indirect fuel measurements.
(2) If you pass either the [isin]aC verification or
[isin]aCrate verification and fail the [isin]rC
verification, you must declare fuel-consumption rates no lower than the
indirect fuel measurement.
(3) If you don't pass the [isin]rC, [isin]aC,
and [isin]aCrate verifications, you must declare fuel-
consumption rates no lower than the highest rate for the direct and
indirect fuel measurements.
(h) EPA measured fuel-consumption rates. If we pass the carbon mass
relative error for a test interval ([isin]rC) verification,
the official fuel-consumption rate result will be the average of the
direct and indirect fuel measurements. If we pass either the carbon mass
absolute error for a test interval ([isin]aC) verification or
carbon mass rate absolute error for a test interval
([isin]aCrate) verification and fail the [isin]rC
verification, the official fuel-consumption rate result will be the
indirect fuel measurement.

[86 FR 34388, June 29, 2021]

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

[[Page 138]]

later vehicles with transient cycles. This section may also apply for
highway cruise cycles as described in Sec. 1036.510. Vehicle
manufacturers may need cycle-average fuel maps for transient duty
cycles, highway cruise cycles, or both 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.
(4) For variable-speed gaseous-fueled engines with a single-point
fuel injection system, apply all of the following statistical criteria
to validate the transient duty cycle in 40 CFR part 1037, appendix I:

Table 1 to Sec. 1036.540
----------------------------------------------------------------------------------------------------------------
Parameter Speed Torque Power
----------------------------------------------------------------------------------------------------------------
Slope, a1............................ 0.950 <= a1 <=1.030.... 0.830 <= a1 <=1.030.... 0.830 <= a1 <=1.030.
Absolute value of intercept, <=10% of warm idle..... <=3% of maximum mapped <=2% of maximum mapped
[bond]a0[bond]. torque. power.
Standard error of the estimate, SEE.. <=5% of maximum test <=15% of maximum mapped <=15% of maximum mapped
speed. torque. power.
Coefficient of determination, r\2\... =0.970...... =0.700...... =0.750.
----------------------------------------------------------------------------------------------------------------

(c) Create engine duty cycles. Use GEM to simulate several different
vehicle configurations to create transient and highway cruise engine
duty cycles corresponding to each vehicle configuration, as follows:
(1) Set up GEM to simulate vehicle operation based on your engine's
torque maps, steady-state fuel maps, engine minimum warm-idle speed and
fuel consumption at idle as described in paragraphs (a)(1) and (2) of
this section, as well as 40 CFR 1065.405(b). For engines without an
adjustable warm idle speed replace minimum warm idle speed with warm
idle speed, fnidle.
(2) Set up GEM with transmission parameters for different vehicle
service classes and vehicle duty cycles as described in Table 2 of this
section. For automatic transmissions set neutral idle to ``Y'' in the
vehicle file. These

[[Page 139]]

values are based on automatic or automated manual transmissions, but
they apply for all transmission types.
[GRAPHIC] [TIFF OMITTED] TR29JN21.043

[GRAPHIC] [TIFF OMITTED] TR29JN21.044

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 2 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 cruise cycle, and use 55 mi/hr for
the 55 mi/hr highway cruise cycle.

[[Page 140]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.045

Example for a vocational Light HDV or vocational Medium HDV with a 6-
speed automatic transmission at B speed (Test 3 or 4 in Table 3 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] TR29JN21.046

(ii) Test at least eight different vehicle configurations for
engines that will be installed in vocational Light HDV or vocational
Medium HDV using vehicles in Table 3 of this section. For example, if
your engines will be installed in vocational Medium HDV and vocational
Heavy HDV, you might select Tests 2, 4, 6, and 8 of Table 3 of this
section to represent vocational Medium HDV and Tests 2, 3, 4, 6, and 9
of Table 4 of this section to represent vocational Heavy HDV. You may
test your engine using additional vehicle configurations with different
ka and Crr values to represent a wider range of
in-use vehicle configurations. For all vehicle configurations set the
drive axle configuration to 4x2. For powertrain testing, set
Mrotating to 340 kg and Effaxle to 0.955 for all
vehicle configurations. Set the axle ratio, ka, and tire
size,
[GRAPHIC] [TIFF OMITTED] TR29JN21.047

for each vehicle configuration based on the corresponding designated
engine speed (fnrefA, fnrefB, fnrefC,
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 vehicle speeds apply equally for engines subject to spark-
ignition standards. Use the following settings specific to each vehicle
configuration:

[[Page 141]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.048

(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 six different vehicle 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 vehicle
configurations. For class 7 and 8 vehicle configurations set the drive
axle configuration to 4x2 and 6x4 respectively. For powertrain testing,
set Effaxle to 0.955 for all vehicle configurations. Set the
axle ratio, ka, and tire size,
[GRAPHIC] [TIFF OMITTED] TR29JN21.049

for each vehicle configuration based on the corresponding designated
engine speed (B, fntest, or the minimum NTE exclusion speed
as determined in 40 CFR 86.1370(b)(1)) at 65 mi/hr for the transient
duty cycle and the 65 mi/hr highway cruise duty cycle, and at 55 mi/hr
for the 55 mi/hr highway cruise duty cycle. Use the settings specific to
each vehicle configuration as shown in Table 4 or Table 5 of this
section, as appropriate. Engines subject to testing under both Tables 4
and 5 of this section need not repeat overlapping vehicle
configurations, so complete fuel mapping requires testing 12 (not 15)
vehicle configurations for those engines. However, the preceding
sentence does not apply if you choose to create two separate maps from
the vehicle configurations defined in Tables 4 and 5 of this section.
Note that Mrotating is needed for powertrain testing but not
for engine testing. Tables 4 and 5 follow:

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[GRAPHIC] [TIFF OMITTED] TR29JN21.050

[GRAPHIC] [TIFF OMITTED] TR29JN21.051

(iv) If the engine will be installed in a combination of vehicles
defined in paragraphs (c)(3)(ii) and (iii) of this section, use good
engineering judgment to select at least nine vehicle configurations from
Tables 3 and 4 of this section that best represent the range of vehicles
your engine will be sold in. If there are not nine representative
configurations you must add vehicles, that you define, to reach a total
of at least nine vehicles. For example, if your engines will be
installed in vocational Medium HDV and vocational Heavy HDV, select
Tests 2, 4, 6 and 8 of Table 3 of this section to represent Medium HDV
and Tests 3, 6, and 9 of Table 4 of this section to represent vocational
Heavy HDV and add two more vehicles that you define. You may test your
engine using additional vehicle configurations with different
ka and Crr values to represent a wider range of
in-use vehicle configurations.
(v) Use the defined values in Tables 2 through 5 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 engine duty cycles generated in paragraph (c) of this
section as follows:

[[Page 143]]

(1) Determine the sequence of engine duty cycles (both required and
optional) for the cycle-average-fuel-mapping sequence as follows:
(i) Sort the list of engine duty cycles into three separate groups
by vehicle duty cycle; transient vehicle duty cycle, 55 mi/hr highway
cruise duty cycle, and the 65 mi/hr highway cruise duty cycle.
(ii) Within each group of engine duty cycles derived from the same
vehicle duty cycle, order the duty cycles as follows: Select the engine
duty cycle with the highest reference cycle work; followed by the cycle
with the lowest cycle work; followed by the cycle with next highest
cycle work; followed by the cycle with the next lowest cycle work; until
all the cycles are selected.
(iii) For each engine duty cycle, preconditioning cycles will be
needed to start the cycle-average-fuel-mapping sequence.
(A) For the first and second cycle in each sequence, the two
preconditioning cycles are the first cycle in the sequence, the
transient vehicle duty cycle with the highest reference cycle work. This
cycle is run twice for preconditioning prior to starting the sequence
for either of the first two cycles.
(B) For all other cycles, the two preconditioning cycles are the
previous two cycles in the sequence.
(2) If the engine has an adjustable warm idle speed setpoint, set it
to its minimum value, fnidlemin.
(3) During each test interval, control speed and torque to meet the
cycle validation criteria in 40 CFR 1065.514, except as noted in this
paragraph (d)(3). Note that 40 CFR part 1065 does not allow subsampling
of the 10 Hz GEM generated reference cycle. If the range of reference
speeds is less than 10 percent of the mean reference speed, you only
need to meet the standard error of the estimate in Table 2 of 40 CFR
1065.514 for the speed regression.
(4) Warm-up the engine as described in 40 CFR 1065.510(b)(2).
(5) Transition between duty cycles as follows:
(i) For transient duty cycles, start the next cycle within 10
seconds after the conclusion of the preceding cycle. Note that this
paragraph (d)(5)(i) applies to transitioning from both the
preconditioning cycles and tests for record.
(ii) For cruise cycles, linearly ramp to the next cycle over 5
seconds and stabilize for 15 seconds prior to starting the next cycle.
Note that this paragraph (d)(5)(ii) applies to transitioning from both
the preconditioning cycles and tests for record.
(6) Operate the engine over the engine duty cycle and record
measurements using one of the methods described in paragraph (d)(6)(i)
or (ii) of this section. You must also measure and report NOX
emissions over each test interval as described in paragraph (a)(2) of
this section. If you use redundant systems for the determination of fuel
consumption, for example combining measurements of dilute and raw
emissions when generating your map, follow the requirements of 40 CFR
1065.201(d).
(i) Indirect measurement of fuel flow. Record speed and torque and
measure emissions and other inputs needed to run the chemical balance in
40 CFR 1065.655(c) for the test interval defined by the first engine
duty cycle; determine the corresponding mean values for the test
interval. For dilute sampling of emissions, in addition to the
background measurement provisions described in 40 CFR 1065.140, you may
do the following:
(A) Measure background as described in Sec. 1036.535(b)(7)(i)(A)
but read the background as described in paragraph (d)(9)(i) of this
section.
(B) Measure background as described in Sec. 1036.535(b)(7)(i)(B)
but read the background as described in paragraph (d)(9)(i) of this
section.
(ii) Direct measurement of fuel flow. Record speed and torque and
measure fuel consumption with a fuel flow meter for the test interval
defined by the first engine duty cycle; determine the corresponding mean
values for the test interval.
(7) Repeat the steps in paragraph (d)(6) of this section for all the
remaining engine duty cycles.
(8) Repeat the steps in paragraphs (d)(4) through (7) of this
section for all the applicable groups of duty cycles (e.g., transient
vehicle duty cycle, 55 mi/hr highway cruise duty cycle, and

[[Page 144]]

the 65 mi/hr highway cruise duty cycle).
(9) The following provisions apply for interruptions in the cycle-
average-fuel-mapping sequence in a way that is intended to produce
results equivalent to running the sequence without interruption:
(i) You may pause the cycle-average-fuel-mapping sequence after each
test interval to calibrate emission-measurement instrumentation, to read
and evacuate background bag samples collected over the course of
multiple test intervals, or to sample the dilution air for background
emissions. This paragraph (d)(9)(i) requires you to shut-down the engine
during the pause. If the pause is longer than 30 minutes, restart the
engine and restart the cycle-average-fuel-mapping sequence at the step
in paragraph (d)(4) of this section. Otherwise, restart the engine and
restart the cycle-average-fuel-mapping sequence at the step in paragraph
(d)(5) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the
cycle-average-fuel-mapping sequence and allow the regeneration event to
finish. You may continue to operate the engine over the engine duty
cycle where the event began or, using good engineering judgment, you may
transition to another operating condition to reduce the regeneration
event duration.
(A) Determine which cycles in the sequence to void as follows:
(1) If the regeneration event began during a test interval, the
cycle associated with that test interval must be voided.
(2) If you used dilute sampling to measure emissions and you used
batch sampling to measure background emissions that were sampled
periodically into the bag over the course of multiple test intervals and
you are unable to read the background bag (e.g., sample volume too
small), void all cycles associated with that background bag.
(3) If you used dilute sampling to measure emissions and you used
the option to sample periodically from the dilution air and you did not
meet all the requirements for this option as described in paragraph
(d)(6)(i)(B) of this section, void all cycles associated with those
background readings.
(4) If the regeneration event began during a non-test-interval
period of the sequence and the provisions in paragraphs (d)(9)(ii)(A)(2)
and (3) of this section do not apply, you do not need to void any
cycles.
(B) Determine the cycle to restart the sequence. Identify the cycle
associated with the last valid test interval. The next cycle in the
sequence is the cycle to be used to restart the sequence.
(C) Once the regeneration event is finished, restart the sequence at
the cycle determined in paragraph (d)(9)(ii)(B) of this section instead
of the first cycle of the sequence. If the engine is not already warm,
restart the sequence at paragraph (d)(4) of this section. Otherwise,
restart at paragraph (d)(5) of this section.
(iii) If the cycle-average-fuel-mapping sequence is interrupted due
to test equipment or engine malfunction, correct the malfunction and
follow the steps in paragraphs (d)(9)(ii)(A) through (C) of this section
to restart the sequence. Treat the detection of the malfunction as the
beginning of the regeneration event.
(iv) If any test interval in the cycle-average-fuel-mapping sequence
is voided, you must rerun that test interval as described in this
paragraph (d)(9)(iv). You may rerun the whole sequence or any contiguous
part of the sequence. If you end up with multiple valid test intervals
for a given cycle, use the last valid test interval for determining the
cycle-average fuel map. If the engine has been shut-down for more than
30 minutes or if it is not already warm, restart the sequence at
paragraph (d)(4) of this section. Otherwise, restart at paragraph (d)(5)
of this section. Repeat the steps in paragraphs (d)(6) and (7) of this
section until you complete the whole sequence or part of the sequence.
The following examples illustrate possible scenarios for completing only
part of the sequence:
(A) If you voided only the test interval associated with the fourth
cycle in the sequence, you may restart the sequence using the second and
third cycles as the preconditioning cycles and stop after completing the
test interval associated with the fourth cycle.

[[Page 145]]

(B) If you voided the test intervals associated with the fourth and
sixth cycles, you may restart the sequence using the second and third
cycles as the preconditioning cycles and stop after completing the test
interval associated with the sixth cycle. If the test interval
associated with the fifth cycle in this sequence was valid, it must be
used for determining the cycle-average fuel map instead of the original
one.
(10) For plug-in hybrid engines, precondition the battery and then
complete all back-to-back tests for each vehicle configuration according
to 40 CFR 1066.501 before moving to the next vehicle configuration.
(11) 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.
(12) 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 plug-in hybrid electric vehicle (PHEV) engine will
be installed.
(13) 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] TR29JN21.052

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 [alpha], [beta], 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).
[Delta]t = 1/frecord
MCO2 = molar mass of carbon dioxide.
mCO2DEFi = mass emission rate of CO2 resulting
from diesel exhaust fluid decomposition over the duty cycle as
determined from Sec. 1036.535(b)(7). If your engine does not
utilize diesel exhaust fluid for emission control, or if you
choose not to perform this correction, set mCO2DEFi
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
xH2Oexh1 = 3.53[middot]10^-\2\ mol/mol
xH2Oexh2 = 3.13[middot]10^-\2\ mol/mol
frecord = 10 Hz
[Delta]t = 1/10 = 0.1 s
MCO2 = 44.0095 g/mol
mCO2DEF1 = 0.0726 g/s
mCO2DEF2 = 0.0751 g/s

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[GRAPHIC] [TIFF OMITTED] TR29JN21.053

[[Page 147]]

(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] TR29JN21.054

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.
[Delta]t = 1/frecord
frecord = the data recording frequency.
Example:
N = 6680
mfuel1 = 1.856 g/s
mfuel2 = 1.962 g/s
frecord = 10 Hz
[Delta]t = 1/10 = 0.1 s
mfueltransient = (1.856 + 1.962 + . . . +
mfuel6680) [middot] 0.1
mfueltransient = 111.95 g

(14) The provisions related to carbon balance error verification in
Sec. 1036.543 apply to test intervals in this section.
(15) 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(e), replacing
with mifuel in Eq. 1036.535-4.
(16) 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] TR29JN21.055

Where:

mfuel[cycle],CD = total mass of fuel for all the tests in the
charge-depleting portion of the test.
UFD,CD = 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] TR29JN21.056

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 of 40 CFR 1037.550. Note that
this 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, mfuel[cycle].
Using the calculated fuel mass consumption values described in paragraph
(d) of this section, declare values using the method described in Sec.
1036.535(g).
(2) We will determine mfuel[cycle] values using the
method described in Sec. 1036.535(h).
(3) Engine output speed per unit vehicle speed,
[GRAPHIC] [TIFF OMITTED] TR29JN21.057

[[Page 148]]

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.
(4) Positive work determined according to 40 CFR part 1065,
W[cycle], by using the engine speed and engine torque
measured during the engine test while the vehicle is moving. Note that
the engine cycle created by GEM has a flag to indicate when the vehicle
is moving.
(5) The engine idle speed and torque, by taking the average engine
speed and torque measured during the engine test while the vehicle is
not moving. Note that the engine cycle created by GEM has a flag to
indicate when the vehicle is moving.
(6) The following table illustrates the GEM data inputs
corresponding to the different vehicle configurations for a given duty
cycle:
[GRAPHIC] [TIFF OMITTED] TR29JN21.058

[86 FR 34394, June 29, 2021]

Sec. 1036.543 Carbon balance error verification.

A carbon balance error verification compares independent assessments
of the flow of carbon through the system (engine plus aftertreatment).
We will, and you may optionally, verify carbon balance error according
to 40 CFR 1065.543. This section applies to all test intervals in
Sec. Sec. 1036.535(b), (c), and (d) and 1036.540 and 40 CFR 1037.550.

[86 FR 34402, June 29, 2021]

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

[[Page 149]]

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.
(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

[[Page 150]]

the test procedures specified in this part.
(3) We may require you to discount or otherwise adjust your
improvement factor or credit to account for uncertainty or other
relevant factors.
(c) Send your request to the Designated Compliance Officer. 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

[[Page 151]]

its powertrain relative to diagnostic requirements.
(b) Rankine engines. Test engines that include Rankine-cycle exhaust
energy recovery systems according to the test procedures specified in
subpart F of this part unless we approve alternate procedures.
(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
SET duty 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 SET duty
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.

[[Page 152]]

(4) The tested configuration must have cycle-weighted BSFC
equivalent to or better than all other configurations in the engine
family.
(c) This paragraph (c) applies if you certify all your engine
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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34403, June 29, 2021]

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.

[[Page 153]]

(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 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,

[[Page 154]]

including certification testing, in-use testing, selective enforcement
audits, and other production-line testing. However, if emissions from an
engine exceed an FCL or standard (for example, during a selective
enforcement audit), you may use emission credits to recertify the engine
family with a higher FCL that applies only to future production.
(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 in this part explicitly allow it, you may
not calculate Phase 1 credits more than once for any emission reduction.
For example, if you generate Phase 1 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 the
associated vehicle under 40 CFR part 1037. However, Phase 1 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 as
follows:
(1) For credit-generating engines certified to the tractor engine
standards in Sec. 1036.108, you may use credits calculated relative to
the tractor engine standards.
(2) For credit-generating engines certified to the vocational engine
standards in Sec. 1036.108, you may optionally carry over adjusted
vocational credits from an averaging set, and you may use credits
calculated relative to the emission levels in the following table:

Table 1 of Sec. 1036.701--Emission Levels for Credit Calculation
------------------------------------------------------------------------
Medium heavy-duty engines Heavy heavy-duty engines
------------------------------------------------------------------------
558 g/hp[middot]hr........................ 525 g/hp[middot]hr.
------------------------------------------------------------------------

(k) Engine families you certify with a nonconformance penalty under
40 CFR part 86, subpart L, may not generate emission credits.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34403, June 29, 2021]

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

[[Page 155]]

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 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 SET duty 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 SET duty 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 non-gasoline 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

[[Page 156]]

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.
(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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34403, June 29, 2021]

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

[[Page 157]]

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 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

[[Page 158]]

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, 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)

[[Page 159]]

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 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

[[Page 160]]

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.

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.

[[Page 161]]

nominal alcohol content below 25 percent by volume.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine speed (r/min), 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 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

[[Page 162]]

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 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.

[[Page 163]]

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.
An incomplete vehicle is also a heavy-duty vehicle if it has a curb
weight above 6,000 pounds or a basic vehicle frontal area greater than
45 square feet. Curb weight and basic vehicle frontal area have the
meaning given in 40 CFR 86.1803-01.
Hybrid means an engine or powertrain that includes energy storage
features other than a conventional battery system or conventional
flywheel. Supplemental electrical batteries and hydraulic accumulators
are examples of hybrid energy storage systems. Note that certain
provisions in this part treat hybrid engines and hybrid powertrains
intended for vehicles that include regenerative braking different than
those intended for vehicles that do not include regenerative braking.
Hybrid engine means a hybrid system with features for storing and
recovering energy that are integral to the engine or are otherwise
upstream of the vehicle's transmission other than a conventional battery
system or conventional flywheel. Supplemental electrical batteries and
hydraulic accumulators are examples of hybrid energy storage systems.
Examples of hybrids that could be considered hybrid engines are P0, P1,
and P2 hybrids where hybrid features are connected to the front end of
the engine, at the crankshaft, or connected between the clutch and the
transmission where the clutch upstream of the hybrid feature is in
addition to the transmission clutch(s), respectively. Note other
examples of systems that qualify as hybrid engines are systems that
recover kinetic energy and use it to power an electric heater in the
aftertreatment.
Hybrid powertrain means a 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 other examples of
systems that qualify as hybrid powertrains are systems that recover
kinetic energy and use it to power an electric heater in the
aftertreatment.
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,

[[Page 164]]

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.
Mild hybrid means a hybrid engine or powertrain with regenerative
braking capability where the system recovers less than 20 percent of the
total braking energy over the transient cycle defined in appendix I of
40 CFR part 1037.
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.
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

[[Page 165]]

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. This
includes fuel mapping and idle testing where engine speed and load are
held at a finite set of nominally constant values.
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 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.

[[Page 166]]

We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34403, June 29, 2021]

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:

Table 2 to Sec. 1036.805--Symbols for Quantities
----------------------------------------------------------------------------------------------------------------
Unit in terms of SI
Symbol Quantity Unit Unit symbol base units
----------------------------------------------------------------------------------------------------------------
[alpha].................. atomic hydrogen-to- mole per mole....... mol/mol............. 1.
carbon ratio.
[Agr].................... Area................ square meter........ m2.................. m2.
[beta]................... atomic oxygen-to- mole per mole....... mol/mol............. 1.
carbon ratio.
Cd[Agr].................. drag area........... meter squared....... m2.................. m2.
Crr...................... coefficient of kilogram per metric kg/tonne............ 10-3.
rolling resistance. ton.
D........................ distance............ miles or meters..... mi or m............. m.
[egr].................... efficiency..........
[isin]................... Difference or error
quantity.
e........................ mass weighted grams/ton-mile...... g/ton-mi............ g/kg-km.
emission result.
Eff...................... efficiency..........
Em....................... mass-specific net megajoules/kilogram. MJ/kg............... m2[middot]s-2.
energy content.
fn....................... angular speed revolutions per r/min............... [pi][middot]30[midd
(shaft). minute. ot]s-1.
g........................ gravitational meters per second m/s2................ m[middot]s-2.
acceleration. squared.
i........................ indexing variable...
ka....................... drive axle ratio.... .................... .................... 1.
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.
Mrotating................ inertial mass of kilogram............ kg.................. kg.
rotating components.
N........................ total number in a
series.
P........................ Power............... kilowatt............ kW.................. 103[middot]m2[middo
t]kg[middot]s-3.
[rho].................... mass density........ kilogram per cubic kg/m3............... m-3[middot]kg.
meter.
r........................ tire radius......... meter............... m................... m.
SEE...................... standard error of
the estimate.
[sigma].................. standard deviation..
T........................ torque (moment of newton meter........ N[middot]m.......... m2[middot]kg[middot
force). ]s-2.
t........................ Time................ second.............. s................... s.
[Delta]t................. 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]m2[middo
t]kg[middot]s-1.
wC....................... carbon mass fraction gram/gram........... g/g................. 1.
wCH4N2O.................. urea mass fraction.. gram/gram........... g/g................. 1.
x........................ amount of substance mole per mole....... mol/mol............. 1.
mole fraction.
xb....................... brake energy
fraction.
xbl...................... brake energy limit..
----------------------------------------------------------------------------------------------------------------

[[Page 167]]

Table 3 to Sec. 1036.805--Superscripts
------------------------------------------------------------------------
Superscript Meaning
------------------------------------------------------------------------
overbar (such as y)....................... arithmetic mean.
overdot (such as y)....................... quantity per unit time.
------------------------------------------------------------------------

(d) Subscripts. This part uses the following subscripts for
modifying quantity symbols:

Table 4 to Sec. 1036.805--Subscripts
------------------------------------------------------------------------
Subscript Meaning
------------------------------------------------------------------------
65........................................ 65 miles per hour.
A......................................... A speed.
A......................................... absolute (e.g., absolute
difference or error).
Acc....................................... accessory.
App....................................... approved.
Axle...................................... axle.
B......................................... B speed.
C......................................... C speed.
C......................................... carbon mass.
Ccombdry.................................. carbon from fuel per mole of
dry exhaust.
CD........................................ charge-depleting.
CO2DEF.................................... CO2 resulting from diesel
exhaust fluid
decomposition.
comb...................................... combustion.
comp...................................... composite.
Cor....................................... corrected.
CS........................................ charge-sustaining.
Cycle..................................... test cycle.
DEF....................................... diesel exhaust fluid.
engine.................................... engine.
Exh....................................... raw exhaust.
Front..................................... frontal.
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.
R......................................... relative (e.g., relative
difference or error).
Rate...................................... rate (divided by time).
Rated..................................... rated.
record.................................... record.
Ref....................................... reference quantity.
speed..................................... speed.
Stall..................................... stall.
Test...................................... test.
Tire...................................... tire.
transient................................. transient.
[Mgr]..................................... vector.
vehicle................................... vehicle.
------------------------------------------------------------------------

(e) Other acronyms and abbreviations. This part uses the following
additional abbreviations and acronyms:

Table 5 to Sec. 1036.805--Other Acronyms and Abbreviations
------------------------------------------------------------------------
Acronym Meaning
------------------------------------------------------------------------
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.
COV....................................... coefficient of variation.
CS........................................ charge-sustaining.
DEF....................................... diesel exhaust fluid.
DF........................................ deterioration factor.
DOT....................................... Department of
Transportation.
E85....................................... gasoline blend including
nominally 85 percent
denatured ethanol.
ECU....................................... Electronic Control Unit.
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.
HDV....................................... heavy-duty vehicle.
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.
SCR....................................... selective catalytic
reduction.
SEE....................................... standard error of the
estimate.
SET....................................... Supplemental Emission Test.
SI........................................ spark-ignition.
U.S....................................... United States.
U.S.C..................................... United States Code.
------------------------------------------------------------------------

(f) Constants. This part uses the following constants:

Table 6 to Sec. 1036.805--Constants
------------------------------------------------------------------------
Symbol Quantity Value
------------------------------------------------------------------------
g.................. gravitational constant. 9.80665 m[middot]s-2
------------------------------------------------------------------------

(g) Prefixes. This part uses the following prefixes to define a
quantity:

Table 7 to Sec. 1036.805--Prefixes
------------------------------------------------------------------------
Symbol Quantity Value
------------------------------------------------------------------------
[micro]............ micro.................. 10-6
m.................. milli.................. 10-3
c.................. centi.................. 10-2
k.................. kilo................... 103
M.................. mega................... 106
------------------------------------------------------------------------

[[Page 168]]

[81 FR 74011, Oct. 25, 2016; 82 FR 29761, June 30, 2017; 86 FR 34404,
June 29, 2021]

Sec. 1036.810 Incorporation by reference.

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,
WJC West Building, Room 3334, 1301 Constitution Ave. NW, Washington, DC
20460, www.epa.gov/dockets, (202) 202-1744, and is available from the
sources listed in this section. 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 www.archives.gov/federal-register/cfr/ibr-locations.html.
(a) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West
Conshohocken, PA 19428-2959, (877) 909-2786, www.astm.org/.
(1) ASTM D3588-98 (Reapproved 2017)e1, Standard Practice for
Calculating Heat Value, Compressibility Factor, and Relative Density of
Gaseous Fuels, approved April 1, 2017, (``ASTM D3588''), IBR approved
for Sec. 1036.530(b).
(2) 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).
(b) 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]

[86 FR 34406, June 29, 2021]

Sec. 1036.815 Confidential information.

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

Sec. 1036.820 Requesting a hearing.

Sec. 1036.825 Reporting and recordkeeping requirements.

[[Page 169]]

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.

[81 FR 74011, Oct. 25, 2016, as amended at 86 FR 34406, June 29, 2021]

Sec. Appendix A to Part 1036--Summary of Previous Emission Standards

The following standards, which EPA originally adopted under 40 CFR
part 85 or 86, apply to compression-ignition engines produced before
model year 2007 and to spark-ignition engines produced before model year
2008:
(a) Smoke. Smoke standards applied for compression-ignition engines
based on opacity measurement using the test procedures in 40 CFR part
86, subpart I, as follows:
(1) Engines were subject to the following smoke standards for model
years 1970 through 1973:
(i) 40 percent during the engine acceleration mode.
(ii) 20 percent during the engine lugging mode.
(2) The smoke standards in 40 CFR 86.11 started to apply in model
year 1974.

[[Page 170]]

(b) Idle CO. A standard of 0.5 percent of exhaust gas flow at curb
idle applied through model year 2016 to the following engines:
(1) Spark-ignition engines with aftertreatment starting in model
year 1987. This standard applied only for gasoline-fueled engines
through model year 1997. Starting in model year 1998, the same standard
applied for engines fueled by methanol, LPG, and natural gas. The idle
CO standard no longer applied for engines certified to meet onboard
diagnostic requirements starting in model year 2005.
(2) Methanol-fueled compression-ignition engines starting in model
year 1990. This standard also applied for natural gas and LPG engines
starting in model year 1997. The idle CO standard no longer applied for
engines certified to meet onboard diagnostic requirements starting in
model year 2007.
(c) Crankcase emissions. The requirement to design engines to
prevent crankcase emissions applied starting with the following engines:
(1) Spark-ignition engines starting in model year 1968. This
standard applied only for gasoline-fueled engines through model year
1989, and applied for spark-ignition engines using other fuels starting
in model year 1990.
(2) Naturally aspirated diesel-fueled engines starting in model year
1985.
(3) Methanol-fueled compression-ignition engines starting in model
year 1990.
(4) Naturally aspirated gaseous-fueled engines starting in model
year 1997, and all other gaseous-fueled engines starting in 1998.
(d) Early steady-state standards. The following criteria standards
applied to heavy-duty engines based on steady-state measurement
procedures:

Table 1 to Appendix A--Early Steady-State Emission Standards for Heavy-Duty Engines
----------------------------------------------------------------------------------------------------------------
Pollutant
Model year Fuel -----------------------------------------------------------
HC NOX + HC CO
----------------------------------------------------------------------------------------------------------------
1970-1973....................... gasoline.......... 275 ppm........... .................. 1.5 volume
percent.
1974-1978....................... gasoline and .................. 16 g/hp[middot]hr. 40 g/hp[middot]hr.
diesel.
1979-1984 a..................... gasoline and .................. 5 g/hp[middot]hr 25 g/hp[middot]hr.
diesel. for diesel, 5.0 g/
hp[middot]hr for
gasoline.
----------------------------------------------------------------------------------------------------------------
a An optional NOX + HC standard of 10 g/hp[middot]hr applied in 1979 through 1984 in conjunction with a separate
HC standard of 1.5 g/hp[middot]hr.

(e) Transient emission standards for spark-ignition engines. The
following criteria standards applied for spark-ignition engines based on
transient measurement using the test procedures in 40 CFR part 86,
subpart N. Starting in model year 1991, manufacturers could generate or
use emission credits for NOX and NOX + NMHC
standards. Table 2 to this appendix follows:

Table 2 to Appendix A--Transient Emission Standards for Spark-Ignition Engines \a b\
----------------------------------------------------------------------------------------------------------------
Pollutant (g/hp[middot]hr)
Model year ---------------------------------------------------------------
HC CO NOX NOX + NMHC
----------------------------------------------------------------------------------------------------------------
1985-1987....................................... 1.1 14.4 10.6
1988-1990....................................... 1.1 14.4 6.0
1991-1997....................................... 1.1 14.4 5.0
1998-2004 \c\................................... 1.1 14.4 4.0
2005-2007....................................... .............. 14.4 .............. \d\ 1.0
----------------------------------------------------------------------------------------------------------------
\a\ Standards applied only for gasoline-fueled engines through model year 1989. Standards started to apply for
methanol in model year 1990, and for LPG and natural gas in model year 1998.
\b\ Engines intended for installation only in heavy-duty vehicles above 14,000 pounds GVWR were subject to an HC
standard of 1.9 g/hp[middot]hr for model years 1987 through 2004, and a CO standard of 37.1 g/hp[middot]hr for
model years 1987 through 2007. In addition, for model years 1987 through 2007, up to 5 percent of a
manufacturer's sales of engines intended for installation in heavy-duty vehicles at or below 14,000 pounds
GVWR could be certified to the alternative HC and CO standards.
\c\ For natural gas engines in model years 1998 through 2004, the NOX standard was 5.0 g/hp[middot]hr; the HC
standards were 1.7 g/hp[middot]hr for engines intended for installation only in vehicles above 14,000 pounds
GVWR, and 0.9 g/hp[middot]hr for other engines.
\d\ Manufacturers could delay the 1.0 g/hp[middot]hr NOX + NMHC standard until model year 2008 by meeting an
alternate NOX + NMHC standard of 1.5 g/hp[middot]hr applied for model years 2004 through 2007.

(f) Transient emission standards for compression-ignition engines.
The following criteria standards applied for compression-ignition
engines based on transient measurement using the test procedures in 40
CFR part 86, subpart N. Starting in model year 1991, manufacturers could
generate or use emission credits for NOX, NOX +
NMHC, and PM standards. Table 3 to this appendix follows:

[[Page 171]]

Table 3 to Appendix A--Transient Emission Standards for Compression-Ignition Engines \a\
----------------------------------------------------------------------------------------------------------------
Pollutant (g/hp[middot]hr)
Model year ---------------------------------------------------------------------------------
HC CO NOX NOX + NMHC PM
----------------------------------------------------------------------------------------------------------------
1985-1987..................... 1.3 15.5 10.7
1988-1989..................... 1.3 15.5 10.7 .............. 0.60.
1990.......................... 1.3 15.5 6.0 .............. 0.60.
1991-1992..................... 1.3 15.5 5.0 .............. 0.25.
1993.......................... 1.3 15.5 5.0 .............. 0.25 truck, 0.10
bus.
1994-1995..................... 1.3 15.5 5.0 .............. 0.10 truck, 0.07
urban bus.
1996-1997..................... 1.3 15.5 5.0 .............. 0.10 truck, 0.05
urban bus.\b\
1998-2003..................... 1.3 15.5 4.0 .............. 0.10 truck, 0.05
urban bus.\b\
2004-2006..................... .............. 15.5 .............. \c\ 2.4 0.10 truck, 0.05
urban bus.\b\
----------------------------------------------------------------------------------------------------------------
\a\ Standards applied only for diesel-fueled engines through model year 1989. Standards started to apply for
methanol in model year 1990, and for LPG and natural gas in model year 1997. An alternate HC standard of 1.2 g/
hp[middot]hr applied for natural gas engines for model years 1997 through 2003.
\b\ The in-use PM standard for urban bus engines in model years 1996 through 2006 was 0.07 g/hp[middot]hr.
\c\ An optional NOX + NMHC standard of 2.5 g/hp[middot]hr applied in 2004 through 2006 in conjunction with a
separate NMHC standard of 0.5 g/hp[middot]hr.

[86 FR 34406, June 29, 2021]

Sec. Appendix B to Part 1036--Transient Duty Cycles

(a) This appendix specifies transient duty cycles for the engine and
powertrain testing described in Sec. 1036.510, as follows:
(1) The transient duty cycle for testing engines involves a schedule
of normalized engine speed and torque values.
(2) The transient duty cycles for powertrain testing involves a
schedule of vehicle speeds and road grade. Determine road grade at each
point based on the peak rated power of the powertrain system,
Prated, determined in Sec. 1036.527 and road grade
coefficients using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.059

(b) The following transient duty cycle applies for spark-ignition
engines and powertrains:

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[GRAPHIC] [TIFF OMITTED] TR29JN21.078

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[GRAPHIC] [TIFF OMITTED] TR29JN21.079

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[GRAPHIC] [TIFF OMITTED] TR29JN21.080

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[GRAPHIC] [TIFF OMITTED] TR29JN21.081

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[GRAPHIC] [TIFF OMITTED] TR29JN21.082

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[GRAPHIC] [TIFF OMITTED] TR29JN21.083

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[GRAPHIC] [TIFF OMITTED] TR29JN21.084

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[GRAPHIC] [TIFF OMITTED] TR29JN21.085

(c) The following transient duty cycle applies for compression
ignition engines and powertrains:
[GRAPHIC] [TIFF OMITTED] TR29JN21.086

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[GRAPHIC] [TIFF OMITTED] TR29JN21.087

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[GRAPHIC] [TIFF OMITTED] TR29JN21.088

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[GRAPHIC] [TIFF OMITTED] TR29JN21.092

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[GRAPHIC] [TIFF OMITTED] TR29JN21.093

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[GRAPHIC] [TIFF OMITTED] TR29JN21.095

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[GRAPHIC] [TIFF OMITTED] TR29JN21.099

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[GRAPHIC] [TIFF OMITTED] TR29JN21.100

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[GRAPHIC] [TIFF OMITTED] TR29JN21.101

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[GRAPHIC] [TIFF OMITTED] TR29JN21.102

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[GRAPHIC] [TIFF OMITTED] TR29JN21.103

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[GRAPHIC] [TIFF OMITTED] TR29JN21.105

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[GRAPHIC] [TIFF OMITTED] TR29JN21.111

[86 FR 34408, June 29, 2021]

Sec. Appendix C 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 223]]

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
------------------------------------------------------------------------

(b) Use the following default fuel map for compression-ignition
engines that will be installed in Vocational Light HDV and Medium HDV:

[[Page 224]]

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
2583.3....................................... 1200 18.606
2791.7....................................... 1200 19.912
3000......................................... 1200 21.357
------------------------------------------------------------------------

[[Page 225]]

------------------------------------------------------------------------
Engine Fuel mass
Engine speed (r/min) torque rate (g/
(N[middot]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
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
------------------------------------------------------------------------

[[Page 226]]

[81 FR 74011, Oct. 25, 2016. Redesignated at 86 FR 34406, June 29, 2021]

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.
1037.560 Axle efficiency test.
1037.565 Transmission efficiency test.
1037.570 Procedures to characterize torque converters.

Subpart G_Special Compliance Provisions

1037.601 General compliance provisions.

[[Page 227]]

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.
(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

[[Page 228]]

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 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

[[Page 229]]

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 standards under 40
CFR part 1036 is generally subject to requirements under this part 1037
that apply for spark-ignition vehicles. However, note

[[Page 230]]

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 in this section
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 that
vehicles comply with the standards throughout the useful life. We would
expect emission control components and systems to exhibit a

[[Page 231]]

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 related to the auxiliary engine have reached
stabilized levels of permeation

[[Page 232]]

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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34459, June 29, 2021]

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 233]]

(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 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

[[Page 234]]

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 a 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
----------------------------------------------------------------------------------------------------------------
a 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/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

[[Page 235]]

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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34459, June 29, 2021]

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 the standards in this paragraph (b).

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 a model years model years model years model years model year 2027
2014-2016 2017-2020 2021-2023 2024-2026 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
----------------------------------------------------------------------------------------------------------------
a Subcategory 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:
(i) If you certify all your Class 7 tractors to Class 8 standards,
you may use these Heavy HDV credits without restriction. This paragraph
(f)(2)(i) applies equally for hybrid and electric vehicles.
(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

[[Page 236]]

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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34459, June 29, 2021]

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
2024-2026....................................... 120.9 77.2 124.7 78.9
2027+........................................... 118.8 75.7 122.7 77.4
----------------------------------------------------------------------------------------------------------------

[[Page 237]]

(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.
(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

[[Page 238]]

year, whichever is greater. 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) applies for all refrigerants.
(1) This paragraph (e) is intended to address air conditioning
systems for which the primary purpose is to cool the driver compartment.
This would generally include all cab-complete pickups and vans. This
paragraph (e) does not apply for refrigeration units on trailers.
Similarly, it does not apply for self-contained air conditioning used to
cool passengers or refrigeration units used to cool cargo on vocational
vehicles. Air conditioning and refrigeration units may be considered
self-contained whether or not they draw electrical power from engines
used to propel the vehicles. For purposes of this paragraph (e), a self-
contained system is an enclosed unit with its own evaporator and
condenser even if it draws power from the engine.
(2) For purposes of this paragraph (e), ``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.
(3) If air conditioning systems with capacity above 3,000 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34459, June 29, 2021]

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 (except tires).
(ii) 5 years or 100,000 miles for Medium HDV and Heavy 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

[[Page 239]]

(for vehicles subject to air conditioning 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34460, June 29, 2021]

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

[[Page 240]]

critical emission-related maintenance). Noncritical emission-related
maintenance generally includes maintenance on the components we specify
in 40 CFR part 1068, Appendix I, that is not covered in paragraph (a) of
this section. You must state in the owners manual that these steps are
not necessary to keep the emission-related warranty valid. If operators
fail to do this maintenance, this does not allow you to disqualify those
vehicles from in-use testing or deny a warranty claim. Do not take these
inspection or maintenance steps during service accumulation on your
emission-data vehicles.
(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

[[Page 241]]

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.

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) [Reserved]
(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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34460, June 29, 2021]

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

[[Page 242]]

you to amend your application for certification under Sec. 1037.225.
(e) If your vehicle is equipped with an adjustable roof fairing,
measure the 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 of this part
apply to both tractors and vocational vehicles, Class 7 tractors are
considered ``Medium HDV'' and Class 8 tractors are considered ``Heavy
HDV''. This paragraph (g)(1) applies for electric, hybrid, and non-
hybrid vehicles.
(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 propelled by engines subject to the
spark-ignition standards of 40 CFR part 1036, ``Light HDV'' includes
Class 2b through Class 5 vehicles, and ``Medium HDV'' includes Class 6
through Class 8 vehicles.
(4) Phase 2 vocational vehicles propelled by engines subject to the
compression-ignition standards in 40 CFR part 1036 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).
(iii) Class 8 hybrid and electric vehicles are considered ``Heavy
HDV'', regardless of the engine's primary intended service class.
(iv) 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
regulatory subcategory (Urban, Multi-Purpose, or Regional) for each of
your vocational vehicle configurations based on the expected use of the
vehicles.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34460, June 29, 2021]

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.

[[Page 243]]

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 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) Small manufacturers. The following provisions apply for small
manufacturers:
(1) 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.
(2) The greenhouse gas standards of Sec. Sec. 1037.105 and 1037.106
are optional for small manufacturers producing vehicles with a date of
manufacture before January 1, 2022. In addition, 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.
(3) Qualifying manufacturers must notify the Designated Compliance
Officer each model year before introducing 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.
Manufacturers must label excluded vehicles with the following statement:
``THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).''
(4) Small manufacturers may meet Phase 1 standards instead of Phase
2 standards in the first year Phase 2 standards apply to them if they
voluntarily comply with the Phase 1 standards for the full preceding
year. Specifically, small manufacturers may certify their model year
2022 vehicles to the Phase 1 greenhouse gas standards of Sec. Sec.
1037.105 and 1037.106 if they certify all the vehicles from their annual
U.S.-directed production volume to the Phase 1 standards starting on or
before January 1, 2021.
(5) See paragraphs (r), (t), (y), and (aa) of this section for
additional allowances for small manufacturers.
(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

[[Page 244]]

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 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

[[Page 245]]

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 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 subfamilies if there is a credit
multiplier for advanced technology; group those vehicles together in a
vehicle subfamily 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 the principles of SEA testing in
Sec. 1037.305. We will not replace your Falt-aero value if
the tractor passes. If your tractor fails, we will generate a
replacement value of Falt-aero based on at least one
CdA value and corresponding effective yaw angle,
Ceff, from a minimum of 100 valid runs using the procedures
of Sec. 1037.528(h). Note that we intend to minimize the differences
between our test conditions and those of the manufacturer by testing at
similar times of the year where possible and the same location where
possible and when appropriate.
(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

[[Page 246]]

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:
(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 [Delta]CdA 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

[[Page 247]]

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).
(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 [Delta]CdA 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

[[Page 248]]

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 GEM version 2.0.1 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.
(4) Phase 1 vocational vehicle credits that small manufacturers
generate may be used through model year 2027.
(z) Constraints for vocational regulatory subcategories. The
following provisions apply to determinations of vocational regulatory
subcategories as described in Sec. 1037.140:
(1) Select the Regional regulatory subcategory if you certify the
engine based on testing only with the Supplemental Emission Test.
(2) Select the Regional regulatory subcategory for coach buses and
motor homes you certify under Sec. 1037.105(b).
(3) You may not select the Urban regulatory subcategory for any
vehicle with a manual or single-clutch automated manual transmission.
(4) Starting in model year 2024, you must select the Regional
regulatory subcategory for any vehicle with a manual transmission.
(5) You may select the Multi-purpose regulatory subcategory for any
vocational vehicle, except as specified in paragraphs (z)(1) through (3)
of this section.
(6) You may not select the Urban regulatory subcategory for any
vehicle with a manual or single-clutch automated manual transmission.
(7) You may select the Urban regulatory subcategory for a hybrid
vehicle equipped with regenerative braking, unless it is equipped with a
manual transmission.
(8) You may select the Urban regulatory subcategory 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''. The
limit in this paragraph (aa)(2) applies with respect to vehicles
produced by you and your affiliated companies. Treat these drayage
tractors as being in their own averaging set.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34460, June 29, 2021]

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

[[Page 249]]

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. 1037.243 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34461, June 29, 2021]

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

[[Page 250]]

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 1036.503). 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, and any practices or specifications that should
apply for our testing.
(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 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]

[[Page 251]]

(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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34461, June 29, 2021]

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.

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
[Delta]CdA values as specified in Sec. 1037.150(u) or Sec.
1037.526. Trailer manufacturers may use approved [Delta]CdA
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.

[[Page 252]]

(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 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) The amended application applies starting with the date you
submit the amended application, as follows:
(1) For vehicle families already covered by a certificate of
conformity, you may start producing a 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 in this part, 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 in this part and

[[Page 253]]

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.
(2) [Reserved]
(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 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34461, June 29, 2021]

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..........

[[Page 254]]

Regional............... Regional...............
----------------------------------------------------------------------------------------------------------------

(2) Apply subcategories for tractors (other than vocational
tractors) as shown in Table 2 of this section.
(i) For vehicles certified to the optional tractor standards in
Sec. 1037.670, assign the subcategories as described in Sec. 1037.670.
(ii) For vehicles intended for export to Canada, you may assign the
subcategories as specified in the Canadian regulations.
(iii) Table 2 follows:

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 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

[[Page 255]]

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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34462, June 29, 2021]

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 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. Count forward gears as
being available only if the vehicle has the hardware and software to
allow operation in those gears.
(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).

[[Page 256]]

(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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34462, June 29, 2021]

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).
(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, test hybrid components, test
axle, and test transmission as applicable, by considering the whole
range of vehicle models covered by the powertrain family and the mix of
duty cycles specified in Sec. 1037.510. If the powertrain has more than
one transmission calibration, for example economy vs. performance, you
may weight the results from the powertrain testing in Sec. 1037.550 by
the percentage of vehicles in the family by prior model year for each
configuration. This can be done, for example, through the use of survey
data or based on the previous model year's sales volume. Weight the
results of Mfuel[cycle],

[[Page 257]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.112

and W[cycle] from Table 2 of Sec. 1037.550 according to the
percentage of vehicles in the family that use each transmission
calibration.
(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. These results will only
affect your vehicle FEL if the results of our confirmatory testing
result in a GEM vehicle emission value that is higher than the vehicle
FEL declared by the manufacturer. Unless we later invalidate these data,
we may decide not to consider your data in determining if your vehicle
family meets applicable requirements in this part.
(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 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

[[Page 258]]

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 (such as untested axle ratios within an axle
family) 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 based on prevailing industry practice. If we allow this, we may
test any configuration. We may also require you to test any
configuration as part of a selective enforcement audit.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34462, June 29, 2021]

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.

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

[[Page 259]]

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) Apply deterioration factors to measured emission levels for
comparing to the emission standard in subpart B of this part. 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34463, June 29, 2021]

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 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 an 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 the vehicle family for that
model year. We may

[[Page 260]]

make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine
that a 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 an application, we
will explain why in writing.
(c) In addition, we may deny an application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become 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 an application to
include all vehicles being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part.
(d) We may void a certificate of conformity 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 a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1037.820).

[86 FR 34463, June 29, 2021]

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 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 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.
(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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34463, June 29, 2021]

[[Page 261]]

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 1068.415
through 1068.425 for a selective enforcement audit with respect to drag
area:
(a) Determine whether a tractor meets standards as follows:
(1) We will select a vehicle configuration for testing. Perform a
coastdown measurement according to Sec. 1037.528 with the vehicle in
its production configuration. If the production configuration cannot be
connected to a standard trailer, you may ask us to approve trailer
specifications different than Sec. 1037.501(g)(1) based on good
engineering judgment. 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 yaw angle. You may use a previously established yaw
curve from your certification testing if it is available.
(3) Using the yaw curve, perform a regression using values of drag
area, CdAalt, and yaw angle, [psi]alt,
to determine the air-direction correction coefficients, a0,
a1, a2, a3, and a4, for the
following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.113

(4) Adjust the drag area value from each coastdown run,
CdArun, from the yaw angle of each run,
[psi]run, to 4.5[deg] to represent a
wind-averaged drag area value, CdAwa by applying
Eq. 1037.305-1 as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.114

(5) Perform additional coastdown measurements until you reach a pass
or fail decision under this paragraph (a). The minimum number of runs to
pass is 24. The minimum number of runs to fail is 100.
(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:

[[Page 262]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.115

Where:

CdAwa-bounded = 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.
[sigma] = the standard deviation of all CdAwa-run
values (see 40 CFR 1065.602(c)).
n = the total number of coastdown runs.

(7) Determine compliance 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 m\2\. The vehicle
passes or fails 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).
(v) You may continue testing beyond the stopping point specified in
this paragraph (a)(7). We may consider the additional data in making
pass/fail determinations.
(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

[[Page 263]]

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 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.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34463, June 29, 2021]

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 specified in this section. The following
provisions apply instead of 40 CFR 1068.415 through 1068.445 for the
selective enforcement audit.
(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 axle or transmission 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 using the applicable default engine map defined in
appendix C of 40

[[Page 264]]

CFR part 1036, and the default torque curve given in Table 1 of this
section for the vehicle class as defined in Sec. 1037.140(g). For axle
testing, this may require omitting several vehicle configurations based
on selecting axle ratios that correspond to the tested axle. For
transmission testing, use the test transmission's gear ratios in place
of the gear ratios defined in 40 CFR 1036.540. The GEM result for each
vehicle configuration counts as a separate test for determining whether
the family passes the audit.
(c) If the initial axle or transmission passes, the family passes
and no further testing is required. If the initial axle or transmission
does not pass, select two additional production axles or transmissions,
as applicable, to perform additional tests. Note that these could be
different axle and transmission configurations within the family. These
become official test results for the family. Use good engineering
judgment to use the results of these tests to update the declared maps
for the axle or transmission family. For example, if you fail the audit
test for any of the axles or transmissions tested, the audit result
becomes the declared map. This may also require revising any
analytically derived maps.

Table 1 to Sec. 1037.320--Default Torque Curves for Vehicle Class
----------------------------------------------------------------------------------------------------------------
Light HDV Medium HDV Heavy HDV Light HDV and medium
---------------------------------------------------------------------------------------- HDV spark-ignition
------------------------
Engine Engine Engine Engine Engine Engine Engine
Engine speed (r/min) torque speed (r/ torque speed (r/ torque speed (r/ torque
(N[middot]m) min) (N[middot]m) min) (N[middot]m) min) (N[middot]m)
----------------------------------------------------------------------------------------------------------------
750.................... 470 600 850 600 1200 600 433
907.................... 579 750 890 750 1320 700 436
1055................... 721 850 1000 850 1490 800 445
1208................... 850 950 1200 950 1700 900 473
1358................... 876 1050 1440 1050 1950 1000 492
1507................... 866 1100 1520 1100 2090 1100 515
1660................... 870 1150 1570 1200 2100 1200 526
1809................... 868 1250 1590 1250 2100 1300 541
1954................... 869 1300 1590 1300 2093 1400 542
2105................... 878 1450 1590 1400 2092 1500 542
2258................... 850 1500 1590 1500 2085 1600 542
2405................... 800 1600 1540 1520 2075 1700 547
2556................... 734 1700 1470 1600 2010 1800 550
2600................... 0 1800 1385 1700 1910 1900 551
............ 1900 1300 1800 1801 2000 554
............ 2000 1220 1900 1640 2100 553
............ 2100 1040 2000 1350 2200 558
............ 2250 590 2100 910 2300 558
............ 2400 0 2250 0 2400 566
............ ......... ............ ......... ............ 2500 571
............ ......... ............ ......... ............ 2600 572
............ ......... ............ ......... ............ 2700 581
............ ......... ............ ......... ............ 2800 586
............ ......... ............ ......... ............ 2900 587
............ ......... ............ ......... ............ 3000 590
............ ......... ............ ......... ............ 3100 591
............ ......... ............ ......... ............ 3200 589
............ ......... ............ ......... ............ 3300 585
............ ......... ............ ......... ............ 3400 584
............ ......... ............ ......... ............ 3500 582
............ ......... ............ ......... ............ 3600 573
............ ......... ............ ......... ............ 3700 562
............ ......... ............ ......... ............ 3800 555
............ ......... ............ ......... ............ 3900 544
............ ......... ............ ......... ............ 4000 534
............ ......... ............ ......... ............ 4100 517
............ ......... ............ ......... ............ 4200 473
............ ......... ............ ......... ............ 4291 442
............ ......... ............ ......... ............ 4500 150
----------------------------------------------------------------------------------------------------------------

[[Page 265]]

[86 FR 34464, June 29, 2021]

Subpart E_In-Use Testing

Sec. 1037.401 General provisions.

(a) We may perform in-use testing of any vehicle subject to the
standards of this part. For example, we may test vehicles to verify drag
areas or other GEM inputs as specified in paragraph (b) of this section.
(b) We may measure the drag area of a vehicle you produced after it
has been placed into service. We may use any of the procedures as
specified in Sec. Sec. 1037.525 through 1037.527 for measuring drag
area. Your vehicle conforms to the regulations of this part with respect
to aerodynamic performance if we measure its drag area to be at or below
the maximum drag area allowed for the bin to which that configuration
was certified.

Subpart F_Test and Modeling Procedures

Sec. 1037.501 General testing and modeling provisions.

This subpart specifies how to perform emission testing and emission
modeling required elsewhere in this part.
(a) Except as specified in subpart B of this part, you must
demonstrate that you meet emission standards using emission modeling as
described in Sec. Sec. 1037.515 and 1037.520. This modeling depends on
several measured values as described in this subpart F. You may use
fuel-mapping information from the engine manufacturer as described in 40
CFR 1036.535 and 1036.540, or you may use powertrain testing as
described in Sec. 1037.550.
(b) Where exhaust emission testing is required, use equipment and
procedures as described in 40 CFR part 1065 and part 1066. Measure
emissions of all the exhaust constituents subject to emission standards
as specified in 40 CFR part 1065 and part 1066. Use the applicable duty
cycles specified in Sec. 1037.510.
(c) See 40 CFR 86.101 and 86.1813 for measurement procedures that
apply for evaporative and refueling emissions.
(d) Use the applicable fuels specified 40 CFR part 1065 to perform
valid tests.
(1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use vehicles
will use.
(2) For diesel-fueled vehicles, use the appropriate diesel fuel
specified for emission testing. Unless we specify otherwise, the
appropriate diesel test fuel is ultra-low sulfur diesel fuel.
(3) For gasoline-fueled vehicles, use the gasoline for ``general
testing'' as specified in 40 CFR 86.1305.
(e) You may use special or alternate procedures as specified in 40
CFR 1065.10.
(f) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your vehicles meet emission standards.
(g) Apply this paragraph (g) whenever we specify the use of standard
trailers. Unless otherwise specified, a tolerance of 2 inches applies for all nominal trailer dimensions.
(1) The standard trailer for high-roof tractors must meet the
following criteria:
(i) It is an unloaded two-axle dry van 53.0 feet long, 102 inches
wide, and 162 inches high (measured from the ground with the trailer
level).
(ii) It has a king pin located with its center 36 0.5 inches from the front of the trailer and a
minimized trailer gap (no greater than 45 inches).
(iii) It has a simple orthogonal shape with smooth surfaces and
nominally flush rivets. Except as specified in paragraph (g)(1)(v) of
this section, the standard trailer does not include any aerodynamic
features such as side fairings, rear fairings, or gap reducers. It may
have a scuff band no more than 0.13 inches thick.
(iv) It includes dual 22.5 inch wheels, standard tandem axle,
standard mudflaps, and standard landing gear. The centerline of the
tandem axle assembly must be 145 5 inches from
the rear of the trailer. The landing gear must be installed in a
conventional configuration.
(v) For the Phase 2 standards, include side skirts meeting the
specifications of this paragraph (g)(1)(v). The side skirts must be
mounted flush with both sides of the trailer. The skirts must be an
isosceles trapezoidal shape. Each skirt must have a height of 36 2

[[Page 266]]

inches. The top edge of the skirt must be straight with a length of 341
2 inches. The bottom edge of the skirt must be
straight with a length of 268 2 inches and have a
ground clearance of 8 2 inches through that full
length. The sides of the skirts must be straight. The rearmost point of
the skirts must be mounted 32 2 inches in front
of the centerline of the trailer tandem axle assembly. We may approve
your request to use a skirt with different dimensions if these specified
values are impractical or inappropriate for your test trailer, and you
propose alternative dimensions that provide an equivalent or comparable
degree of aerodynamic drag for your test configuration.
(2) The standard trailer for mid-roof tractors is an empty two-axle
tank trailer 42 1 feet long by 140 inches high
and 102 inches wide.
(i) It has a 40 1 feet long cylindrical tank
with a 7000 7 gallon capacity, smooth surface,
and rounded ends.
(ii) The standard tank trailer does not include any aerodynamic
features such as side fairings, but does include a centered 20 inch
manhole, side-centered ladder, and lengthwise walkway. It includes dual
24.5 inch wheels.
(3) The standard trailer for low-roof tractors is an unloaded two-
axle flatbed trailer 53 1 feet long and 102
inches wide.
(i) The deck height is 60.0 0.5 inches in the
front and 55.0 0.5 inches in the rear. The
standard trailer does not include any aerodynamic features such as side
fairings.
(ii) It includes an air suspension and dual 22.5 inch wheels on
tandem axles.
(h) Use a standard tractor for measuring aerodynamic drag of
trailers. Standard tractors must be certified at Bin III (or more
aerodynamic if a Bin III tractor is unavailable) for Phase 1 or Phase 2
under Sec. 1037.520(b)(1) or (3). The standard tractor for long
trailers is a Class 8 high-roof sleeper cab. The standard tractor for
short trailers is a Class 7 or Class 8 high-roof day cab with a 4 x 2
drive-axle configuration.
(i) Note that declared GEM inputs for fuel maps and aerodynamic drag
area typically includes compliance margins to account for testing
variability; for other measured GEM inputs, the declared values are
typically the measured values without adjustment.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34465, June 29, 2021]

Sec. 1037.510 Duty-cycle exhaust testing.

This section applies for powertrain testing, cycle-average engine
fuel mapping, certain off-cycle testing under Sec. 1037.610, and the
advanced-technology provisions of Sec. 1037.615.
(a) Measure emissions by testing the vehicle on a chassis
dynamometer or the powertrain on a powertrain dynamometer with the
applicable duty cycles. Each duty cycle consists of a series of speed
commands over time--variable speeds for the transient test and constant
speeds for the highway cruise tests. None of these cycles include
vehicle starting or warmup.
(1) Perform testing for Phase 1 vehicles as follows to generate
credits or adjustment factors for off-cycle or advanced technologies:
(i) Transient cycle. The transient cycle is specified in Appendix I
of this part. Warm up the vehicle. Start the duty cycle within 30
seconds after concluding the preconditioning procedure. Start sampling
emissions at the start of the duty cycle.
(ii) Cruise cycle. For the 55 mi/hr and 65 mi/hr highway cruise
cycles, warm up the vehicle at the test speed, then sample emissions for
300 seconds while maintaining vehicle speed within 1.0 mi/hr of the speed setpoint; this speed tolerance
applies instead of the approach specified in 40 CFR 1066.425(b)(1) and
(2).
(2) Perform cycle-average engine fuel mapping as described in 40 CFR
1036.540. For powertrain testing under Sec. 1037.550 or Sec. 1037.555,
perform testing as described in this paragraph (a)(2) to generate GEM
inputs for each simulated vehicle configuration, and test runs
representing different idle conditions. Perform testing as follows:
(i) Transient cycle. The transient cycle is specified in appendix I
of this part.
(ii) Highway cruise cycles. The grade portion of the route
corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is
specified in appendix IV of this part. Maintain vehicle speed between -
1.0 mi/hr and 3.0 mi/hr of the

[[Page 267]]

speed setpoint; this speed tolerance applies instead of the approach
specified in 40 CFR 1066.425(b)(1) and (2).
(iii) Drive idle. Perform testing at a loaded idle condition for
Phase 2 vocational vehicles. For engines with an adjustable warm idle
speed setpoint, test at the minimum warm idle speed and the maximum warm
idle speed; otherwise simply test at the engine's warm idle speed. Warm
up the powertrain using the vehicle settings for the Test 1 vehicle
configuration as defined in Table 2 or 3 of 40 CFR 1036.540 by operating
it at 65 mi/hr for 600 seconds. Linearly ramp the powertrain down to
zero vehicle speed in 20 seconds. Set the engine to operate at idle
speed for 90 seconds, with the brake applied and the transmission in
drive (or clutch depressed for manual transmission), and sample
emissions to determine mean emission values (in g/s) over the last 30
seconds of idling.
(iv) Parked idle. Perform testing at an unloaded idle condition for
Phase 2 vocational vehicles. For engines with an adjustable warm idle
speed setpoint, test at the minimum warm idle speed and the maximum warm
idle speed; otherwise simply test at the engine's warm idle speed. Warm
up the powertrain using the vehicle settings for the Test 1 vehicle
configuration by operating it at 65 mi/hr for 600 seconds. Linearly ramp
the powertrain down to zero vehicle speed in 20 seconds. Set the engine
to operate at idle speed for 780 seconds, with the transmission in park
(or the transmission in neutral with the parking brake applied for
manual transmissions), and sample emissions to determine mean emission
values (in g/s) over the last 600 seconds of idling.
(3) Where applicable, perform testing on a chassis dynamometer as
follows:
(i) Transient cycle. The transient cycle is specified in Appendix I
of this part. Warm up the vehicle by operating over one transient cycle.
Within 60 seconds after concluding the warm up cycle, start emission
sampling and operate the vehicle over the duty cycle.
(ii) Highway cruise cycle. The grade portion of the route
corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is
specified in Appendix IV of this part. Warm up the vehicle by operating
it at the appropriate speed setpoint over the duty cycle. Within 60
seconds after concluding the preconditioning cycle, start emission
sampling and operate the vehicle over the duty cycle, maintaining
vehicle speed within 1.0 mi/hr of the speed
setpoint; this speed tolerance applies instead of the approach specified
in 40 CFR 1066.425(b)(1) and (2).
(b) Calculate the official emission result from the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.086

Where:

eCO2comp = total composite mass of CO2 emissions
in g/ton-mile, rounded to the nearest whole number for
vocational vehicles and to the first decimal place for
tractors.
PL = the standard payload, in tons, as specified in Sec. 1037.705.

[[Page 268]]

vmoving = mean composite weighted driven vehicle speed,
excluding idle operation, as shown in Table 1 of this section
for Phase 2 vocational vehicles. For other vehicles, let
vmoving = 1.
w[cycle] = weighting factor for the appropriate test cycle,
as shown in Table 1 of this section.
m[cycle] = CO2 mass emissions over each test cycle
(other than idle).
D[cycle] = the total driving distance for the indicated duty
cycle. Use 2.842 miles for the transient cycle, and use 13.429
miles for both of the highway cruise cycles.
mi[cycle]-idle = CO2 emission rate at idle.

Example: Class 7 vocational vehicle meeting the Phase 2 standards
based on the Regional duty cycle.
PL = 5.6 tons
vmoving = 38.41 mi/hr
wtransient = 20% = 0.20
wdrive-idle = 0% = 0
wparked-idle = 25% = 0.25
w55 = 24% = 0.24
w65 = 56% = 0.56
mtransient = 4083 g
m55 = 13834 g
m65 = 17018 g
Dtransient = 2.8449 miles
D55 = 13.429 miles
D65 = 13.429 miles
midrive-idle = 4188 g/hr
miparked-idle = 3709 g/hr
[GRAPHIC] [TIFF OMITTED] TR25OC16.087

(c) Weighting factors apply for each type of vehicle and for each
duty cycle as follows:
(1) GEM applies weighting factors for specific types of tractors as
shown in Table 1 of this section.
(2) GEM applies weighting factors for vocational vehicles as shown
in Table 1 of this section. Modeling for Phase 2 vocational vehicles
depends on characterizing vehicles by duty cycle to apply proper
weighting factors and average speed values. Select either Urban,
Regional, or Multi-Purpose as the most appropriate duty cycle for
modeling emission results with each vehicle configuration, as specified
in Sec. Sec. 1037.140 and 1037.150.
(3) Table 1 follows:

Table 1 of Sec. 1037.510--Weighting Factors for Duty Cycles
----------------------------------------------------------------------------------------------------------------
Distance-weighted Time-weighted a Average
---------------------------------------------------------------- speed
during non-
Transient 55 mi/hr 65 mi/hr Drive Parked Non-idle idle cycles
(%) cruise cruise idle (%) idle (%) (%) (mi/hr) b
(%) (%)
----------------------------------------------------------------------------------------------------------------
Day Cabs........................... 19 17 64 ........ ........
Sleeper Cabs....................... 5 9 86 ........ ........
Heavy-haul tractors................ 19 17 64 ........ ........
Vocational--Regional............... 20 24 56 0 25 75 38.41
Vocational--Multi-Purpose (2b-7)... 54 29 17 17 25 58 23.18
Vocational--Multi-Purpose (8)...... 54 23 23 17 25 58 23.27
Vocational--Urban (2b-7)........... 92 8 0 15 25 60 16.25
Vocational--Urban (8).............. 90 10 0 15 25 60 16.51
Vocational with conventional 42 21 37 ........ ........
powertrain (Phase 1 only).........
Vocational Hybrid Vehicles (Phase 1 75 9 16 ........ ........ ........
only).............................
----------------------------------------------------------------------------------------------------------------
a Note that these drive idle and non-idle weighting factors do not reflect additional drive idle that occurs
during the transient cycle. The transient cycle does not include any parked idle.
b These values apply even for vehicles not following the specified speed traces.

(d) For transient testing, compare actual second-by-second vehicle
speed with the speed specified in the test cycle and ensure any
differences are consistent with the criteria as specified in 40 CFR
1066.425(b) and (c). If the speeds do not conform to these criteria, the
test is not valid and must be repeated.

[[Page 269]]

(e) Run test cycles as specified in 40 CFR part 1066. For testing
vehicles equipped with cruise control over the highway cruise cycles,
you may use the vehicle's cruise control to control the vehicle speed.
For vehicles equipped with adjustable vehicle speed limiters, test the
vehicle with the vehicle speed limiter at its highest setting.
(f) For Phase 1, test the vehicle using its adjusted loaded vehicle
weight, unless we determine this would be unrepresentative of in-use
operation as specified in 40 CFR 1065.10(c)(1).
(g) For hybrid vehicles, correct for the net energy change of the
energy storage device as described in 40 CFR 1066.501.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34465, June 29, 2021]

Sec. 1037.515 Determining CO2 emissions to show compliance for trailers.

This section describes a compliance approach for trailers that is
consistent with the modeling for vocational vehicles and tractors
described in Sec. 1037.520, but is simplified consistent with the
smaller number of trailer parameters that affect CO2
emissions. Note that the calculated CO2 emission rate,
eCO2, is equivalent to the value that would result from
running GEM with the same input values.
(a) Compliance equation. Calculate CO2 emissions for
demonstrating compliance with emission standards for each trailer
configuration.
(1) Use the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.088

Where:

Ci = constant values for calculating CO2 emissions
from this regression equation derived from GEM, as shown in
Table 1 of this section. Let C5 = 0.988 for
trailers that have automatic tire inflation systems with all
wheels, and let C5 = 0.990 for trailers that have
tire pressure monitoring systems with all wheels (or a mix of
the two systems); otherwise, let C5 1.
TRRL = tire rolling resistance level as specified in paragraph (b) of
this section.
[Delta]CdA = the [Delta]CdA value for the trailer
as specified in paragraph (c) of this section.
WR = weight reduction as specified in paragraph (d) or (e) of this
section.

Table 1 of Sec. 1037.515--Regression Coefficients for Calculating CO2 Emissions
----------------------------------------------------------------------------------------------------------------
Trailer category C1 C2 C3 C4
----------------------------------------------------------------------------------------------------------------
Long dry box van................................ 76.1 1.67 -5.82 -0.00103
Long refrigerated box van....................... 77.4 1.75 -5.78 -0.00103
Short dry box van............................... 117.8 1.78 -9.48 -0.00258
Short refrigerated box van...................... 121.1 1.88 -9.36 -0.00264
----------------------------------------------------------------------------------------------------------------

(2) The following is an example for calculating the mass of
CO2 emissions, eCO2, from a long dry box van that
has a tire pressure monitoring system for all wheels, an aluminum
suspension assembly, aluminum floor, and is designated as Bin IV:

C1 = 76.1
C2 = 1.67
TRRL = 4.6 kg/tonne
C3 = -5.82
[Delta]CdA = 0.7 m\2\
C4 = -0.00103
WR = 655 lbs
C5 = 0.990
eCO2 = (76.1 + 1.67 + (-5.82 [middot]0.7) + (-0.00103
[middot]655)) [middot]0.990
eCO2 = 78.24 g/ton-mile
(b) Tire rolling resistance. Use the procedure specified in Sec.
1037.520(c) to determine the tire rolling resistance level for your
tires. Note that you may base tire rolling resistance levels on
measurements performed by tire manufacturers, as long as those
measurements meet this part's specifications.

[[Page 270]]

(c) Drag area. You may use [Delta]CdA values approved
under Sec. 1037.211 for device manufacturers if your trailers are
properly equipped with those devices. Determine [Delta]CdA
values for other trailers based on testing. Measure CdA and
determine [Delta]CdA values as described in Sec.
1037.526(a). You may use [Delta]CdA values from one trailer
configuration to represent any number of additional trailers based on
worst-case testing. This means that you may apply [Delta]CdA
values from your measurements to any trailer models of the same category
with drag area at or below that of the tested configuration. For
trailers in the short dry box vans and short refrigerated box vans that
are not 28 feet long, apply the [Delta]CdA value established
for a comparable 28-foot trailer model; you may use the same devices
designed for 28-foot trailers or you may adapt those devices as
appropriate for the different trailer length, consistent with good
engineering judgment. For example, 48-foot trailers may use longer side
skirts than the skirts that were tested with a 28-foot trailer. Trailer
and device manufacturers may seek preliminary approval for these
adaptations. Determine bin levels based on [Delta]CdA test
results as described in the following table:

Table 2 of Sec. 1037.515--Bin Determinations for Trailers Based on
Aerodynamic Test Results
[[Delta]CdA in m2]
------------------------------------------------------------------------
And use the
following value
If a trailer's measured Designate the trailer for [Delta]CDA .
[Delta]CDA is . . . as . . . . .

------------------------------------------------------------------------
<=0.09........................ Bin I................ 0.0
0.10-0.39..................... Bin II............... 0.1
0.40-0.69..................... Bin III.............. 0.4
0.70-0.99..................... Bin IV............... 0.7
1.00-1.39..................... Bin V................ 1.0
1.40-1.79..................... Bin VI............... 1.4
=1.80.............. Bin VII.............. 1.8
------------------------------------------------------------------------

(d) Weight reduction. Determine weight reduction for a trailer
configuration by summing all applicable values, as follows:
(1) Determine weight reduction for using lightweight materials for
wheels as described in Sec. 1037.520(e).
(2) Apply weight reductions for other components made with light-
weight materials as shown in the following table:

Table 3 of Sec. 1037.515--Weight Reductions for Trailers
[pounds]
------------------------------------------------------------------------
Weight reduction
Component Material (pounds)
------------------------------------------------------------------------
Structure for Suspension Aluminum............. 280
Assembly a.
Hub and Drum (per axle)....... Aluminum............. 80
Floor b....................... Aluminum............. 375
Floor b....................... Composite (wood and 245
plastic).
Floor Crossmembers b.......... Aluminum............. 250
Landing Gear.................. Aluminum............. 50
Rear Door..................... Aluminum............. 187
Rear Door Surround............ Aluminum............. 150
Roof Bows..................... Aluminum............. 100
Side Posts.................... Aluminum............. 300
Slider Box.................... Aluminum............. 150
Upper Coupler Assembly........ Aluminum............. 430
------------------------------------------------------------------------
\a\ For tandem-axle suspension sub-frames made of aluminum, apply a
weight reduction of 280 pounds. Use good engineering judgment to
estimate a weight reduction for using aluminum sub-frames with other
axle configurations.
\b\ Calculate a smaller weight reduction for short trailers by
multiplying the indicated values by 0.528 (28/53).

[[Page 271]]

(e) Off-cycle. You may apply the off-cycle provisions of Sec.
1037.610 to trailers as follows:
(1) You may account for weight reduction based on measured values
instead of using paragraph (d) of this section. Quantify the weight
reduction by measuring the weight of a trailer in a certified
configuration and comparing it to the weight of an equivalent trailer
without weight-reduction technologies. This qualifies as A to B testing
under Sec. 1037.610. Use good engineering judgment to select an
equivalent trailer representing a baseline configuration. Use the
calculated weight reduction in Eq. 1037.515-1 to calculate the trailer's
CO2 emission rate.
(2) If your off-cycle technology reduces emissions in a way that is
proportional to measured emissions as described in Sec. 1037.610(b)(1),
multiply the trailer's CO2 emission rate by the appropriate
improvement factor.
(3) If your off-cycle technology does not yield emission reductions
that are proportional to measured emissions, as described in Sec.
1037.610(b)(2), calculate an adjusted CO2 emission rate for
your trailers by subtracting the appropriate off-cycle credit.
(4) Note that these off-cycle provisions do not apply for trailers
subject to design standards.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34465, June 29, 2021]

Sec. 1037.520 Modeling CO2 emissions to show compliance for vocational
vehicles and tractors.

This section describes how to use the Greenhouse gas Emissions Model
(GEM) (incorporated by reference in Sec. 1037.810) to show compliance
with the CO2 standards of Sec. Sec. 1037.105 and 1037.106
for vocational vehicles and tractors. Use GEM version 2.0.1 to
demonstrate compliance with Phase 1 standards; use GEM Phase 2, Version
3.5.1 to demonstrate compliance with Phase 2 standards. Use good
engineering judgment when demonstrating compliance using GEM. See Sec.
1037.515 for calculation procedures for demonstrating compliance with
trailer standards.
(a) General modeling provisions. To run GEM, enter all applicable
inputs as specified by the model.
(1) GEM inputs apply for Phase 1 standards as follows:
(i) Model year and regulatory subcategory (see Sec. 1037.230).
(ii) Coefficient of aerodynamic drag or drag area, as described in
paragraph (b) of this section (tractors only).
(iii) Steer and drive tire rolling resistance, as described in
paragraph (c) of this section.
(iv) Vehicle speed limit, as described in paragraph (d) of this
section (tractors only).
(v) Vehicle weight reduction, as described in paragraph (e) of this
section (tractors only for Phase 1).
(vi) Automatic engine shutdown systems, as described in Sec.
1037.660 (only for Class 8 sleeper cabs). Enter a GEM input value of 5.0
g/ton-mile, or an adjusted value as specified in Sec. 1037.660.
(2) For Phase 2 vehicles, the GEM inputs described in paragraphs
(a)(1)(i) through (v) of this section continue to apply. Note that the
provisions in this part related to vehicle speed limiters and automatic
engine shutdown systems are available for vocational vehicles in Phase
2. The rest of this section describes additional GEM inputs for
demonstrating compliance with Phase 2 standards. Simplified versions of
GEM apply for limited circumstances as follows:
(i) You may use default engine fuel maps for glider kits as
described in Sec. 1037.635.
(ii) If you certify vehicles to the custom-chassis standards
specified in Sec. 1037.105(h), run GEM by identifying the vehicle type
and entering ``NA'' instead of what would otherwise apply for, tire
revolutions per mile, engine information, transmission information,
drive axle ratio, axle efficiency, and aerodynamic improvement as
specified in paragraphs (c)(1), (f), (g)(1) and (3), (i), and (m) of
this section, respectively. Incorporate other GEM inputs as specified in
this section.
(b) Coefficient of aerodynamic drag and drag area for tractors.
Determine the appropriate drag area, CdA, for tractors as
described in this paragraph (b). Use the recommended method or an
alternate method to establish a value for CdA, expressed in
m\2\ to one decimal place, as specified in Sec. 1037.525. Where

[[Page 272]]

we allow you to group multiple configurations together, measure
CdA of the worst-case configuration.
(1) Except as specified in paragraph (b)(2) of this section,
determine the Phase 1 bin level for your vehicle based on measured
CdA values as shown in the following tables:

Table 1 to Sec. 1037.520--Cd Inputs for Phase 1 High-Roof Tractors
----------------------------------------------------------------------------------------------------------------
If your
measured CDA Then your CD
Tractor type Bin level (M2) is . . input is . . .

----------------------------------------------------------------------------------------------------------------
High-Roof Day Cabs............................ Bin I........................... =8. 0.79
0
Bin II.......................... 7.1-7.9 0.72
Bin III......................... 6.2-7.0 0.63
Bin IV.......................... 5.6-6.1 0.56
Bin V........................... <=5.5 0.51
High-Roof Sleeper Cabs........................ Bin I........................... =7. 0.75
6
Bin II.......................... 6.8-7.5 0.68
Bin III......................... 6.3-6.7 0.60
Bin IV.......................... 5.6-6.2 0.52
Bin V........................... <=5.5 0.47
----------------------------------------------------------------------------------------------------------------

Table 2 to Sec. 1037.520--Cd Inputs for Phase 1 Low-Roof and Mid-Roof Tractors
----------------------------------------------------------------------------------------------------------------
If your
measured CDA Then your CD
Tractor type Bin level (M2) is . . input is . . .

----------------------------------------------------------------------------------------------------------------
Low-Roof Day and Sleeper Cabs................. Bin I........................... =5. 0.77
Bin II.......................... 1 0.71
<=5.0
Mid-Roof Day and Sleeper Cabs................. Bin I........................... =5. 0.87
6
Bin II.......................... <=5.5 0.82
----------------------------------------------------------------------------------------------------------------

(2) For Phase 1 low- and mid-roof tractors, you may instead
determine your drag area bin based on the drag area bin of an equivalent
high-roof tractor. If the high-roof tractor is in Bin I or Bin II, then
you may assume your equivalent low- and mid-roof tractors are in Bin I.
If the high-roof tractor is in Bin III, Bin IV, or Bin V, then you may
assume your equivalent low- and mid-roof tractors are in Bin II.
(3) For Phase 2 tractors other than heavy-haul tractors, determine
bin levels and CdA inputs as follows:
(i) Determine bin levels for high-roof tractors based on aerodynamic
test results as specified in Sec. 1037.525 and summarized in the
following table:

Table 3 to Sec. 1037.520--Bin Determinations for Phase 2 High-Roof Tractors Based on Aerodynamic Test Results
[CdA in m\2\]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII
--------------------------------------------------------------------------------------------------------------------------------------------------------
Day Cabs..................................................... 6.6-7.1 6.0-6.5 5.5-5.9 5.0-5.4 4.5-4.9 <=4.4
=7.2
Sleeper Cabs................................................. 6.3-6.8 5.7-6.2 5.2-5.6 4.7-5.1 4.2-4.6 <=4.1
=6.9
--------------------------------------------------------------------------------------------------------------------------------------------------------

(ii) For low- and mid-roof tractors, you may either use the same bin
level that applies for an equivalent high-roof tractor as shown in Table
3 of this section, or you may determine your bin level based on
aerodynamic test results as described in Table 4 of this section.

[[Page 273]]

Table 4 to Sec. 1037.520--Bin Determinations for Phase 2 Low-Roof and Mid-Roof Tractors Based on Aerodynamic Test Results
[CdA in m\2\]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII
--------------------------------------------------------------------------------------------------------------------------------------------------------
Low-Roof Cabs................................................ 4.9-5.3 4.5-4.8 4.1-4.4 3.8-4.0 3.5-3.7 <=3.4
=5.4
Mid-Roof Cabs................................................ 5.5-5.8 5.1-5.4 4.7-5.0 4.4-4.6 4.1-4.3 <=4.0
=5.9
--------------------------------------------------------------------------------------------------------------------------------------------------------

(iii) Determine the CdA input according to the tractor's
bin level as described in the following table:

Table 5 to Sec. 1037.520--Phase 2 CdA Tractor Inputs Based on Bin Level
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII
--------------------------------------------------------------------------------------------------------------------------------------------------------
High-Roof Day Cabs........................................... 7.45 6.85 6.25 5.70 5.20 4.70 4.20
High-Roof Sleeper Cabs....................................... 7.15 6.55 5.95 5.40 4.90 4.40 3.90
Low-Roof Cabs................................................ 6.00 5.60 5.15 4.75 4.40 4.10 3.80
Mid-Roof Cabs................................................ 7.00 6.65 6.25 5.85 5.50 5.20 4.90
--------------------------------------------------------------------------------------------------------------------------------------------------------

(4) Note that, starting in model year 2027, GEM internally reduces
CdA for high-roof tractors by 0.3 m2 to simulate adding a
rear fairing to the standard trailer.
(c) Tire revolutions per mile and rolling resistance. You must have
a tire revolutions per mile (TRPM) and a tire rolling resistance level
(TRRL) for each tire configuration. For purposes of this section, you
may consider tires with the same SKU number to be the same
configuration. Determine TRRL input values separately for drive and
steer tires; determine TRPM only for drive tires.
(1) Use good engineering judgment to determine a tire's revolutions
per mile to the nearest whole number as specified in SAE J1025
(incorporated by reference in Sec. 1037.810). Note that for tire sizes
that you do not test, we will treat your analytically derived
revolutions per mile the same as test results, and we may perform our
own testing to verify your values. We may require you to test a sample
of additional tire sizes that we select.
(2) Measure tire rolling resistance in kg per metric ton as
specified in ISO 28580 (incorporated by reference in Sec. 1037.810),
except as specified in this paragraph (c). Use good engineering judgment
to ensure that your test results are not biased low. You may ask us to
identify a reference test laboratory to which you may correlate your
test results. Prior to beginning the test procedure in Section 7 of ISO
28580 for a new bias-ply tire, perform a break-in procedure by running
the tire at the specified test speed, load, and pressure for 60 2 minutes.
(3) For each tire design tested, measure rolling resistance of at
least three different tires of that specific design and size. Perform
the test at least once for each tire. Calculate the arithmetic mean of
these results to the nearest 0.1 kg/tonne and use this value or any
higher value as your GEM input for TRRL. You must test at least one tire
size for each tire model, and may use engineering analysis to determine
the rolling resistance of other tire sizes of that model. Note that for
tire sizes that you do not test, we will treat your analytically derived
rolling resistances the same as test results, and we may perform our own
testing to verify your values. We may require you to test a small sub-
sample of untested tire sizes that we select.
(4) If you obtain your test results from the tire manufacturer or
another third party, you must obtain a signed statement from the party
supplying those test results to verify that tests were conducted
according to the requirements of this part. Such statements are deemed
to be submissions to EPA.
(5) For tires marketed as light truck tires that have load ranges C,
D, or E,

[[Page 274]]

use as the GEM input TRRL multiplied by 0.87.
(6) For vehicles with at least three drive axles or for vehicles
with more than three axles total, use good engineering judgment to
combine tire rolling resistance into three values (steer, drive 1, and
drive 2) for use in GEM. This may require performing a weighted average
of tire rolling resistance from multiple axles based on the typical load
on each axle. For liftable axles, calculate load- and time-weighted
values to represent the load and the amount of time these tires are in
contact with the ground during typical in-use operation.
(7) For vehicles with a single rear axle, enter ``NA'' as the TRRL
value for drive axle 2.
(d) Vehicle speed limit. If the vehicles will be equipped with a
vehicle speed limiter, input the maximum vehicle speed to which the
vehicle will be limited (in miles per hour rounded to the nearest 0.1
mile per hour) as specified in Sec. 1037.640. Use good engineering
judgment to ensure the limiter is tamper resistant. We may require you
to obtain preliminary approval for your designs.
(e) Vehicle weight reduction. Develop a weight-reduction as a GEM
input as described in this paragraph (e). Enter the sum of weight
reductions as described in this paragraph (e), or enter zero if there is
no weight reduction. For purposes of this paragraph (e), high-strength
steel is steel with tensile strength at or above 350 MPa.
(1) Vehicle weight reduction inputs for wheels are specified
relative to dual-wide tires with conventional steel wheels. For purposes
of this paragraph (e)(1), an aluminum alloy qualifies as light-weight if
a dual-wide drive wheel made from this material weighs at least 21
pounds less than a comparable conventional steel wheel. The inputs are
listed in Table 6 of this section. For example, a tractor or vocational
vehicle with aluminum steer wheels and eight (4x2) dual-wide aluminum
drive wheels would have an input of 210 pounds (2x21 + 8x21).

Table 6 to Sec. 1037.520--Wheel-Related Weight Reductions
------------------------------------------------------------------------
Weight Weight
reduction-- reduction--
Weight-reduction technology phase 1 (lb per phase 2 (lb per
wheel) wheel)
------------------------------------------------------------------------
Wide-Base Single Drive Tire with . .
.\a\
Steel Wheel..................... 84 84
Aluminum Wheel.................. 139 147
Light-Weight Aluminum Alloy 147 147
Wheel..........................
Wide-Base Single Trailer Tire with .
. .\a\
Steel Wheel..................... ................ 84
Aluminum or Aluminum Alloy Wheel ................ 131
Steer Tire, Dual-wide Drive Tire, or
Dual-wide Trailer Tire with . . .
High-Strength Steel Wheel....... 8 8
Aluminum Wheel.................. 21 25
Light-Weight Aluminum Alloy 30 25
Wheel..........................
------------------------------------------------------------------------
\a\ The weight reduction for wide-base tires accounts for reduced tire
weight relative to dual-wide tires.

(2) Weight reduction inputs for tractor components other than wheels
are specified in the following table:

Table 7 to Sec. 1037.520--Nonwheel-Related Weight Reductions From Alternative Materials for Tractors
[Pounds]
----------------------------------------------------------------------------------------------------------------
High-strength
Weight reduction technologies Aluminum steel Thermoplastic
----------------------------------------------------------------------------------------------------------------
Door.......................................................... 20 6
Roof.......................................................... 60 18
Cab rear wall................................................. 49 16
Cab floor..................................................... 56 18
Hood Support Structure System................................. 15 3

[[Page 275]]

Hood and Front Fender......................................... .............. ............... 65
Day Cab Roof Fairing.......................................... .............. ............... 18
Sleeper Cab Roof Fairing...................................... 75 20 40
Aerodynamic Side Extender..................................... .............. ............... 10
Fairing Support Structure System.............................. 35 6
Instrument Panel Support Structure............................ 5 1
Brake Drums--Drive (set of 4)................................. 140 74
Brake Drums--Non Drive (set of 2)............................. 60 42
Frame Rails................................................... 440 87
Crossmember--Cab.............................................. 15 5
Crossmember--Suspension....................................... 25 6
Crossmember--Non Suspension (set of 3)........................ 15 5
Fifth Wheel................................................... 100 25
Radiator Support.............................................. 20 6
Fuel Tank Support Structure................................... 40 12
Steps......................................................... 35 6
Bumper........................................................ 33 10
Shackles...................................................... 10 3
Front Axle.................................................... 60 15
Suspension Brackets, Hangers.................................. 100 30
Transmission Case............................................. 50 12
Clutch Housing................................................ 40 10
Fairing Support Structure System.............................. 35 6
Drive Axle Hubs (set of 4).................................... 80 20
Non Drive Hubs (2)............................................ 40 5
Two-piece driveshaft.......................................... 20 5
Transmission/Clutch Shift Levers.............................. 20 4 ...............
----------------------------------------------------------------------------------------------------------------

(3) Weight-reduction inputs for vocational-vehicle components other
than wheels are specified in the following table:

Table 8 to Sec. 1037.520--Nonwheel-Related Weight Reductions From Alternative Materials for Phase 2 Vocational
Vehicles
[Pounds] \a\
----------------------------------------------------------------------------------------------------------------
Vehicle type
--------------------------------------
Component Material Medium HDV
Light HDV \b\ Heavy HDV
----------------------------------------------------------------------------------------------------------------
Axle Hubs--Non-Drive...................... Aluminum..................... 40 40
Axle Hubs--Non-Drive...................... High Strength Steel.......... 5 5
Axle--Non-Drive........................... Aluminum..................... 60 60
Axle--Non-Drive........................... High Strength Steel.......... 15 15
Brake Drums--Non-Drive.................... Aluminum..................... 60 60
Brake Drums--Non-Drive.................... High Strength Steel.......... 42 42
Axle Hubs--Drive.......................... Aluminum..................... 40 80
Axle Hubs--Drive.......................... High Strength Steel.......... 10 20
Brake Drums--Drive........................ Aluminum..................... 70 140
Brake Drums--Drive........................ High Strength Steel.......... 37 74
Suspension Brackets, Hangers.............. Aluminum..................... 67 100
Suspension Brackets, Hangers.............. High Strength Steel.......... 20 30
----------------------------------------------------------------------------------------------------------------
Crossmember--Cab.......................... Aluminum..................... 10 15 15
Crossmember--Cab.......................... High Strength Steel.......... 2 5 5
Crossmember--Non-Suspension............... Aluminum..................... 15 15 15
Crossmember--Non-Suspension............... High Strength Steel.......... 5 5 5
Crossmember--Suspension................... Aluminum..................... 15 25 25
Crossmember--Suspension................... High Strength Steel.......... 6 6 6
Driveshaft................................ Aluminum..................... 12 40 50
Driveshaft................................ High Strength Steel.......... 5 10 12
Frame Rails............................... Aluminum..................... 120 300 440
Frame Rails............................... High Strength Steel.......... 40 40 87
----------------------------------------------------------------------------------------------------------------
\a\ Weight-reduction values apply per vehicle unless otherwise noted.
\b\ For Medium HDV with 6x4 or 6x2 axle configurations, use the values for Heavy HDV.

[[Page 276]]

(4) Apply vehicle weight inputs for changing technology
configurations as follows:
(i) For Class 8 tractors or for Class 8 vocational vehicles with a
permanent 6x2 axle configuration, apply a weight reduction input of 300
pounds. However, apply no weight reduction for coach buses certified to
custom-chassis standards under Sec. 1037.105(h).
(ii) For Class 8 tractors with 4x2 axle configuration, apply a
weight reduction input of 400 pounds.
(iii) For tractors with installed engines with displacement below
14.0 liters, apply a weight reduction of 300 pounds.
(iv) For tractors with single-piece driveshafts with a total length
greater than 86 inches, apply a weight reduction of 43 pounds for steel
driveshafts and 63 pounds for aluminum driveshafts.
(5) You may ask to apply the off-cycle technology provisions of
Sec. 1037.610 for weight reductions not covered by this paragraph (e).
(f) Engine characteristics. Enter information from the engine
manufacturer to describe the installed engine and its operating
parameters as described in 40 CFR 1036.503. The fuel-mapping information
must apply for the vehicle's GVWR; for example, if you install a medium
heavy-duty engine in a Class 8 vehicle, the engine must have additional
fuel-mapping information for the heavier vehicle. Note that you do not
need fuel consumption at idle for tractors.
(g) Vehicle characteristics. Enter the following information to
describe the vehicle and its operating parameters:
(1) Transmission make, model, and type. Also identify the gear ratio
for every available forward gear to two decimal places, the input torque
limit for each of the forward gears, and, if applicable, the lowest gear
involving a locked torque converter. Count forward gears as being
available only if the vehicle has the hardware and software to allow
operation in those gears. For vehicles with a manual transmission, GEM
applies a 2% emission increase relative to automated manual
transmissions. If your vehicle has a dual-clutch transmission, use good
engineering judgment to determine if it can be accurately represented in
GEM as an automated manual transmission. We may require you to perform a
powertrain test with dual-clutch transmissions to show that they can be
properly simulated as an automated manual transmission.
(2) Drive axle make, model, and configuration. Select a drive axle
configuration to represent your vehicle for modeling.
(i) 4x2: One drive axle and one non-drive axle. This includes
vehicles with two drive axles where one of the drive axles is
disconnectable and that disconnectable drive axle is designed to be
connected only when the vehicle is driven off-road or in slippery
conditions if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically
disconnected from the drive shaft and the wheels when the axle is in 4x2
configuration.
(B) You provide power loss data generated according to Sec.
1037.560 for the combination of both drive axles, where the
disconnectable drive axle is in the disconnected configuration.
(ii) 6x2: One drive axle and two non-drive axles.
(iii) 6x4: Two or more drive axles, or more than three total axles.
Note that this includes, for example, a vehicle with two drive axles out
of four total axles (otherwise known as an 8x4 configuration).
(iv) 6x4D: One non-drive axle and two drive axles where one of the
two drive axles is automatically disconnectable such that the axle can
switch between 6x2 and 6x4 configurations. You may select this
configuration only if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically
disconnected from the drive shaft and the wheels when the axle is in the
6x2 configuration.
(B) You provide power loss data generated according to Sec.
1037.560 for the combination of both drive axles, where the
disconnectable drive axle is in the disconnected configuration.
(3) Drive axle ratio, ka. If a vehicle is designed with
two or more user-selectable axle ratios, use the drive axle ratio that
is expected to be engaged for

[[Page 277]]

the greatest driving distance. If the vehicle does not have a drive
axle, such as a hybrid vehicle with direct electric drive, let
ka = 1.
(4) GEM inputs associated with powertrain testing include powertrain
family, transmission calibration identifier, test data from Sec.
1037.550, and the powertrain test configuration (dynamometer connected
to transmission output or wheel hub). You do not need to identify or
provide inputs for transmission gear ratios, fuel map data, or engine
torque curves, which would otherwise be required under paragraph (f) of
this section.
(h) Idle speed and idle-reduction technologies. The following
provisions apply for engine idling:
(1) For engines with no adjustable warm idle speed, input vehicle
idle speed as the manufacturer's declared warm idle speed. For engines
with adjustable warm idle speed, input your vehicle idle speed as
follows:

------------------------------------------------------------------------
Your default
And your engine is vehicle idle
If your vehicle is a . . . subject to . . . speed is . .
.\1\
------------------------------------------------------------------------
(i) Heavy HDV................. compression-ignition 600 r/min.
or spark-ignition
standards.
(ii) Medium HDV tractor....... compression-ignition 700 r/min.
standards.
(iii) Light HDV or Medium HDV compression-ignition 750 r/min.
vocational vehicle. standards.
(iv) Light HDV or Medium HDV.. spark-ignition 600 r/min.
standards.
------------------------------------------------------------------------
\1\ If the default idle speed is above or below the engine
manufacturer's whole range of declared warm idle speeds, use the
manufacturer's maximum or minimum declared warm idle speed,
respectively, instead of the default value.

(2) Identify whether your vehicle has qualifying idle-reduction
technologies, subject to the qualifying criteria in Sec. 1037.660, as
follows:
(i) Stop-start technology and automatic engine shutdown systems
apply for vocational vehicles. See paragraph (j) of this section for
automatic engine shutdown systems for tractors.
(ii) Neutral idle applies for tractors and vocational vehicles.
(i) Axle, transmission, and torque converter characterization. You
may characterize the axle, transmission, and torque converter using axle
efficiency maps as described in Sec. 1037.560, transmission efficiency
maps as described in Sec. 1037.565, and torque converter capacity
factors and torque ratios as described in Sec. 1037.570 to replace the
default values in GEM. If you obtain your test results from the axle
manufacturer, transmission manufacturer, torque converter manufacturer
or another third party, you must obtain a signed statement from the
party supplying those test results to verify that tests were conducted
according to the requirements of this part. Such statements are deemed
to be submissions to EPA.
(j) Additional reduction technologies. Enter input values in GEM as
follows to characterize the percentage CO2 emission reduction
corresponding to certain technologies and vehicle configurations, or
enter 0:
(1) Intelligent controls. Enter 2 for tractors with predictive
cruise control. This includes any cruise control system that
incorporates satellite-based global-positioning data for controlling
operator demand. For other tractors, enter 1.5 if they have neutral
coasting, unless good engineering judgment indicates that a lower
percentage should apply.
(2) Accessory load. Enter the following values related to accessory
loads; if more than one item applies, enter the sum of those values:
(i) If vocational vehicles have electrically powered pumps for
steering, enter 0.5 for vocational vehicles certified with the Regional
duty cycle, and enter 1 for other vocational vehicles.
(ii) If tractors have electrically powered pumps for both steering
and engine cooling, enter 1.
(iii) If vehicles have a high-efficiency air conditioning
compressor, enter 0.5 for tractors and vocational Heavy HDV, and enter 1
for other vocational vehicles. This includes all electrically powered
compressors. It also include mechanically powered compressors if the
coefficient of performance improves by 10 percent or greater over the
baseline design, consistent with the provisions for improved evaporators

[[Page 278]]

and condensers in 40 CFR 86.1868-12(h)(5).
(3) Tire-pressure systems. Enter 1.2 for vehicles with automatic
tire inflation systems on all axles (1.1 for Multi-Purpose and Urban
vocational vehicles). Enter 1.0 for vehicles with tire pressure
monitoring systems on all axles (0.9 for Multi-Purpose and Urban
vocational vehicles). If vehicles use a mix of the two systems, treat
them as having only tire pressure monitoring systems.
(4) Extended-idle reduction. Enter values as shown in the following
table for sleeper cabs equipped with idle-reduction technology meeting
the requirements of Sec. 1037.660 that are designed to automatically
shut off the main engine after 300 seconds or less:

Table 9 to Sec. 1037.520--GEM Input Values for AES Systems
------------------------------------------------------------------------
GEM input values
-------------------------
Technology Tamper-
Adjustable resistant
------------------------------------------------------------------------
Standard AES system........................... 1 4
With diesel APU............................... 3 4
With battery APU.............................. 5 6
With automatic stop-start..................... 3 3
With fuel-operated heater (FOH)............... 2 3
With diesel APU and FOH....................... 4 5
With battery APU and FOH...................... 5 6
With stop-start and FOH....................... 4 5
------------------------------------------------------------------------

(5) Other. Additional GEM inputs may apply as follows:
(i) Enter 0.9 and 1.7, respectively, for school buses and coach
buses that have at least seven available forward gears.
(ii) If we approve off-cycle technology under Sec. 1037.610 in the
form of an improvement factor, enter the improvement factor expressed as
a percentage reduction in CO2 emissions. (Note: In the case
of approved off-cycle technologies whose benefit is quantified as a g/
ton-mile credit, apply the credit to the GEM result, not as a GEM input
value.)
(k) Vehicles with hybrid power take-off. For vocational vehicles,
determine the delta PTO emission result of your engine and hybrid power
take-off system as described in Sec. 1037.540.
(l) [Reserved]
(m) Aerodynamic improvements for vocational vehicles. For vocational
vehicles certified using the Regional duty cycle, enter
[Delta]CdA values to account for using aerodynamic devices as
follows:
(1) Enter 0.2 for vocational vehicles with an installed rear fairing
if the vehicle is at least 7 m long with a minimum frontal area of 8
m\2\.
(2) For vehicles at least 11 m long with a minimum frontal area of 9
m\2\, enter 0.5 if the vehicle has both skirts and a front fairing, and
enter 0.3 if it has only one of those devices.
(3) You may determine input values for these or other technologies
based on aerodynamic measurements as described in Sec. 1037.527.
(n) Alternate fuels. For fuels other than those identified in GEM,
perform the simulation by identifying the vehicle as being diesel-fueled
if the engine is subject to the compression-ignition standard, or as
being gasoline-fueled if the engine is subject to the spark-ignition
standards. Correct the engine or powertrain fuel map for mass-specific
net energy content as described in 40 CFR 1036.535(b).

[86 FR 34467, June 29, 2021]

Sec. 1037.525 Aerodynamic measurements for tractors.

This section describes a methodology for quantifying aerodynamic
drag for use in determining input values for tractors as described in
Sec. 1037.520. This coastdown testing is the reference method for
aerodynamic measurements.
(a) General provisions. The GEM input for a tractor's aerodynamic
performance is a Cd value for Phase 1 and a CdA
value for Phase 2. The input value is measured or calculated for a
tractor in a specific test configuration with a trailer, such as a high-
roof tractor with

[[Page 279]]

a box van meeting the requirements for the standard trailer.
(1) Aerodynamic measurements may involve any of several different
procedures. Measuring with different procedures introduces variability,
so we identify the coastdown method in Sec. 1037.528 as the primary (or
reference) procedure. You may use other procedures with our advance
approval as described in paragraph (d) of this section, but we require
that you adjust your test results from other test methods to correlate
with coastdown test results. All adjustments must be consistent with
good engineering judgment. Submit information describing how you
quantify aerodynamic drag from coastdown testing, whether or not you use
an alternate method.
(2) Test high-roof tractors with a standard trailer as described in
Sec. 1037.501(g)(1). Note that the standard trailer for Phase 1
tractors is different from that of later model years. Note also that GEM
may model a different configuration than the test configuration, but
accounts for this internally. Test low-roof and mid-roof tractors
without a trailer; however, you may test low-roof and mid-roof tractors
with a trailer to evaluate off-cycle technologies.
(b) Adjustments to correlate with coastdown testing. Adjust
aerodynamic drag values from alternate methods to be equivalent to the
corresponding values from coastdown measurements as follows:
(1) Determine the functional relationship between your alternate
method and coastdown testing. Specify this functional relationship as
Falt-aero for a given alternate drag measurement method. The
effective yaw angle, [psi]eff, is assumed to be zero degrees
for Phase 1. For Phase 2, determine [psi]eff from coastdown
test results using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.116

Where:

CdAcoastdown([psi]eff) = the average
drag area measured during coastdown at an effective yaw angle,
[psi]eff.
CdAalt([psi]eff) = the average drag
area calculated from an alternate drag measurement method at an
effective yaw angle, [psi]eff.

(2) Unless good engineering judgment dictates otherwise, assume that
coastdown drag is proportional to drag measured using alternate methods
and apply a constant adjustment factor, Falt-aero, for a
given alternate drag measurement method of similar vehicles.
(3) Determine Falt-aero by performing coastdown testing
and applying your alternate method on the same vehicles. Consider all
applicable test data including data collected during selective
enforcement audits. Unless we approve another vehicle, one vehicle must
be a Class 8 high-roof sleeper cab with a full aerodynamics package
pulling a standard trailer. Where you have more than one tractor model
meeting these criteria, use the tractor model with the highest projected
sales. If you do not have such a tractor model, you may use your most
comparable tractor model with our prior approval. In the case of
alternate methods other than those specified in this subpart, good
engineering judgment may require you to determine your adjustment factor
based on results from more than the specified minimum number of
vehicles.
(4) Measure the drag area using your alternate method for a Phase 2
tractor used to determine Falt-aero with testing at yaw
angles of 0[deg], 1[deg], 3[deg], 4.5[deg], 6[deg], and 9[deg] (you may
include additional angles), using direction conventions described in
Figure 2 of SAE J1252 (incorporated by reference in Sec. 1037.810).
Also, determine the drag area at the coastdown effective yaw angle,
CdAalt([psi]eff), by taking the average
drag area at [psi]eff and -[psi]eff for your
vehicle using the same alternate method.
(5) For Phase 2 testing, determine separate values of
Falt-aero for at least one high-roof day cab and one high-
roof sleeper cab for model year 2021, for at least two high-roof day
cabs and two high-roof sleeper cabs for model year 2024, and for at
least three high-roof day cabs and three high-roof sleeper cabs for
model year 2027. These test requirements are cumulative; for example,
you may meet these requirements

[[Page 280]]

by testing two vehicles to support model year 2021 certification and
four additional vehicles to support model year 2023 certification. For
any untested tractor models, apply the value of Falt-aero
from the tested tractor model that best represents the aerodynamic
characteristics of the untested tractor model, consistent with good
engineering judgment. Testing under this paragraph (b)(5) continues to
be valid for later model years until you change the tractor model in a
way that causes the test results to no longer represent production
vehicles. You must also determine unique values of Falt-aero
for low-roof and mid-roof tractors if you determine CdA
values based on low or mid-roof tractor testing as shown in Table 4 of
Sec. 1037.520. For Phase 1 testing, if good engineering judgment allows
it, you may calculate a single, constant value of Falt-aero
for your whole product line by dividing the coastdown drag area,
CdAcoastdown, by drag area from your alternate
method, CdAalt.
(6) Determine Falt-aero to at least three decimal places.
For example, if your coastdown testing results in a drag area of 6.430,
but your wind tunnel method results in a drag area of 6.200, Falt-
aero would be 1.037 (or a higher value you declare).
(7) If a tractor and trailer cannot be configured to meet the gap
requirements specified in Sec. 1037.501(g)(1)(ii), test with the
trailer positioned as close as possible to the specified gap dimension
and use good engineering judgment to correct the results to be
equivalent to a test configuration meeting the specified gap dimension.
For example, we may allow you to correct your test output using an
approved alternate method or substitute a test vehicle that is capable
of meeting the required specifications and is otherwise aerodynamically
equivalent. This allowance applies for certification, confirmatory
testing, SEA, and all other testing to demonstrate compliance with
standards.
(8) You may ask us for preliminary approval of your coastdown
testing under Sec. 1037.210. We may witness the testing.
(c) Yaw sweep corrections. Aerodynamic features can have a different
effectiveness for reducing wind-averaged drag than is predicted by zero-
yaw drag. The following procedures describe how to determine a tractor's
CdA values to account for wind-averaged drag as specified in
Sec. 1037.520:
(1) Apply the following method for all Phase 2 testing with an
alternate method:
(i) Calculate the wind-averaged drag area from the alternate method,
CdAwa-alt, using an average of measurements at -
4.5 and +4.5 degrees.
(ii) Determine your wind-averaged drag area,
CdAwa, rounded to one decimal place, using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.117

(2) Apply the following method for Phase 2 coastdown testing other
than coastdown testing used to establish Falt-aero:
(i) Determine your drag area at the effective yaw angle from
coastdown, CdAcoastdown([psi]eff).
(ii) Use an alternate method to calculate the ratio of the wind-
averaged drag area, CdAwa-alt (using an average of
measurements at -4.5 and +4.5 degrees) to the drag area at the effective
yaw angle, CdAalt([psi]eff).
(iii) Determine your wind-averaged drag area,
CdAwa, rounded to one decimal place, using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.118

[[Page 281]]

(3) Different approximations apply for Phase 1. For Phase 1 testing,
you may correct your zero-yaw drag area as follows if the ratio of the
zero-yaw drag area divided by yaw-sweep drag area for your vehicle is
greater than 0.8065 (which represents the ratio expected for a typical
Class 8 high-roof sleeper cab):
(i) Determine the zero-yaw drag area, CdAzero-
yaw, and the yaw-sweep drag area for your vehicle using the same
alternate method as specified in this subpart. Measure the drag area for
0[deg], -6[deg], and +6[deg]. Use the arithmetic mean of the -6[deg] and
+6[deg] drag areas as the 6[deg] drag area,
CdA<plus-minus>6.
(ii) Calculate your yaw-sweep correction factor, CFys,
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.119

(iii) Calculate your corrected drag area for determining the
aerodynamic bin by multiplying the measured zero-yaw drag area by
CFys, as determined using Eq. 1037.525-4, as applicable. You
may apply the correction factor to drag areas measured using other
procedures. For example, apply CFys to drag areas measured
using the coastdown method. If you use an alternate method, apply an
alternate correction, Falt-aero, and calculate the final drag
area using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.120

(iv) You may ask us to apply CFys to similar vehicles
incorporating the same design features.
(v) As an alternative, you may calculate the wind-averaged drag area
according to SAE J1252 (incorporated by reference in Sec. 1037.810) and
substitute this value into Eq. 1037.525-4 for the 6[deg] drag area.
(d) Approval of alternate methods. You must obtain preliminary
approval before using any method other than coastdown testing to
quantify aerodynamic drag. We will approve your request if you show that
your procedures produce data that are the same as or better than
coastdown testing with respect to repeatability and unbiased
correlation. Note that the correlation is not considered to be biased if
there is a bias before correction, but you remove the bias using
Falt-aero. Send your request for approval to the Designated
Compliance Officer. Keep records of the information specified in this
paragraph (d). Unless we specify otherwise, include this information
with your request. You must provide any information we require to
evaluate whether you may apply the provisions of this section. Include
additional information related to your alternate method as described in
Sec. Sec. 1037.530 through 1037.534. If you use a method other than
those specified in this subpart, include all the following information,
as applicable:
(1) Official name/title of the procedure.
(2) Description of the procedure.
(3) Cited sources for any standardized procedures that the method is
based on.
(4) Description and rationale for any modifications/deviations from
the standardized procedures.
(5) Data comparing the procedure to the coastdown reference
procedure.
(6) Additional information specified for the alternate methods
described in Sec. Sec. 1037.530 through 1037.534 as applicable to this
method (e.g., source location/address, background/history).

[86 FR 34473, June 29, 2021]

Sec. 1037.526 Aerodynamic measurements for trailers.

This section describes a methodology for determining aerodynamic
drag area, CdA for use in determining input values for box
vans as described in Sec. Sec. 1037.515 and 1037.520.
(a) A trailer's aerodynamic performance for demonstrating compliance
with standards is based on a [Delta]CdA value relative to a
baseline trailer. Determine these [Delta]CdA values by
performing A to B testing, as follows:
(1) Determine a baseline CdA value for a standard tractor
pulling a test trailer representing a production configuration; use a
53-foot test trailer to

[[Page 282]]

represent long trailers and a 28-foot test trailer to represent short
trailers. Repeat this testing with the same tractor and the applicable
baseline trailer. For testing long trailers, the baseline trailer is a
trailer meeting the specifications for a Phase 1 standard trailer in
Sec. 1037.501(g)(1); for testing refrigerated box vans, use a baseline
trailer with an installed HVAC unit that properly represents a baseline
configuration correlated with the production configuration. For testing
short trailers, use a 28-foot baseline trailer with a single axle that
meets the same specifications as the Phase 1 standard trailer, except as
needed to accommodate the reduced trailer length.
(2) Use good engineering judgment to perform paired tests that
accurately demonstrate the reduction in aerodynamic drag associated with
the improved design. For example, the gap dimension should be the same
for all paired tests, and effective yaw angle between paired tests
should differ by no more than 1.0[deg].
(3) Measure CdA in m\2\ to two decimal places. Calculate
[Delta]CdA by subtracting the drag area for the test trailer
from the drag area for the baseline trailer.
(b) The default method for measuring is the wind-tunnel procedure as
specified in Sec. 1037.530. You may test using alternate methods as
follows:
(1) If we approve it in advance, you may instead use one of the
alternate methods specified in Sec. Sec. 1037.528 through 1037.532,
consistent with good engineering judgment, which may require that you
adjust your test results from the alternate test method to correlate
with the primary method. If you request our approval to determine
[Delta]CdA using an alternate method, you must submit
additional information as described in paragraph (d) of this section.
(2) The principles of 40 CFR 1065.10(c)(1) apply for aerodynamic
test methods. Specifically, we may require that you use coastdown
measurements if we determine that certain technologies are not suited to
evaluation with wind-tunnel testing or CFD, such as nonrigid materials
whose physical characteristics change in scaled-model testing. You may
similarly reference 40 CFR 1065.10(c)(1) in your request to use
coastdown testing as an alternate method.
(c) The following provisions apply for combining multiple devices
under this section for the purpose of certifying trailers:
(1) If the device manufacturer establishes a [Delta]CdA
value in a single test with multiple aerodynamic devices installed,
trailer manufacturers may use that [Delta]CdA value directly
for the same combination of aerodynamic devices installed on production
trailers.
(2) Trailer manufacturers may combine [Delta]CdA values
for aerodynamic devices that are not tested together, as long as each
device does not significantly impair the effectiveness of another,
consistent with good engineering judgment. To approximate the overall
benefit of multiple devices, calculate a composite [Delta]CdA
value for multiple aerodynamic devices by applying the full
[Delta]CdA value for the device with the greatest aerodynamic
improvement, adding the second-highest [Delta]CdA value
multiplied by 0.9, and adding any other [Delta]CdA values
multiplied by 0.8.
(d) You must send us a description of your plan to perform testing
under this section before you start testing. We will evaluate whether
plans for wind-tunnel testing meet the specifications of Sec. 1037.530,
and will tell you if you may or must use any other method to determine
drag coefficients. We will approve your request to use an alternate
method if you show that your procedures produce data that are the same
as or better than wind-tunnel testing with respect to repeatability and
unbiased correlation. Note that the correlation is not considered to be
biased if there is a bias before correction, but you apply a correction
to remove the bias. Send your testing plan to the Designated Compliance
Officer. Keep records of the information specified in this paragraph
(d). Unless we specify otherwise, include this information with your
request. You must provide any information we require to evaluate whether
you may apply the provisions of this section. Include additional
information related to your alternate method as described in Sec. Sec.
1037.528 through 1037.534.

[[Page 283]]

Sec. 1037.527 Aerodynamic measurements for vocational vehicles.

This section describes a methodology for determining aerodynamic
drag area, CdA, for use in determining input values for
vocational vehicles as described in Sec. 1037.520. This measurement is
optional.
(a) Determine [Delta]CdA values by performing A to B
testing as described for trailers in Sec. 1037.526, with any
appropriate adjustments, consistent with good engineering judgment.
(b) [Reserved]

Sec. 1037.528 Coastdown procedures for calculating drag area (CdA).

The coastdown procedures in this section describe how to calculate
drag area, CdA, for Phase 2 tractors, trailers, and
vocational vehicles, subject to the provisions of Sec. Sec. 1037.525
through 1037.527. These procedures are considered the reference method
for tractors, but an alternate method for trailers. Follow the
provisions of Sections 1 through 9 of SAE J2263 (incorporated by
reference in Sec. 1037.810), with the clarifications and exceptions
described in this section. Several of these exceptions are from SAE
J1263 (incorporated by reference in Sec. 1037.810). The coastdown
procedures in 40 CFR 1066.310 apply instead of the provisions of this
section for Phase 1 tractors.
(a) The terms and variables identified in this section have the
meaning given in SAE J1263 and SAE J2263 unless specified otherwise.
(b) To determine CdA values for a tractor, perform
coastdown testing with a tractor-trailer combination using the
manufacturer's tractor and a standard trailer. To determine
CdA values for a trailer, perform coastdown testing with a
tractor-trailer combination using a standard tractor. Prepare tractors
and trailers for testing as follows:
(1) Install instrumentation for performing the specified
measurements.
(2) After adding vehicle instrumentation, verify that there is no
brake drag or other condition that prevents the wheels from rotating
freely. Do not apply the parking brake at any point between this
inspection and the end of the measurement procedure.
(3) Install tires mounted on steel rims in a dual configuration
(except for steer tires). The tires must--
(i) Be SmartWay-Verified or have a coefficient of rolling resistance
at or below 5.1 kg/metric ton.
(ii) Have accumulated at least 2,000 miles but have no less than 50
percent of their original tread depth, as specified for truck cabs in
SAE J1263.
(iii) Not be retreads or have any apparent signs of chunking or
uneven wear.
(iv) Be size 295/75R22.5 or 275/80R22.5.
(v) Be inflated to the proper tire pressure as specified in Sections
6.6 and 8.1 of SAE J2263.
(vi) Be of the same tire model for a given axle.
(4) Perform an inspection or wheel alignment for both the tractor
and the trailer to ensure that wheel position is within the
manufacturer's specifications.
(c) The test condition specifications described in Sections 7.1
through 7.4 of SAE J1263 apply, with certain exceptions and additional
provisions as described in this paragraph (c). These conditions apply to
each run separately.
(1) We recommend that you not perform coastdown testing if winds are
expected to exceed 6.0 mi/hr.
(2) The average of the component of the wind speed parallel to the
road must not exceed 6.0 mi/hr. This constraint is in addition to those
in Section 7.3 of SAE J1263.
(3) If road grade is greater than 0.02% over the length of the test
surface, you must determine elevation as a function of distance along
the length of the test surface and incorporate this into the analysis.
(4) Road grade may exceed 0.5% for limited portions of the test
surface as long as it does not affect coastdown results, consistent with
good engineering judgment.
(5) The road surface temperature must be at or below 50 [deg]C. Use
good engineering judgment to measure road surface temperature.
(d) CdA calculations are based on measured speed values
while the vehicle coasts down through a high-speed range from 70 to 60
mi/hr, and through a low-speed range from 20 to 10 mi/hr.

[[Page 284]]

Disable any vehicle speed limiters that prevent travel above 72 mi/hr.
Measure vehicle speed at a minimum recording frequency of 10 Hz, in
conjunction with time-of-day data. Determine vehicle speed using either
of the following methods:
(1) Complete coastdown runs. Operate the vehicle at a top speed
above 72.0 mi/hr and allow the vehicle to coast down to 8.0 mi/hr or
lower. Collect data for the high-speed range over a test segment that
includes speeds from 72.0 down to 58.0 mi/hr, and collect data for the
low-speed range over a test segment that includes speeds from 22.0 down
to 8.0 mi/hr.
(2) Split coastdown runs. Collect data during a high-speed coastdown
while the vehicle coasts through a test segment that includes speeds
from 72.0 mi/hr down to 58.0 mi/hr. Similarly, collect data during a
low-speed coastdown while the vehicle coasts through a test segment that
includes speeds from 22.0 mi/hr down to 8.0 mi/hr. Perform one high-
speed coastdown segment or two consecutive high-speed coastdown segments
in one direction, followed by the same number of low-speed coastdown
segments in the same direction, and then perform that same number of
measurements in the opposite direction. You may not split runs as
described in Section 9.3.1 of SAE J2263 except as allowed under this
paragraph (d)(2).
(e) Measure wind speed, wind direction, air temperature, and air
pressure at a recording frequency of 10 Hz, in conjunction with time-of-
day data. Use at least one stationary anemometer and suitable data
loggers meeting SAE J1263 specifications, subject to the following
additional specifications for the anemometer placed along the test
surface:
(1) You must start a coastdown measurement within 24 hours after
completing zero-wind and zero-angle calibrations.
(2) Place the anemometer at least 50 feet from the nearest tree and
at least 25 feet from the nearest bush (or equivalent features).
Position the anemometer adjacent to the test surface, near the midpoint
of the length of the track, between 2.5 and 3.0 body widths from the
expected location of the test vehicle's centerline as it passes the
anemometer. Record the location of the anemometer along the test track,
to the nearest 10 feet.
(3) Mount the anemometer at a height that is within 6 inches of half
the test vehicle's body height.
(4) The height of vegetation surrounding the anemometer may not
exceed 10% of the anemometer's mounted height, within a radius equal to
the anemometer's mounted height.
(f) Measure air speed and relative wind direction (yaw angle)
onboard the vehicle at a minimum recording frequency of 10 Hz, in
conjunction with time-of-day data, using an anemometer and suitable data
loggers that meet the requirements of Sections 5.4 of SAE J2263. The yaw
angle must be measured to a resolution and accuracy of 0.5[deg]. Mount the anemometer such that it measures air
speed at 1.5 meters above the top of the leading edge of the trailer. If
obstructions at the test site do not allow for this mounting height,
then mount the anemometer such that it measures air speed at least 0.85
meters above the top of the leading edge of the trailer.
(g) Perform the following calculations to filter and correct
measured data:
(1) For any measured values not identified as outliers, use those
measured values directly in the calculations specified in this section.
Filter air speed, yaw angle, wind speed, wind direction, and vehicle
speed measurements to replace outliers for every measured value as
follows:
(i) Determine a median measured value to represent the measurement
point and the measurements 3 seconds before and after that point. In the
first and last three seconds of the coastdown run, use all available
data to determine the median measured value. The measurement window for
determining the median value will accordingly include 61 measurements in
most cases, and will always include at least 31 measurements (for 10 Hz
recording frequency).
(ii) Determine the median absolute deviation corresponding to each
measurement window from paragraph (g)(1)(i) of this section. This
generally results from calculating 61 absolute deviations from the
median measured

[[Page 285]]

value and determining the median from those 61 deviations. Calculate the
standard deviation for each measurement window by multiplying the median
absolute deviation by 1.4826; calculate three standard deviations by
multiplying the median absolute deviation by 4.4478. Note that the
factor 1.4826 is a statistical constant that relates median absolute
deviations to standard deviations.
(iii) A measured value is an outlier if the measured value at a
given point differs from the median measured value by more than three
standard deviations. Replace each outlier with the median measured value
from paragraph (g)(1)(i) of this section. This technique for filtering
outliers is known as the Hampel method.
(2) For each high-speed and each low-speed segment, correct measured
air speed using the wind speed and wind direction measurements described
in paragraph (e) of this section as follows:
(i) Calculate the theoretical air speed, vair,th, for
each 10-Hz set of measurements using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.094

Where:

w = filtered wind speed.
v = filtered vehicle speed.
[oslash]w = filtered wind direction. Let [oslash]w
= 0[deg] for air flow in the first travel direction, with
values increasing counterclockwise. For example, if the
vehicle starts by traveling eastbound, then
[oslash]w = 270[deg] means a wind from the south.
[oslash]veh = the vehicle direction. Use
[oslash]veh = 0[deg] for travel in the first
direction, and use [oslash]veh = 180[deg] for
travel in the opposite direction.
Example:
w = 7.1 mi/hr
v = 64.9 mi/hr
[oslash]w = 47.0[deg]
[oslash]veh = 0[deg]
[GRAPHIC] [TIFF OMITTED] TR25OC16.095

vair,th = 69.93 mi/hr

(ii) Perform a linear regression using paired values of
vair,th and measured air speed, vair,meas, to
determine the air-speed correction coefficients, a0 and
a1, based on the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.096

(iii) Correct each measured value of air speed using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.097

(3) Correct measured air direction from all the high-speed segments
using the wind speed and wind direction measurements described in
paragraph (e) of this section as follows:
(i) Calculate the theoretical air direction, c;air,th,
using the following equation:

[[Page 286]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.098

Example:
w = 7.1 mi/hr
v = 64.9 mi/hr
[oslash]w = 47.0[deg]
[oslash]veh = 0[deg]
[GRAPHIC] [TIFF OMITTED] TR25OC16.099

cair,th = 4.26[deg]

(ii) Perform a linear regression using paired values of
cair,th and measured air direction, cair,meas, to
determine the air-direction correction coefficients, b0 and
b1, based on the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.100

(iii) Correct each measured value of air direction using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.101

(h) Determine drag area, CdA, using the following
procedure instead of the procedure specified in Section 10 of SAE J1263:
(1) Calculate the vehicle's effective mass, Me, to
account for rotational inertia by adding 56.7 kg to the measured vehicle
mass, M, (in kg) for each tire making road contact.
(2) Operate the vehicle and collect data over the high-speed range
and low-speed range as specified in paragraph (d)(1) or (2) of this
section. If the vehicle has a speed limiter that prevents it from
exceeding 72 mi/hr, you must disable the speed limiter for testing.
(3) Calculate mean vehicle speed at each speed start point (70 and
20 mi/hr) and end point (60 and 10 mi/hr) as follows:
(i) Calculate the mean vehicle speed to represent the start point of
each speed range as the arithmetic average of measured speeds throughout
the continuous time interval that begins when measured vehicle speed is
less than 2.00 mi/hr above the nominal starting speed point and ends
when measured vehicle speed reaches 2.00 mi/hr below the nominal
starting speed point, expressed to at least two decimal places.
Calculate the timestamp corresponding to the starting point of each
speed range as the average timestamp of the interval.
(ii) Repeat the calculations described in paragraph (h)(3)(i) of
this section corresponding to the end point speed (60 or 10 mi/hr) to
determine the time at which the vehicle reaches the end speed, and the
mean vehicle speed representing the end point of each speed range.
(iii) If you incorporate grade into your calculations, use the
average values for the elevation and distance traveled over each
interval.
(4) Calculate the road-load force, F, for each speed range using the
following equation:

[[Page 287]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.102

Where:

Me = the vehicle's effective mass.
v = average vehicle speed at the start or end of each speed range, as
described in paragraph (h)(3) of this section.
t = timestamp at which the vehicle reaches the starting or ending speed
expressed to at least one decimal place.
M = the vehicle's measured mass.
ag = acceleration of Earth's gravity, as described in 40 CFR
1065.630.
h = average elevation at the start or end of each speed range expressed
to at least two decimal places.
D = distance traveled on the road surface from a fixed reference
location along the road to the start or end of each speed
range expressed to at least one decimal place.

Example:
Me = 17,129 kg (18 tires in contact with the road surface)
vstart = 69.97 mi/hr = 31.28 m/s
vend = 59.88 mi/hr = 26.77 m/s
tstart = 3.05 s
tend = 19.11 s
M = 16,108 kg
ag = 9.8061 m/s\2\
hstart = 0.044 m
hend = 0.547 m
Dstart = 706.8 ft = 215.4 m
Dend = 2230.2 ft = 697.8 m
[GRAPHIC] [TIFF OMITTED] TR25OC16.103

F = 4645.5 N

(5) For tractor testing, calculate the drive-axle spin loss force at
high and low speeds, Fspin[speed], and determine
[Delta]Fspin as follows:
(i) Use the results from the axle efficiency test described in Sec.
1037.560 for the drive axle model installed in the tractor being tested
for this coastdown procedure.
(ii) Perform a second-order regression of axle power loss in W from
only the zero-torque test points with wheel speed, fnwheel,
in r/s from the axle efficiency test to determine coefficients
c0, c1, and c2.
[GRAPHIC] [TIFF OMITTED] TR25OC16.104

(iii) Calculate Fspin[speed] using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.105

Where:

vseg[speed] = the mean vehicle speed of all vehicle speed
measurements in each low-speed and high-speed segment.
TRPM = tire revolutions per mile for the drive tire model installed on
the tractor being tested according to Sec. 1037.520(c)(1).

Example:
vseghi = 28.86 m/s

[[Page 288]]

vseglo = 5.84 m/s
TRPM = 508 r/mi = 0.315657 r/m
c0 = -206.841 W
c1 = 239.8279 W[middot]s/r
c2 = 21.27505 W[middot]s\2\/r\2\
[GRAPHIC] [TIFF OMITTED] TR25OC16.106

Fspinhi = 129.7 N
Fspinlo = 52.7 N

(iv) Calculate [Delta]Fspin using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.107

Example:
[Delta]Fspin = 129.7-52.7 = 77.0 N

(6) For tractor testing, calculate the tire rolling resistance force
at high and low speeds for steer, drive, and trailer axle positions,
FTRR[speed,axle], and determine [Delta]FTRR, the
rolling resistance difference between 65 mi/hr and 15 mi/hr, for each
tire as follows:
(i) Conduct a stepwise coastdown tire rolling resistance test with
three tires for each tire model installed on the vehicle using SAE J2452
(incorporated by reference in Sec. 1037.810) for the following test
points (which replace the test points in Table 3 of SAE J2452):

Table 1 of Sec. 1037.528--Stepwise Coastdown Test Points for
Determining Tire Rolling Resistance as a Function of Speed
------------------------------------------------------------------------
Inflation
Step Number Load (% of pressure (%
max) of max)
------------------------------------------------------------------------
1............................................. 20 100
2............................................. 55 70
3............................................. 85 120
4............................................. 85 100
5............................................. 100 95
------------------------------------------------------------------------

(ii) Calculate FTRR[speed,axle] using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.121

[[Page 289]]

Where:

nt,[axle] = number of tires at the axle position.
p[axle] = the inflation pressure set and measured on the
tires at the axle position at the beginning of the coastdown
test.
L[axle] = the load over the axle at the axle position on the
coastdown test vehicle.
[alpha][axle], [beta][axle], a[axle],
b[axle], and c[axle] = regression
coefficients from SAE J2452 that are specific to axle
position.
Example:
nt,steer = 2
psteer = 758.4 kPa
Lsteer = 51421.2 N
[alpha]steer = -0.2435
[beta]steer = 0.9576
asteer = 0.0434
bsteer = 5.4[middot]10^-5
csteer = 5.53[middot]10^-7
nt,drive = 8
pdrive = 689.5 kPa
Ldrive = 55958.4 N
[alpha]drive = -0.3146
[beta]drive = 0.9914
adrive = 0.0504
bdrive = 1.11[middot]10^-4
cdrive = 2.86[middot]10^-7
nt,trailer = 8
ptrailer = 689.5 kPa
Ltrailer = 45727.5 N
[alpha]trailer = -0.3982
[beta]trailer = 0.9756
atrailer = 0.0656
btrailer = 1.51[middot]10^-4
ctrailer = 2.94[middot]10^-7
vseghi = 28.86 m/s = 103.896 km/hr
vseglo = 5.84 m/s = 21.024 km/hr
[GRAPHIC] [TIFF OMITTED] TR29JN21.122

FTRRhi,steer = 365.6 N
FTRRhi,drive = 431.4 N
FTRRhi,trailer = 231.7 N
FTRRlo,steer = 297.8 N
FTRRlo,drive = 350.7 N
FTRRlo,trailer = 189.0 N

(iii) Calculate FTRR[speed] by summing the tire rolling
resistance calculations at a given speed for each axle position:
[GRAPHIC] [TIFF OMITTED] TR29JN21.123

Example:
FTRRhi = 365.6 + 431.4 + 231.7 = 1028.7 N
FTRRlo = 297.8 + 350.7 + 189.0 = 837.5 N

(iv) Adjust FTRR[speed] to the ambient temperature during
the coastdown segment as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.124

Where:

Tseg[speed] = the average ambient temperature during the
coastdown segment, in [deg]C.
Example:
FTRRhi = 1028.7 N
FTRRlo = 837.5 N
Tseghi = 25.5 [deg]C
Tseglo = 25.1 [deg]C
FTRRhi,adj = 1 + 0.006[middot](24-25.5)] = 1019.4 N
FTRRlo,adj = 837.5[middot][1 + 0.006[middot](24-25.1] = 832.0
N

(v) Determine the difference in rolling resistance between 65 mph
and 15 mph, [Delta]FTRR, for each tire. Use good engineering
judgment to consider the multiple results. For example, you may ignore
the test results for the tires with the highest and lowest differences

[[Page 290]]

and use the result from the remaining tire. Determine
[Delta]FTRR as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.125

Example:
[Delta]FTRR = 1019.4-832.0 = 187.4 N

(7) For trailer testing, determine [Delta]FTRR using a
default value adjusted to the ambient temperature instead of performing
a rolling resistance test, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.113

Where:

[Delta]FTRR,def = default rolling resistance force speed
adjustment; Use 215 N for long box vans and 150 N for short
box vans.
Tcoast = the average ambient temperature during both low and
high speed segments.

Example:
[Delta]FTRR,def = 215 N
Tcoast = 25.5 [deg]C
[Delta]FTRR = 215[middot][1 + 0.0006[middot](24-25.5)] =
213.1 N

(8) Square the air speed measurements and calculate average squared
air speed during each speed range for each run,v\2\air,hi and
v\2\air,lo.
(9) Average the Flo and v\2\air,lo values for
each pair of runs in opposite directions. If running complete coastdowns
as described in paragraph (d)(1) or one high-speed segment per direction
as described in paragraph (d)(2), average every two Flo and
v\2\air,lo values. If running two high-speed segments per
direction as described in paragraph (d)(2), average every four
Flo and v\2\air,lo values. Use these values as
Flo,pair and v\2\air,lo,pair in the calculations
in this paragraph (h) to apply to each of the two or four high-speed
segments from the same runs as the low-speed segments used to determine
Flo,pair and v\2\air,lo,pair.
(10) Calculate average air temperature T and air pressure
Pact during each high-speed run.
(11) Calculate drag area, CdA, in m\2\ for each high-
speed segment using the following equation, expressed to at least three
decimal places:
[GRAPHIC] [TIFF OMITTED] TR25OC16.114

Where:

Fhi = road load force at high speed determined from Eq.
1037.528-7.
Flo,pair = the average of Flo values for a pair of
opposite direction runs calculated as described in paragraph
(h)(9) of this section.
[Delta]Fspin = the difference in drive-axle spin loss force
between high-speed and low-speed coastdown segments. This is
described in paragraph (h)(5) of this section for tractor
testing. Let [Delta]Fspin = 110 N for trailer
testing.
[Delta]FTRR = the difference in tire rolling resistance force
between high-speed and low-speed coastdown segments as
described in paragraphs (h)(6) or (7) of this section.
v\2\air,lo,pair = the average of v\2\air,lo values
for a pair of opposite direction runs calculated as described
in paragraph (h)(9) of this section.
R = specific gas constant = 287.058 J/(kg[middot]K).

[[Page 291]]

T = mean air temperature expressed to at least one decimal place.
Pact = mean absolute air pressure expressed to at least one
decimal place.

Example:
Fhi = 4645.5 N
Flo,pair = 1005.0 N
[Delta]Fspin = 77.0 N
[Delta]FTRR = 187.4 N
v\2\air,hi = 933.4 m\2\/s\2\
v\2\air,lo,pair = 43.12 m\2\/s\2\
R = 287.058 J/(kg[middot]K)
T = 285.97 K
Pact = 101.727 kPa = 101727 Pa
[GRAPHIC] [TIFF OMITTED] TR25OC16.115

CdA = 6.120 m\2\

(12) Calculate your final CdA value from the high-speed
segments as follows:
(i) Eliminate all points where there were known equipment problems
or other measurement problems.
(ii) Of the remaining points, calculate the median of the absolute
value of the yaw angles, cmed, and eliminate all
CdA values that differ by more than 1.0[deg] from
cmed.
(iii) Of the remaining points, calculate the mean and standard
deviation of CdA and eliminate all values that differ by more
than 2.0 standard deviations from the mean value.
(iv) There must be at least 24 points remaining. Of the remaining
points, recalculate the mean yaw angle. Round the mean yaw angle to the
nearest 0.1[deg]. This final result is the effective yaw angle,
ceff, for coastdown testing.
(v) For the same set of points, recalculate the mean CdA.
This is the final result of the coastdown test,
CdAcoastdown([psi]eff).
(i) [Reserved]
(j) Include the following information in your application for
certification:
(1) The name, location, and description of your test facilities,
including background/history, equipment and capability, and track and
facility elevation, along with the grade and size/length of the track.
(2) Test conditions for each test result, including date and time,
wind speed and direction, ambient temperature and humidity, vehicle
speed, driving distance, manufacturer name, test vehicle/model type,
model year, applicable family, tire type and rolling resistance, weight
of tractor-trailer (as tested), and driver identifier(s).
(3) Average CdA and yaw angle results and all the
individual run results (including voided or invalid runs).

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34474, June 29, 2021]

Sec. 1037.530 Wind-tunnel procedures for calculating drag area (CdA).

The wind-tunnel procedure specified in this section is considered to
be the primary procedure for trailers, but is an alternate procedure for
tractors.
(a) You may measure drag areas consistent with published SAE
procedures as described in this section using any wind tunnel recognized
by the Subsonic Aerodynamic Testing Association, subject to the
provisions of Sec. Sec. 1037.525 through 1037.527. If your wind tunnel
does not meet the specifications described in this section, you may ask
us to approve it as an alternate method under Sec. 1037.525(d) or Sec.
1037.526(d). All wind tunnels and wind tunnel tests must meet the
specifications described in SAE J1252 (incorporated by reference in
Sec. 1037.810), with the following exceptions and additional
provisions:
(1) The Overall Vehicle Reynolds number, Re^#w,
must be at least 1.0[middot]10\6\. Tests for Reynolds effects described
in Section 7.1 of SAE J1252 are not required.
(2) For full-scale wind tunnel tractor testing, use good engineering
judgment to select a trailer that is a reasonable representation of the
trailer used for reference coastdown testing. For example, where your
wind tunnel is not long enough to test the tractor with a standard 53
foot box van, it may be appropriate to use a shorter box van. In such a
case, the correlation developed using the shorter trailer would only be

[[Page 292]]

valid for testing with the shorter trailer.
(3) For reduced-scale wind tunnel testing, use a one-eighth or
larger scale model of a tractor and trailer that is sufficient to
simulate airflow through the radiator inlet grill and across an engine
geometry that represents engines commonly used in your test vehicle.
(b) Open-throat wind tunnels must also meet the specifications of
SAE J2071 (incorporated by reference in Sec. 1037.810).
(c) To determine CdA values for certifying tractors,
perform wind-tunnel testing with a tractor-trailer combination using the
manufacturer's tractor and a standard trailer. To determine
CdA values for certifying trailers, perform wind-tunnel
testing with a tractor-trailer combination using a standard tractor. Use
a moving/rolling floor if the facility has one. For Phase 1 tractors,
conduct the wind tunnel tests at a zero yaw angle. For Phase 2 vehicles,
conduct the wind tunnel tests by measuring the drag area at yaw angles
of +4.5[deg] and -4.5[deg] and calculating the average of those two
values.
(d) In your request to use wind-tunnel testing for tractors, or in
your application for certification for trailers, describe how you meet
all the specifications that apply under this section, using terminology
consistent with SAE J1594 (incorporated by reference in Sec. 1037.810).
If you request our approval to use wind-tunnel testing even though you
do not meet all the specifications of this section, describe how your
method nevertheless qualifies as an alternate method under Sec.
1037.525(d) or 1037.526(d) and include all the following information:
(1) Identify the name and location of the test facility for your
wind-tunnel method.
(2) Background and history of the wind tunnel.
(3) The wind tunnel's layout (with diagram), type, and construction
(structural and material).
(4) The wind tunnel's design details: The type and material for
corner turning vanes, air settling specification, mesh screen
specification, air straightening method, tunnel volume, surface area,
average duct area, and circuit length.
(5) Specifications related to the wind tunnel's flow quality:
Temperature control and uniformity, airflow quality, minimum airflow
velocity, flow uniformity, angularity and stability, static pressure
variation, turbulence intensity, airflow acceleration and deceleration
times, test duration flow quality, and overall airflow quality
achievement.
(6) Test/working section information: Test section type (e.g., open,
closed, adaptive wall) and shape (e.g., circular, square, oval), length,
contraction ratio, maximum air velocity, maximum dynamic pressure,
nozzle width and height, plenum dimensions and net volume, maximum
allowed model scale, maximum model height above road, strut movement
rate (if applicable), model support, primary boundary layer slot,
boundary layer elimination method, and photos and diagrams of the test
section.
(7) Fan section description: fan type, diameter, power, maximum
angular speed, maximum speed, support type, mechanical drive, and
sectional total weight.
(8) Data acquisition and control (where applicable): Acquisition
type, motor control, tunnel control, model balance, model pressure
measurement, wheel drag balances, wing/body panel balances, and model
exhaust simulation.
(9) Moving ground plane or rolling road (if applicable):
Construction and material, yaw table and range, moving ground length and
width, belt type, maximum belt speed, belt suction mechanism, platen
instrumentation, temperature control, and steering.
(10) Facility correction factors and purpose.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34476, June 29, 2021]

Sec. 1037.532 Using computational fluid dynamics to calculate drag area (CdA).

This section describes how to use commercially available
computational fluid dynamics (CFD) software to determine CdA
values, subject to the provisions of Sec. Sec. 1037.525 through
1037.527.

[[Page 293]]

This is considered to be an alternate method for both tractors and
trailers.
(a) For Phase 2 vehicles, use SAE J2966 (incorporated by reference
in Sec. 1037.810), with the following clarifications and exceptions:
(1) Vehicles are subject to the requirement to meet standards based
on the average of testing at yaw angles of +4.5[deg] and -4.5[deg];
however, you may submit your application for certification with CFD
results based on only one of those yaw angles.
(2) For CFD code with a Navier-Stokes based solver, follow the
additional steps in paragraph (d) of this section. For Lattice-Boltzmann
based CFD code, follow the additional steps in paragraph (e) of this
section.
(3) Simulate a Reynolds number of 5.1 million (based on a 102-inch
trailer width) and an air speed of 65 mi/hr.
(4) Perform an open-road simulation (not the Wind Tunnel
Simulation).
(5) Use a free stream turbulence intensity of 0.0%.
(6) Choose time steps that can accurately resolve intrinsic flow
instabilities, consistent with good engineering judgment.
(7) The result must be drag area (CdA), not drag
coefficient (Cd), based on an air speed of 65 mi/hr.
(8) Submit information as described in paragraph (g) of this
section.
(b) For Phase 1 tractors, apply the procedures as specified in
paragraphs (c) through (f) of this section. Paragraphs (c) through (f)
of section apply for Phase 2 vehicles only as specified in paragraph (a)
of this section.
(c) To determine CdA values for certifying a tractor,
perform CFD modeling based on a tractor-trailer combination using the
manufacturer's tractor and a standard trailer. To determine
CdA values for certifying a trailer, perform CFD modeling
based on a tractor-trailer combination using a standard tractor. Perform
all CFD modeling as follows:
(1) Specify a blockage ratio at or below 0.2% to simulate open-road
conditions.
(2) Assume zero yaw angle.
(3) Model the tractor with an open grill and representative back
pressures based on available data describing the tractor's pressure
characteristics.
(4) Enable the turbulence model and mesh deformation.
(5) Model tires and ground plane in motion to simulate a vehicle
moving forward in the direction of travel.
(6) Apply the smallest cell size to local regions on the tractor and
trailer in areas of high flow gradients and smaller-geometry features
(e.g., the A-pillar, mirror, visor, grille and accessories, trailer-
leading edge, trailer-trailing edge, rear bogey, tires, and tractor-
trailer gap).
(7) Simulate a vehicle speed of 55 mi/hr.
(d) Take the following steps for CFD code with a Navier-Stokes
formula solver:
(1) Perform an unstructured, time-accurate analysis using a mesh
grid size with a total volume element count of at least 50 million cells
of hexahedral and/or polyhedral mesh cell shape, surface elements
representing the geometry consisting of no less than 6 million elements,
and a near-wall cell size corresponding to a y+ value of less than 300.
(2) Perform the analysis with a turbulence model and mesh
deformation enabled (if applicable) with boundary layer resolution of
95%. Once the results reach this resolution,
demonstrate the convergence by supplying multiple, successive
convergence values for the analysis. The turbulence model may use k-
epsilon (k-[egr]), shear stress transport k-omega (SST k-[omega]), or
other commercially accepted methods.
(e) For Lattice-Boltzmann based CFD code, perform an unstructured,
time-accurate analysis using a mesh grid size with total surface
elements of at least 50 million cells using cubic volume elements and
triangular and/or quadrilateral surface elements with a near-wall cell
size of no greater than 6 mm on local regions of the tractor and trailer
in areas of high flow gradients and smaller geometry features, with cell
sizes in other areas of the mesh grid starting at twelve millimeters and
increasing in size from this value as the distance from the tractor and
trailer increases.
(f) You may ask us to allow you to perform CFD analysis using
parameters and criteria other than those specified in this section,
consistent

[[Page 294]]

with good engineering judgment. In your request, you must demonstrate
that you are unable to perform modeling based on the specified
conditions (for example, you may have insufficient computing power, or
the computations may require inordinate time), or you must demonstrate
that different criteria (such as a different mesh cell shape and size)
will yield better results. In your request, you must also describe your
recommended alternative parameters and criteria, and describe how this
approach will produce results that adequately represent a vehicle's in-
use performance. We may require that you supply data demonstrating that
your selected parameters and criteria will provide a sufficient level of
detail to yield an accurate analysis. If you request an alternative
approach because it will yield better results, we may require that you
perform CFD analysis using both your recommended criteria and parameters
and the criteria and parameters specified in this section to compare the
resulting key aerodynamic characteristics, such as pressure profiles,
drag build-up, and turbulent/laminar flow at key points around the
tractor-trailer combination.
(g) Include the following information in your request to determine
CdA values using CFD:
(1) The name of the software.
(2) The date and version number of the software.
(3) The name of the company producing the software and the
corresponding address, phone number, and Web site.
(4) Identify whether the software uses Navier-Stokes or Lattice-
Boltzmann equations.
(5) Describe the input values you will use to simulate the vehicle's
aerodynamic performance for comparing to coastdown results.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34476, June 29, 2021]

Sec. 1037.534 Constant-speed procedure for calculating drag area (CdA).

This section describes how to use constant-speed aerodynamic drag
testing to determine CdA values, subject to the provisions of
Sec. 1037.525. This is considered to be an alternate method for
tractors.
(a) Test track. Select a test track that meets the specifications
described in Sec. 1037.528(c)(3).
(b) Ambient conditions. At least two tests are required. For one of
the tests, ambient conditions must remain within the specifications
described in Sec. 1037.528(c) throughout the preconditioning and
measurement procedure. The other tests must also meet those
specifications except for the wind conditions. The wind conditions must
be such that 80 percent of the values of yaw angle, [psi]air,
from the 50 mi/hr and 70 mi/hr test segments are between 4[deg] and
10[deg] or between -4[deg] and -10[deg].
(c) Vehicle preparation. Perform testing with a tractor-trailer
combination using the manufacturer's tractor and a standard trailer.
Prepare tractors and trailers for testing as described in Sec.
1037.528(b). Install measurement instruments meeting the requirements of
40 CFR part 1065, subpart C, that have been calibrated as described in
40 CFR part 1065, subpart D, as follows:
(1) Measure torque at each of the drive wheels using a hub torque
meter or a rim torque meter. If testing a tractor with two drive axles,
you may disconnect one of the drive axles from receiving torque from the
driveshaft, in which case you would measure torque at only the wheels
that receive torque from the driveshaft. Set up instruments to read
engine speed for calculating angular speed at the point of the torque
measurements, or install instruments for measuring the angular speed of
the wheels directly.
(2) Install instrumentation to measure vehicle speed at 10 Hz, with
an accuracy and resolution of 0.1 mi/hr. Also install instrumentation
for reading engine speed from the engine's onboard computer.
(3) Mount an anemometer on the trailer as described in Sec.
1037.528(f).
(4) Fill the vehicle's fuel tanks so they are at maximum capacity at
the start of the measurement procedure.
(5) Measure the weight over each axle to the nearest 20 kg, with a
full fuel tank, including the driver and any passengers that will be in
the vehicle during the test.

[[Page 295]]

(d) Measurement procedure. The measurement sequence consists of
vehicle preconditioning followed by stabilization and measurement over
five consecutive constant-speed test segments with three different speed
setpoints (10, 50, and 70 mi/hr). Each test segment is divided into
smaller increments for data analysis.
(1) Precondition the vehicle and zero the torque meters as follows:
(i) If you are using rim torque meters, zero the torque meters by
lifting each instrumented axle and recording torque signals for at least
30 seconds, and then drive the vehicle at 50 mi/hr for at least 30
minutes.
(ii) If you are using any other kind of torque meter, drive the
vehicle at 50 mi/hr for at least 30 minutes, and then allow the vehicle
to coast down from full speed to a complete standstill while the clutch
is disengaged or the transmission is in neutral, without braking. Zero
the torque meters within 60 seconds after the vehicle stops moving by
recording the torque signals for at least 30 seconds, and directly
resume vehicle preconditioning at 50 mi/hr for at least 1.25 mi.
(iii) You may calibrate instruments during the preconditioning
drive.
(2) Perform testing as described in paragraph (d)(3) of this section
over a sequence of test segments at constant vehicle speed as follows:
(i) 30030 seconds in each direction at 10 mi/
hr.
(ii) 45030 seconds in each direction at 70 mi/
hr.
(iii) 45030 seconds in each direction at 50
mi/hr.
(iv) 45030 seconds in each direction at 70 mi/
hr.
(v) 45030 seconds in each direction at 50 mi/
hr.
(vi) 30030 seconds in each direction at 10 mi/
hr.
(3) When the vehicle preconditioning described in paragraph (d)(1)
of this section is complete, stabilize the vehicle at the specified
speed for at least 200 meters and start taking measurements. The test
segment starts when you start taking measurements for all parameters.
(4) During the test segment, continue to operate the vehicle at the
speed setpoint, maintaining constant speed and torque within the ranges
specified in paragraph (e) of this section. Drive the vehicle straight
with minimal steering; do not change gears. Perform measurements as
follows during the test segment:
(i) Measure the angular speed of the driveshaft, axle, or wheel
where the torque is measured, or calculate it from engine speed in
conjunction with gear and axle ratios, as applicable.
(ii) Measure vehicle speed in conjunction with time-of-day data.
(iii) Measure ambient conditions, air speed, and air direction as
described in Sec. 1037.528(e) and (f). Correct air speed and air
direction as described in paragraphs (f)(1) and (2) of this section.
(5) You may divide a test segment into multiple passes by suspending
and resuming measurements. Stabilize vehicle speed before resuming
measurements for each pass as described in paragraph (d)(3) of this
section. Analyze the data from multiple passes by combining them into a
single sequence of measurements for each test segment.
(6) Divide measured values into even 10 second increments. If the
last increment for each test segment is less than 10 seconds, disregard
measured values from that increment for all calculations under this
section.
(e) Validation criteria. Analyze measurements to confirm that the
test is valid. Analyze vehicle speed and drive torque by calculating the
mean speed and torque values for each successive 1 second increment, for
each successive 10 second increment, and for each test segment. The test
is valid if the data conform to all the following specifications:
(1) Vehicle speed. The mean vehicle speed for the test segment must
be within 1.00 mi/hr of the speed setpoint. In addition, for testing at
50 mi/hr and 70 mi/hr, all ten of the 1 second mean vehicle speeds used
to calculate a corresponding 10 second mean vehicle speed must be within
0.2 mi/hr of that 10 second mean vehicle speed.
Perform the same data analysis for testing at 10 mi/hr, but apply a
validation threshold of 0.1 mi/hr.
(2) Drive torque. All ten of the 1 second mean torque values used to
calculate a corresponding 10 second mean

[[Page 296]]

torque value must be within 50% of that 10 second
mean torque value.
(3) Torque drift. Torque meter drift may not exceed 1%. Determine torque meter drift by repeating the
procedure described in paragraph (d)(1) of this section after testing is
complete, except that driving the vehicle is necessary only to get the
vehicle up to 50 mi/hr as part of coasting to standstill.
(f) Calculations. Analyze measured data for each time segment after
time-aligning all the data. Use the following calculations to determine
CdA:
(1) Onboard air speed. Correct onboard anemometer measurements for
air speed using onboard measurements and measured ambient conditions as
described in Sec. 1037.528(f), except that you must first divide the
test segment into consecutive 10 second increments. Disregard data from
the final increment of the test segment if it is less than 10 seconds.
This analysis results in the following equation for correcting air speed
measurements:
[GRAPHIC] [TIFF OMITTED] TR25OC16.116

(2) Yaw angle. Correct the onboard anemometer measurements for air
direction for each test segment as follows:
(i) Calculate arithmetic mean values for vehicle speed, v, wind
speed, w, and wind direction, [phiv]w, over each 10 second
increment for each test segment. Disregard data from the final increment
of the test segment if it is less than 10 seconds.
(ii) Calculate the theoretical air direction,
[psi]air,th, for each 10 second increment using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.117

Where:

[phiv]veh = the vehicle direction, as described in Sec.
1037.528(f)(2).

Example:
w = 7.1 mi/hr
v = 69.9 mi/hr
[phiv]w = 47.0[deg]
[phiv]veh = 0[deg]
[GRAPHIC] [TIFF OMITTED] TR25OC16.118

[psi]air,th = 3.97[deg]

(iii) Perform a linear regression using paired values of
[psi]air,th and measured air direction,
[psi]air,meas, from each 10 second increment for all 50 mi/hr
and 70 mi/hr test segments to determine the air-direction correction
coefficients, b0 and b1, based on the following
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.119

(iv) For all 50 mi/hr and 70 mi/hr test segments, correct each
measured value of air direction using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.120

(3) Road load force. (i) Average the sum of the corrected torques,
the average of the wheel speed measurements, and the vehicle speed over
every 10 second increment to determine, Ttotal,
fnwheel, and v.
(ii) Calculate a mean road load force, FRL[speed], for
each 10 second increment using the following equation:

[[Page 297]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.121

Where:

Ttotal = mean of all corrected torques at a point in time.
v = mean vehicle speed.
fnwheel = mean wheel speed.
M = the measured vehicle mass.
ag = acceleration of Earth's gravity, as described in 40 CFR
1065.630.
hinc = elevation at the start or end of each 10 second
increment expressed to at least two decimal places.
Dinc = distance traveled on the road surface from a fixed
reference location along the road to the start or end of each
10 second increment, expressed to at least one decimal place.

Example:
Ttotal = 2264.9 N[middot]m
v = 31.6 m/s
fnwheel =598.0 r/min
M = 16508 kg
ag = 9.8061 m/s\2\
hinc,start = 0.044 m
hinc,end = 0.574 m
Dinc,start = 215.4 m
Dinc,end = 697.8 m
[GRAPHIC] [TIFF OMITTED] TR25OC16.122

FRL70 = 4310.6 N

(4) Determination of drag area. Calculate a vehicle's drag area as
follows:
(i) Calculate the mean road load force from all 10 second increments
from the 10 mi/hr test segments from the test that was within the wind
limits specified in Sec. 1037.528(c), FRL10,test. This value
represents the mechanical drag force acting on the vehicle.
(ii) Calculate the mean aerodynamic force for each 10 second
increment, Faero[speed], from the 50 mi/hr and 70 mi/hr test
segments by subtracting FRL10,test from
FRL[speed].
(iii) Average the corrected air speed and corrected yaw angle over
every 10 second segment from the 50 mi/hr and 70 mi/hr test segments to
determine vair and [psi]air.
(iv) Calculate CdA for each 10 second increment from the
50 mi/hr and 70 mi/hr test segments using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.126

Where:

CdAi[speed] = the mean drag area for each 10
second increment, i.
Faero[speed] = mean aerodynamic force over a given 10 second
increment = FRL[speed] -FRL10,test.
Vair[speed] = mean aerodynamic force over a given 10 second
increment.
R = specific gas constant = 287.058 J/(kg[middot]K).
T = mean air temperature.
pact = mean absolute air pressure.

[[Page 298]]

Example:
FRL70 = 4310.6 N
FRL10,test = 900.1 N
Faero70 = 4310.6-900.1 = 3410.5 N
V\2\air70 = 1089.5 m\2\/s\2\
R = 287.058 J/(kg[middot]K)
T = 293.68 K
pact = 101300 Pa
[GRAPHIC] [TIFF OMITTED] TR29JN21.127

CdAi70 = 5.210 m\2\

(v) Plot all CdA values from the 50 mi/hr and 70 mi/hr
test segments against the corresponding values for corrected yaw angle
for each 10 second increment. Create a regression based on a fourth-
order polynomial regression equation of the following form:
[GRAPHIC] [TIFF OMITTED] TR25OC16.125

(vi) Determine CdAwa-alt as the average of
CdA values at 4.5[deg] and -4.5[deg] by applying Eq.
1037.534-7 at those angles.
(g) Documentation. Keep the following records related to the
constant-speed procedure for calculating drag area:
(1) The measurement data for calculating CdA as described
in this section.
(2) A general description and pictures of the vehicle tested.
(3) The vehicle's maximum height and width.
(4) The measured vehicle mass.
(5) Mileage at the start of the first test segment and at the end of
the last test segment.
(6) The date of the test, the starting time for the first test
segment, and the ending time for the last test segment.
(7) The transmission gear used for each test segment.
(8) The data describing how the test was valid relative to the
specifications and criteria described in paragraphs (b) and (e) of this
section.
(9) A description of any unusual events, such as a vehicle passing
the test vehicle, or any technical or human errors that may have
affected the CdA determination without invalidating the test.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34476, June 29, 2021]

Sec. 1037.540 Special procedures for testing vehicles with hybrid
power take-off.

This section describes optional procedures for quantifying the
reduction in greenhouse gas emissions for vehicles as a result of
running power take-off (PTO) devices with a hybrid energy delivery
system. See Sec. 1037.550 for powertrain testing requirements that
apply for drivetrain hybrid systems. The procedures are written to test
the PTO by ensuring that the engine produces all of the energy with no
net change in stored energy (charge-sustaining), and for plug-in hybrid
vehicles, also allowing for drawing down the stored energy (charge-
depleting). The full charge-sustaining test for the hybrid vehicle is
from a fully charged renewable energy storage system (RESS) to a
depleted RESS and then back to a fully charged RESS. You must include
all hardware for the PTO system. You may ask us to modify the provisions
of this section to allow testing hybrid vehicles other than electric-
battery hybrids, consistent with good engineering judgment. For plug-in
hybrids, use a utility factor to properly weight charge-sustaining and
charge-depleting operation as described in paragraph (f)(3) of this
section.

[[Page 299]]

(a) Select two vehicles for testing as follows:
(1) Select a vehicle with a hybrid energy delivery system to
represent the range of PTO configurations that will be covered by the
test data. If your test data will represent more than one PTO
configuration, use good engineering judgment to select the configuration
with the maximum number of PTO circuits that has the smallest potential
reduction in greenhouse gas emissions.
(2) Select an equivalent conventional vehicle as specified in Sec.
1037.615.
(b) Measure PTO emissions from the fully warmed-up conventional
vehicle as follows:
(1) Without adding a restriction, instrument the vehicle with
pressure transducers at the outlet of the hydraulic pump for each
circuit. Perform pressure measurements with a frequency of at least 1
Hz.
(2) Operate the PTO system with no load for at least 15 seconds.
Measure gauge pressure and record the average value over the last 10
seconds (pmin). For hybrid PTO systems the measured pressure
with no load is typically zero. Apply maximum operator demand to the PTO
system until the pressure relief valve opens and pressure stabilizes;
measure gauge pressure and record the average value over the last 10
seconds (pmax).
(3) Denormalize the PTO duty cycle in appendix II of this part using
the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.128

Where:

prefi = the reference pressure at each point i in the PTO
cycle.
pi = the normalized pressure at each point i in the PTO cycle (relative
to pmax).
pmax = the mean maximum pressure measured in paragraph (b)(2)
of this section.
pmin = the mean minimum pressure measured in paragraph (b)(2)
of this section.

(4) If the PTO system has two circuits, repeat paragraph (b)(2) and
(3) of this section for the second PTO circuit.
(5) Install a system to control pressures in the PTO system during
the cycle.
(6) Start the engine.
(7) Depending on the number of circuits the PTO system has, operate
the vehicle over one or concurrently over both of the denormalized PTO
duty cycles in Appendix II of this part. Measure emissions during
operation over each duty cycle using the provisions of 40 CFR part 1066.
(8) Measured pressures must meet the cycle-validation specifications
in the following table for each test run over the duty cycle:

Table 1 of Sec. 1037.540--Statistical Criteria for Validating Each
Test Run Over the Duty Cycle
------------------------------------------------------------------------
Parameter \a\ Pressure
------------------------------------------------------------------------
Slope, a1................................. 0.950 <= a1 <= 1.030.
Absolute value of intercept, <=2.0% of maximum mapped
[verbar]a0[verbar]. pressure.
Standard error of the estimate, SEE....... <=10% of maximum mapped
pressure.
Coefficient of determination, r\2\........ =0.970.
------------------------------------------------------------------------
\a\ Determine values for specified parameters as described in 40 CFR
1065.514(e) by comparing measured values to denormalized pressure
values from the duty cycle in appendix II of this part.

(c) Measure PTO emissions from the fully warmed-up hybrid vehicle as
follows:
(1) Perform the steps in paragraphs (b)(1) through (5) of this
section.
(2) Prepare the vehicle for testing by operating it as needed to
stabilize the RESS at a full state of charge (or equivalent for non-
electric RESS).
(i) For plug-in hybrid electric vehicles, we recommend charging the
battery with an external electrical source.
(ii) For other vehicles, we recommend running back-to-back PTO tests
until engine operation is initiated to charge the RESS. The RESS should
be fully charged once engine operation stops. The ignition should remain
in the ``on'' position.
(3) Turn the vehicle and PTO system off while the sampling system is
being prepared.
(4) Turn the vehicle and PTO system on such that the PTO system is
functional, whether it draws power from the engine or a battery.
(5) Operate the vehicle over one or both of the denormalized PTO
duty cycles without turning the vehicle off, until the engine starts and
then shuts

[[Page 300]]

down. This may require running multiple repeats of the PTO duty cycles.
For non-PHEV systems the test cycle is completed once the engine shuts
down. For plug-in hybrid systems, continue running until the PTO hybrid
is running in a charge-sustaining mode such that the ``End of Test''
requirements defined in 40 CFR 1066.501 are met. Measure emissions as
described in paragraph (b)(7) of this section. Use good engineering
judgment to minimize the variability in testing between the two types of
vehicles.
(6) For plug-in hybrid electric vehicles, follow 40 CFR 1066.501 to
divide the test into charge-depleting and charge-sustaining operation.
(7) Apply cycle-validation criteria as described in paragraph (b)(8)
of this section to both charge-sustaining and charge-depleting
operation.
(d) Calculate the equivalent distance driven based on operating time
for each section of the PTO portion of the test as applicable by
determining the time of the test and applying the conversion factor in
paragraph (d)(4) of this section. For testing where fractions of a cycle
were run (for example, where three cycles are completed and the halfway
point of a fourth PTO cycle is reached before the engine starts and
shuts down again), calculate the time of the test, ttest, as
follows:
(1) Add up the time run for all complete tests.
(2) For fractions of a test, use the following equation to calculate
the time:
[GRAPHIC] [TIFF OMITTED] TR29JN21.129

Where:

i = an indexing variable that represents one recorded value.
N = number of measurement intervals.
pcircuit-1,i = normalized pressure command from circuit 1 of
the PTO cycle for each point, i, starting from i = 1.
pcircuit-2,i = normalized pressure command from circuit 2 of
the PTO cycle for each point, i, starting from i = 1. Let
pcircuit-2 = 0 if there is only one circuit.
pcircuit-1 = the mean normalized pressure command from
circuit 1 over the entire PTO cycle.
pcircuit-2 = the mean normalized pressure command from
circuit 2 over the entire PTO cycle. Let pcircuit-2
= 0 if there is only one circuit.
[Delta]t = the time interval between measurements. For example, at 100
Hz, [Delta]t = 0.0100 seconds.

(3) Sum the time from the complete cycles and from the partial
cycle.
(4) Divide the total PTO operating time from paragraph (d)(3) of
this section by a conversion factor of 0.0144 hr/mi for Phase 1 and
0.0217 hr/mi for Phase 2 to determine the equivalent distance driven.
The conversion factors are based on estimates of average vehicle speed
and PTO operating time as a percentage of total engine operating time;
the Phase 2 conversion factor is calculated from an average speed of
27.1 mi/hr and PTO operation 37% of engine operating time, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.128

[[Page 301]]

(e) For Phase 1, calculate combined cycle-weighted emissions of the
four duty cycles for vocational vehicles, for both the conventional and
hybrid PTO vehicle tests, as follows:
(1) Calculate the CO2 emission rates in grams per test
without rounding for both the conventional vehicle and the charge-
sustaining and charge-depleting portions of the test for the hybrid
vehicle as applicable.
(2) Divide the CO2 mass from the PTO cycle by the
distance determined in paragraph (d)(4) of this section and the standard
payload as defined in Sec. 1037.801 to get the CO2 emission
rate in g/ton-mile. For plug-in hybrid electric vehicles follow
paragraph (f)(3) of this section to calculate utility factor weighted
CO2 emissions in g/ton-mile.
(3) Calculate the g/ton-mile emission rate for the driving portion
of the test specified in Sec. 1037.510 and add this to the
CO2 g/ton-mile emission rate for the PTO portion of the test.
(4) Follow the provisions of Sec. 1037.615 to calculate improvement
factors and benefits for advanced technologies.
(f) For Phase 2, calculate the delta PTO fuel results for input into
GEM during vehicle certification as follows:
(1) Calculate fuel consumption in grams per test,
mfuelPTO, without rounding, as described in 40 CFR
1036.540(d)(4) for both the conventional vehicle and the charge-
sustaining and charge-depleting portions of the test for the hybrid
vehicle as applicable.
(2) Divide the fuel mass by the applicable distance determined in
paragraph (d)(4) of this section and the appropriate standard payload as
defined in Sec. 1037.801 to determine the fuel rate in g/ton-mile.
(3) For plug-in hybrid electric vehicles calculate the utility
factor weighted fuel consumption in g/ton-mile, as follows:
(i) Determine the utility factor fraction for the PTO system from
the table in appendix V of this part using interpolation based on the
total time of the charge-depleting portion of the test as determined in
paragraphs (c)(6) and (d)(3) of this section.
(ii) Weight the emissions from the charge-sustaining and charge-
depleting portions of the test using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.130

Where:

mPTO,CD = mass of fuel per ton-mile while in charge-depleting
mode.
UFt,CD = utility factor fraction at time tCD as
determined in paragraph (f)(3)(i) of this section.
mPTO,CS = mass of fuel per ton-mile while in charge-
sustaining mode.

(4) Calculate the difference between the conventional PTO emissions
result and the hybrid PTO emissions result for input into GEM.
(g) If the PTO system has more than two circuits, apply the
provisions of this section using good engineering judgment.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34477, June 29, 2021]

Sec. 1037.550 Powertrain testing.

This section describes the procedure to measure fuel consumption and
create engine fuel maps by testing a powertrain that includes an engine
coupled with a transmission, drive axle, and hybrid components or any
assembly with one or more of those hardware elements. Engine fuel maps
are part of demonstrating compliance with Phase 2 vehicle standards
under this

[[Page 302]]

part; the powertrain test procedure in this section is one option for
generating this fuel-mapping information as described in 40 CFR
1036.503. Additionally, this powertrain test procedure is one option for
certifying hybrids to the engine standards in 40 CFR 1036.108.
(a) General provisions. The following provisions apply broadly for
testing under this section:
(1) Measure NOX emissions as described in paragraph (k)
of this section. Include these measured NOX values any time
you report to us your greenhouse gas emissions or fuel consumption
values from testing under this section.
(2) The procedures of 40 CFR part 1065 apply for testing in this
section except as specified. This section uses engine parameters and
variables that are consistent with 40 CFR part 1065.
(3) Powertrain testing depends on models to calculate certain
parameters. You can use the detailed equations in this section to create
your own models, or use the GEM HIL model (incorporated by reference in
Sec. 1037.810) to simulate vehicle hardware elements as follows:
(i) Create driveline and vehicle models that calculate the angular
speed setpoint for the test cell dynamometer,
[fnof]nref,dyno, based on the torque measurement location.
Use the detailed equations in paragraph (f) of this section, the GEM HIL
model's driveline and vehicle submodels, or a combination of the
equations and the submodels. You may use the GEM HIL model's
transmission submodel in paragraph (f) of this section to simulate a
transmission only if testing hybrid engines.
(ii) Create a driver model or use the GEM HIL model's driver
submodel to simulate a human driver modulating the throttle and brake
pedals to follow the test cycle as closely as possible.
(iii) Create a cycle-interpolation model or use the GEM HIL model's
cycle submodel to interpolate the duty-cycles and feed the driver model
the duty-cycle reference vehicle speed for each point in the duty-cycle.
(4) The powertrain test procedure in this section is designed to
simulate operation of different vehicle configurations over specific
duty cycles. See paragraphs (h) and (j) of this section.
(5) For each test run, record engine speed and torque as defined in
40 CFR 1065.915(d)(5) with a minimum sampling frequency of 1 Hz. These
engine speed and torque values represent a duty cycle that can be used
for separate testing with an engine mounted on an engine dynamometer
under Sec. 1037.551, such as for a selective enforcement audit as
described in Sec. 1037.301.
(6) 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 PHEV powertrains, follow 40 CFR 1066.501 to determine
End-of-Test for charge-depleting operation. You must get our approval in
advance for your utility factor curve; we will approve it 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 powertrain will be
installed.
(b) Test configuration. Select a powertrain for testing as described
in Sec. 1037.235 or 40 CFR 1036.235 as applicable. Set up the engine
according to 40 CFR 1065.110 and 1065.405(b). Set the engine's idle
speed to the minimum warm-idle speed. If warm idle speed is not
adjustable, simply let the engine operate at its warm idle speed.
(1) The default test configuration consists of a powertrain with all
components upstream of the axle. This involves connecting the
powertrain's output shaft directly to the dynamometer or to a gear box
with a fixed gear ratio and measuring torque at the axle input shaft.
You may instead set up the dynamometer to connect at the wheel hubs and
measure torque at that location. The preceding sentence may apply if
your powertrain configuration requires it, such as for hybrid
powertrains or if you want to represent the axle performance with
powertrain test results.
(2) For testing hybrid engines, connect the engine's crankshaft
directly to the dynamometer and measure torque at that location.
(c) Powertrain temperatures during testing. Cool the powertrain
during testing so temperatures for oil, coolant, block, head,
transmission, battery, and power

[[Page 303]]

electronics are within the manufacturer's expected ranges for normal
operation. You may use electronic control module outputs to comply with
this paragraph (c). You may use auxiliary coolers and fans.
(d) Engine break in. Break in the engine according to 40 CFR
1065.405, the axle assembly according to Sec. 1037.560, and the
transmission according to Sec. 1037.565. You may instead break in the
powertrain as a complete system using the engine break in procedure in
40 CFR 1065.405.
(e) Dynamometer setup. Set the dynamometer to operate in speed-
control mode (or torque-control mode for hybrid engine testing at idle,
including idle portions of transient duty cycles). Record data as
described in 40 CFR 1065.202. Command and control the dynamometer speed
at a minimum of 5 Hz, or 10 Hz for testing engine hybrids. Run the
vehicle model to calculate the dynamometer setpoints at a rate of at
least 100 Hz. If the dynamometer's command frequency is less than the
vehicle model dynamometer setpoint frequency, subsample the calculated
setpoints for commanding the dynamometer setpoints.
(f) Driveline and vehicle model. Use the GEM HIL model's driveline
and vehicle submodels or the equations in this paragraph (f) to
calculate the dynamometer speed setpoint, [fnof]nref,dyno,
based on the torque measurement location. Note that the GEM HIL model is
configured to set the accessory load to zero and it comes configured
with the tire slip model disabled.
(1) Driveline model with a transmission in hardware. For testing
with torque measurement at the axle input shaft or wheel hubs,
calculate, [fnof]nref,dyno, using the GEM HIL model's
driveline submodel or the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.131

Where:

ka[speed] = drive axle ratio as determined in paragraph (h)
of this section. Set ka[speed] equal to 1.0 if
torque is measured at the wheel hubs.
vrefi = simulated vehicle reference speed as calculated in
paragraph (f)(3) of this section.
r[speed] = tire radius as determined in paragraph (h) of this
section.

(2) Driveline model with a simulated transmission. For testing with
the torque measurement at the engine's crankshaft,
[fnof]nref,dyno is the dynamometer target speed from the GEM
HIL model's transmission submodel. You may request our approval to
change the transmission submodel, as long as the changes do not affect
the gear selection logic. Before testing, initialize the transmission
model with the engine's measured torque curve and the applicable steady-
state fuel map from the GEM HIL model. You may request our approval to
input your own steady-state fuel map. Configure the torque converter to
simulate neutral idle when using this procedure to generate engine fuel
maps in 40 CFR 1036.503 or to perform the Supplemental Emission Test
(SET) testing under 40 CFR 1036.505. You may change engine commanded
torque at idle to better represent CITT for transient testing under 40
CFR 1036.510. You may change the simulated engine inertia to match the
inertia of the engine under test. We will evaluate your requests under
paragraph (f)(3) of this section based on your demonstration that that
the adjusted testing better represents in-use operation.
(i) The transmission submodel needs the following model inputs:
(A) Torque measured at the engine's crankshaft.
(B) Engine estimated torque determined from the electronic control
module or by converting the instantaneous operator demand to an
instantaneous torque in N[middot]m.
(C) Dynamometer mode when idling (speed-control or torque-control).
(D) Measured engine speed when idling.
(E) Transmission output angular speed,
[fnof]ni,transmission, calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.132

[[Page 304]]

Where:

ka[speed] = drive axle ratio as determined in paragraph (h)
of this section.
vrefi = simulated vehicle reference speed as calculated in
paragraph (f)(3) of this section.
r[speed] = tire radius as determined in paragraph (h) of
this section.

(ii) The transmission submodel generates the following model
outputs:
(A) Dynamometer target speed.
(B) Dynamometer idle load.
(C) Transmission engine load limit.
(D) Engine speed target.
(3) Vehicle model. Calculate the simulated vehicle reference speed,
[nu]refi, using the GEM HIL model's vehicle submodel or the equations in
this paragraph (f)(3):
[GRAPHIC] [TIFF OMITTED] TR29JN21.133

Where:

i = a time-based counter corresponding to each measurement during the
sampling period. Let vref1 = 0; start calculations
at i = 2. A 10-minute sampling period will generally involve
60,000 measurements.
T = instantaneous measured torque at the axle input, measured at the
wheel hubs, or simulated by the GEM HIL model's transmission
submodel.
E[fnof][fnof]axle = axle efficiency. Use E[fnof][fnof]axle = 0.955 for T
= 0, and use E[fnof][fnof]axle = 1/0.955 for T < 0.
Use E[fnof][fnof]axle = 1.0 if torque is measured at the wheel
hubs.
M = vehicle mass for a vehicle class as determined in paragraph (h) of
this section.
g = gravitational constant = 9.80665 m/s\2\.
Crr = coefficient of rolling resistance for a vehicle class
as determined in paragraph (h) of this section.
Gi-1 = the percent grade interpolated at distance,
Di-1, from the duty cycle in appendix IV to this
part corresponding to measurement (i-1).
[GRAPHIC] [TIFF OMITTED] TR29JN21.134

[rho] = air density at reference conditions. Use [rho] = 1.1845 kg/m\3\.
CdA = drag area for a vehicle class as determined in
paragraph (h) of this section.
Fbrake,i-1 = instantaneous braking force applied
by the driver model.
[GRAPHIC] [TIFF OMITTED] TR29JN21.135

[Delta]t = the time interval between measurements. For example, at 100
Hz, [Delta]t = 0.0100 seconds.
Mrotating = inertial mass of rotating components. Let
Mrotating = 340 kg for vocational Light HDV or
vocational Medium HDV. See paragraph (h) of this section for
tractors and for vocational Heavy HDV.

(4) Example. The following example illustrates a calculation of
[fnof]nref,dyno using paragraph (f)(1) of this section where
torque is measured at the axle input shaft. This example is for a
vocational Light HDV or vocational Medium HDV with 6 speed automatic
transmission at B speed (Test 4 in Table 2 of 40 CFR 1036.540).

k[alpha]B = 4.0
rB = 0.399 m
T999 = 500.0 N[middot]m
Crr = 7.7 kg/tonne = 7.7[middot]10^-3 kg/kg
M = 11408 kg
Cd[Alpha] = 5.4 m\2\
G999 = 0.39% = 0.0039

[[Page 305]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.136

Fbrake,999 = 0 N
vref,999 = 20.0 m/s
Fgrade,999 = 11408[middot]9.81[middot]sin (atan(0.0039)) =
436.5 N
[Delta]t = 0.0100 s
Mrotating = 340 kg
[GRAPHIC] [TIFF OMITTED] TR29JN21.137

(g) Driver model. Use the GEM HIL model's driver submodel or design
a driver model to simulate a human driver modulating the throttle and
brake pedals. In either case, tune the model to follow the test cycle as
closely as possible meeting the following specifications:
(1) The driver model must meet the speed requirements for operation
over the highway cruise cycles as described in Sec. 1037.510 and for
operation over the transient cycle as described in 40 CFR 1066.425(b).
The exceptions in 40 CFR 1066.425(b)(4) apply to the transient cycle and
the highway cruise cycles.
(2) Send a brake signal when operator demand is zero and vehicle
speed is greater than the reference vehicle speed from the test cycle.
Include a delay before changing the brake signal to prevent dithering,
consistent with good engineering judgment.
(3) Allow braking only if operator demand is zero.
(4) Compensate for the distance driven over the duty cycle over the
course of the test. Use the following equation to perform the
compensation in real time to determine your time in the cycle:
[GRAPHIC] [TIFF OMITTED] TR29JN21.138

Where:

vvehicle = measured vehicle speed.
vcycle = reference speed from the test cycle. If
vcycle,i-1 < 1.0 m/s, set
vcycle,i-1 =
vvehicle,i-1.

(h) Vehicle configurations to evaluate for generating fuel maps as
defined in 40 CFR 1036.503. Configure the driveline and vehicle models
from paragraph (f) of this section in the test cell to test the
powertrain. Simulate multiple vehicle configurations that represent the
range of intended vehicle applications. Use at least three equally
spaced axle ratios or tire sizes and three different road loads (nine
configurations), or at least four equally spaced axle ratios or tire
sizes and two different road loads (eight configurations). Select axle
ratios to represent the full range of expected vehicle installations.
(1) Determine the vehicle model inputs for M, Mrotating,
Cd[Alpha], and Crr for a set of vehicle
configurations as described in 40 CFR 1036.540(c)(3). Instead of
selecting axle ratios and tire sizes based on the range of intended
vehicle applications as described in this paragraph

[[Page 306]]

(h), you may select axle ratios and tire sizes such that the ratio of
engine speed to vehicle speed covers the range of ratios of minimum and
maximum engine speed to vehicle speed when the transmission is in top
gear for the vehicles in which the powertrain will be installed. Note
that you do not have to use the same axle ratios and tire sizes for each
GEM regulatory subcategory.
(2) For hybrid powertrain systems where the transmission will be
simulated, use the transmission parameters defined in Table 1 of 40 CFR
1036.540 to determine transmission type and gear ratio. Use a fixed
transmission efficiency of 0.95. The GEM HIL transmission model uses a
transmission parameter file for each test that includes the transmission
type, gear ratios, lockup gear, torque limit per gear from Table 1 of 40
CFR 1036.540, and the values from 40 CFR 1036.503(b)(4) and (c).
(i) [Reserved]
(j) Duty cycles to evaluate. Operate the powertrain over each of the
duty cycles specified in Sec. 1037.510(a)(2), and for each applicable
vehicle configuration from paragraph (h) of this section. Determine
cycle-average powertrain fuel maps by testing the powertrain using the
procedures in 40 CFR 1036.540(d) with the following exceptions:
(1) Understand ``engine'' to mean ``powertrain''.
(2) If the preceding duty cycle does not end at 0 mi/hr, transition
between duty cycles by decelerating at a rate of 2 mi/hr/s at 0% grade
until the vehicle reaches zero speed. Shut off the powertrain. Prepare
the powertrain and test cell for the next duty-cycle. Start the next
duty-cycle within 60 to 180 seconds after shutting off the powertrain.
Do not run the powertrain or change its physical state before starting
the next duty cycle. If the next duty cycle begins at 0 mi/hr vehicle
speed, key on the vehicle and start the duty-cycle after 10 seconds,
otherwise key on the vehicle and transition to the next duty cycle by
accelerating at a rate of 1 mi/hr/s at 0% grade for vehicle
configurations given in Table 2 of 40 CFR 1036.540 or 2 mi/hr/s at 0%
grade for vehicle configurations given in Tables 3 and 4 of 40 CFR
1036.540, then stabilize for 10 seconds at the initial duty cycle
conditions.
(3) Calculate cycle work using GEM or the speed and torque from the
driveline and vehicle models from paragraph (f) of this section to
determine the sequence of duty cycles.
(4) Calculate the mass of fuel consumed for idle duty cycles as
described in paragraph (n) of this section.
(5) Warm up the powertrain as described in 40 CFR 1036.527(c)(1).
(k) Measuring NOX emissions. Measure NOX emissions for
each 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. 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.
(l) [Reserved]
(m) Measured output speed validation. For each test point, validate
the measured output speed with the corresponding reference values. If
the range of reference speed is less than 10 percent of the mean
reference speed, you need to meet only the standard error of the
estimate in Table 1 of this section. You may delete points when the
vehicle is stopped. If your speed measurement is not at the location of
fnref, correct your measured speed using the constant speed
ratio between the two locations. Apply cycle-validation criteria for
each separate transient or highway cruise cycle based on the following
parameters:

Table 1 of Sec. 1037.550--Statistical Criteria for Validating Duty
Cycles
------------------------------------------------------------------------
Parameter a Speed control
------------------------------------------------------------------------
Slope, a;1................................ 0.990 <=a1 <=1.010.
Absolute value of intercept, <=2.0% of maximum [fnof]nref
[verbar]a0[verbar]. speed.
Standard error of the estimate, SEE....... <=2.0% of maximum [fnof]nref
speed.
Coefficient of determination, r2.......... =0.990.
------------------------------------------------------------------------
a Determine values for specified parameters as described in 40 CFR
1065.514(e) by comparing measured and reference values for
[fnof]nref,dyno.

[[Page 307]]

(n) Fuel consumption at idle. Determine the mass of fuel consumed at
idle for the applicable duty cycles described in Sec. 1037.510(a)(2) as
follows:
(1) Measure fuel consumption with a fuel flow meter and report the
mean idle fuel mass flow rate for each duty cycle as applicable,
mifuelidle.
(2) If you do not measure fuel mass flow rate, calculate the idle
fuel mass flow rate for each duty cycle, mifuelidle, for each
set of vehicle settings, as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.140

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 [alpha], [beta], 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.
xH2Oexhdry = the mean concentration of H2O in
exhaust per mole of dry exhaust.
miCO2DEF = the mean CO2 mass emission rate
resulting from diesel exhaust fluid decomposition over the
duty cycle as determined in 40 CFR 1036.535(b)(7). 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 = 0.867
niexh = 25.534 mol/s
xCcombdry = 2.805[middot]10^-3 mol/mol
xH2Oexhdry = 3.53[middot]10^-2 mol/mol
miCO2DEF = 0.0726 g/s
MCO2 = 44.0095
[GRAPHIC] [TIFF OMITTED] TR29JN21.139

mifuelidle = 0.405 g/s = 1458.6 g/hr

(o) Create GEM inputs. Use the results of powertrain testing to
determine GEM inputs for the different simulated vehicle configurations
as follows:
(1) Correct the measured or calculated fuel masses,
mfuel[cycle], and mean idle fuel mass flow rates,
mifuelidle, if applicable, for each test result to a mass-
specific net energy content of a reference fuel as described in 40 CFR
1036.535(f), replacing mifuel with mfuel[cycle]
where applicable in Eq. 1036.535-4.
(2) Declare fuel masses, mfuel[cycle], in g/cycle. In
addition, declare mean fuel mass flow rate for each applicable idle duty
cycle, mifuelidle. These declared values may not be lower
than any corresponding measured values determined in this section. If
you use multiple measurement methods as allowed in 40 CFR 1036.540(d),
follow 40 CFR 1036.535(g) regarding the use of direct and indirect fuel
measurements and the carbon balance error verification. These declared
values, which serve as emission standards, collectively represent the
powertrain fuel map for certification.

[[Page 308]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.141

(ii) For testing with torque measurement at the wheel hubs, use Eq.
1037.550-8 setting ka equal to 1.
(iii) For testing with torque measurement at the engine's
crankshaft:
[GRAPHIC] [TIFF OMITTED] TR29JN21.142

Where:

fnengine = average engine speed when vehicle speed is at or
above 0.100 m/s.
vref = average simulated vehicle speed at or above 0.100 m/s.
Example:
fnengine = 1870 r/min = 31.17 r/s
vref = 19.06 m/s
[GRAPHIC] [TIFF OMITTED] TR29JN21.143

(4) Calculate positive work, W[cycle], as the work over
the duty cycle at the axle input shaft, wheel hubs, or the engine's
crankshaft, as applicable, when vehicle speed is at or above 0.100 m/s.
(5) Calculate engine idle speed, by taking the average engine speed
measured during the transient cycle test while the vehicle speed is
below 0.100 m/s.
(6) The following table illustrates the GEM data inputs
corresponding to the different vehicle configurations for a given duty
cycle:
[GRAPHIC] [TIFF OMITTED] TR29JN21.144

[[Page 309]]

[86 FR 34477, June 29, 2021]

Sec. 1037.551 Engine-based simulation of powertrain testing.

Section 1037.550 describes how to measure fuel consumption over
specific duty cycles with an engine coupled to a transmission; Sec.
1037.550(q) describes how to create equivalent duty cycles for repeating
those same measurements with just the engine. This Sec. 1037.551
describes how to perform this engine testing to simulate the powertrain
test. These engine-based measurements may be used for confirmatory
testing as described in Sec. 1037.235, or for selective enforcement
audits as described in Sec. 1037.301, as long as the test engine's
operation represents the engine operation observed in the powertrain
test. If we use this approach for confirmatory testing, when making
compliance determinations, we will consider the uncertainty associated
with this approach relative to full powertrain testing. Use of this
approach for engine SEAs is optional for engine manufacturers.
(a) Use the procedures of 40 CFR part 1065 to set up the engine,
measure emissions, and record data. Measure individual parameters and
emission constituents as described in this section. Measure
NOX emissions for each 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 greenhouse gas emissions or 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. For hybrid
powertrains, correct for the net energy change of the energy storage
device as described in 40 CFR 1066.501.
(b) Operate the engine over the applicable engine duty cycles
corresponding to the vehicle cycles specified in Sec. 1037.510(a)(2)
for powertrain testing over the applicable vehicle simulations described
in Sec. 1037.550(i). Warm up the engine to prepare for the transient
test or one of the highway cruise cycles by operating it one time over
one of the simulations of the corresponding duty cycle. Warm up the
engine to prepare for the idle test by operating it over a simulation of
the 65-mi/hr highway cruise cycle for 600 seconds. Within 60 seconds
after concluding the warm up cycle, start emission sampling while the
engine operates over the duty cycle. You may perform any number of test
runs directly in succession once the engine is warmed up. Perform cycle
validation as described in 40 CFR 1065.514 for engine speed, torque, and
power.
(c) Calculate the mass of fuel consumed as described in Sec.
1037.550(m) and (n). Correct each measured value for the test fuel's
mass-specific net energy content as described in 40 CFR 1036.530. Use
these corrected values to determine whether the engine's emission levels
conform to the declared fuel-consumption rates from the powertrain test.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34483, June 29, 2021]

Sec. 1037.555 Special procedures for testing Phase 1 hybrid systems.

This section describes the procedure for simulating a chassis test
with a pre-transmission or post-transmission hybrid system for A to B
testing of Phase 1 vehicles. These procedures may also be used to
perform A to B testing with non-hybrid systems. See Sec. 1037.550 for
Phase 2 hybrid systems.
(a) Set up the engine according to 40 CFR 1065.110 to account for
work inputs and outputs and accessory work.
(b) Collect CO2 emissions while operating the system over
the test cycles specified in Sec. 1037.510(a)(1).
(c) Collect and measure emissions as described in 40 CFR part 1066.
Calculate emission rates in grams per ton-mile without rounding.
Determine values for A, B, C, and M for the vehicle being simulated as
specified in 40 CFR part 1066. If you will apply an improvement factor
or test results to multiple vehicle configurations, use values of A, B,

[[Page 310]]

C, M, ka, and r that represent the vehicle configuration with
the smallest potential reduction in greenhouse gas emissions as a result
of the hybrid capability.
(d) Calculate the transmission output shaft's angular speed target
for the driver model, fnref,driver, from the linear speed
associated with the vehicle cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.145

Where:

vcyclei = vehicle speed of the test cycle for each point, i,
starting from i = 1.
ka = drive axle ratio, as declared by the manufacturer.
r = radius of the loaded tires, as declared by the manufacturer.

(e) Use speed control with a loop rate of at least 100 Hz to program
the dynamometer to follow the test cycle, as follows:
(1) Calculate the transmission output shaft's angular speed target
for the dynamometer, fnref,dyno, from the measured linear
speed at the dynamometer rolls using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.146

[GRAPHIC] [TIFF OMITTED] TR29JN21.147

Where:

T = instantaneous measured torque at the transmission output shaft.
Fbrake = instantaneous brake force applied by the driver
model to add force to slow down the vehicle.
t = elapsed time in the driving schedule as measured by the dynamometer,
in seconds.

(2) For each test, validate the measured transmission output shaft's
speed with the corresponding reference values according to 40 CFR
1065.514(e). You may delete points when the vehicle is stopped. Perform
the validation based on speed values at the transmission output shaft.
For steady-state tests (55 mi/hr and 65 mi/hr cruise), apply cycle-
validation criteria by treating the sampling periods from the two tests
as a continuous sampling period. Perform this validation based on the
following parameters:

Table 1 of Sec. 1037.555--Statistical Criteria for Validating Duty
Cycles
------------------------------------------------------------------------
Parameter Speed control
------------------------------------------------------------------------
Slope, a1................................. 0.950 <= a1 <= 1.030.
Absolute value of intercept, <=2.0% of maximum test
[verbar]a0[verbar]. speed.
Standard error of the estimate, SEE....... <=5% of maximum test speed.
Coefficient of determination, r\2\........ =0.970.
------------------------------------------------------------------------

(f) Send a brake signal when operator demand is equal to zero and
vehicle speed is greater than the reference vehicle speed from the test
cycle. Set a delay before changing the brake state to prevent the brake
signal from dithering, consistent with good engineering judgment.
(g) The driver model should be designed to follow the cycle as
closely as possible and must meet the requirements of Sec. 1037.510 for
steady-state testing and 40 CFR 1066.430(e) for transient testing. The
driver model should be designed so that the brake and throttle are not
applied at the same time.

[[Page 311]]

(h) Correct for the net energy change of the energy storage device
as described in 40 CFR 1066.501.
(i) Follow the provisions of Sec. 1037.510 to weight the cycle
results and Sec. 1037.615 to calculate improvement factors and benefits
for advanced technologies for Phase 1 vehicles.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34483, June 29, 2021]

Sec. 1037.560 Axle efficiency test.

This section describes a procedure for mapping axle efficiency
through a determination of axle power loss.
(a) You may establish axle power loss maps based on testing any
number of axle configurations within an axle family as specified in
Sec. 1037.232. You may share data across a family of axle
configurations, as long as you test the axle configuration with the
lowest efficiency from the axle family; this will generally involve
testing the axle with the highest axle ratio. For vehicles with tandem
drive axles, always test each drive axle separately. For tandem axles
that can be disconnected, test both single-drive and tandem axle
configurations. This includes 4x4 axles where one of the axles is
disconnectable. Alternatively, you may analytically derive power loss
maps for untested configurations within the same axle family as
described in paragraph (h) of this section.
(b) Prepare an axle assembly for testing as follows:
(1) Select an axle assembly with less than 500 hours of operation
before testing. Assemble the axle in its housing, along with wheel ends
and bearings.
(2) If you have a family of axle assemblies with different axle
ratios, you may test multiple configurations using a common axle
housing, wheel ends, and bearings.
(3) Install the axle assembly on the dynamometer with an input shaft
angle perpendicular to the axle.
(i) For axle assemblies with or without a locking main differential,
test the axle assembly using one of the following methods:
(A) Lock the main differential and test it with one electric motor
on the input shaft and a second electric motor on the output side of the
output shaft that has the speed-reduction gear attached to it.
(B) Test with the main differential unlocked and with one electric
motor on the input shaft and electric motors on the output sides of each
of the output shafts.
(ii) For drive-through tandem-axle setups, lock the longitudinal and
inter-wheel differentials.
(4) Add gear oil according to the axle manufacturer's instructions.
If the axle manufacturer specifies multiple gear oils, select the one
with the highest viscosity at operating temperature. You may use a
lower-viscosity gear oil if we approve that as critical emission-related
maintenance under Sec. 1037.125. Fill the gear oil to a level that
represents in-use operation. You may use an external gear oil
conditioning system, as long as it does not affect measured values.
(5) Install equipment for measuring the bulk temperature of the gear
oil in the oil sump or a similar location. Report temperature to the
nearest 0.1 [deg]C.
(6) Break in the axle assembly using good engineering judgment.
Maintain gear oil temperature at or below 100 [deg]C throughout the
break-in period.
(7) You may drain the gear oil following the break-in procedure and
repeat the filling procedure described in paragraph (b)(4) of this
section. We will follow your practice for our testing.
(c) Measure input and output speed and torque as described in 40 CFR
1065.210(b). You must use a speed-measurement system that meets an
accuracy of 0.05% of point. Use torque transducers
that meet an accuracy requirement of 1.0
N[middot]m for unloaded test points and 0.2% of
the maximum tested axle input torque or output torque, respectively, for
loaded test points. Calibrate and verify measurement instruments
according to 40 CFR part 1065, subpart D. Command speed and torque at a
minimum of 10 Hz, and record all data, including bulk oil temperature,
as 1 Hz mean values.
(d) The test matrix consists of test points representing output
torque and wheel speed values meeting the following specifications:
(1) Output torque includes both loaded and unloaded operation. For
measurement involving unloaded output

[[Page 312]]

torque, also called spin loss testing, the wheel end is not connected to
the dynamometer and is left to rotate freely; in this condition the
input torque (to maintain constant wheel speed) equals the power loss.
Test axles at a range of output torque values, as follows:
(i) 0, 500, 1000, 2000, 3000, and 4000 N[middot]m for single drive
axle applications for tractors and for vocational Heavy HDV with a
single drive axle.
(ii) 0, 250, 500, 1000, 1500, and 2000 N[middot]m for tractors, for
vocational Heavy HDV with tandem drive axles, and for all vocational
Light HDV or vocational Medium HDV.
(iii) You may exclude values that exceed your axle's maximum torque
rating.
(2) Determine maximum wheel speed corresponding to a vehicle speed
of 65 mi/hr based on the smallest tire (as determined using Sec.
1037.520(c)(1)) that will be used with the axle. If you do not know the
smallest tire size, you may use a default size of 650 r/mi. Use wheel
angular speeds for testing that include 50 r/min and speeds in 100 r/min
increments that encompass the maximum wheel speed (150, 250, etc.).
(3) You may test the axle assembly at additional speed and torque
setpoints.
(e) Determine axle efficiency using the following procedure:
(1) Maintain ambient temperature between (15 and 35) [deg]C
throughout testing. Measure ambient temperature within 1.0 m of the axle
assembly. Verify that critical axle settings (such as bearing preload,
backlash, and oil sump level) are within specifications before and after
testing.
(2) Maintain gear oil temperature at (81 to 83) [deg]C. You may
alternatively specify a lower range by shifting both temperatures down
by the same amount. We will test your axle assembly using the same
temperature range you specify for your testing. You may use an external
gear oil conditioning system, as long as it does not affect measured
values.
(3) Use good engineering judgment to warm up the axle assembly by
operating it until the gear oil is within the specified temperature
range.
(4) Stabilize operation at each point in the test matrix for at
least 10 seconds, then measure the input torque, output torque, and
wheel angular speed for at least 10 seconds. Record arithmetic mean
values for all three parameters over the measurement period. Calculate
power loss as described in paragraph (f) of this section based on these
values for mean input torque, Tin, mean output torque,
Tout, and mean wheel angular speed, fnwheel, at
each test point.
(5) Perform the map sequence described in paragraph (e)(4) of this
section three times. Remove torque from the input shaft and allow the
axle to come to a full stop before each repeat measurement.
(6) You may need to perform additional testing at a given test point
based on a calculation of a confidence interval to represent
repeatability at a 95% confidence level for that test point. If the
confidence limit is greater than 0.10% for loaded tests or greater than
0.05% for unloaded tests, perform another repeat of measurements at that
test point and recalculate the repeatability for the whole set of test
results. Continue testing until the confidence interval is at or below
the specified values for all test points. Calculate a confidence
interval representing the repeatability in establishing a 95% confidence
level using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.148

[[Page 313]]

Where:

[sigma]Ploss = standard deviation of power loss values at a
given torque-speed setting (see 40 CFR 1065.602(c)).
N = number of repeat tests.
Pmax = maximum output torque setting from the test matrix.
Example:
[sigma]Ploss = 0.1650 kW
N = 3
P max = 314.2000 kW
[GRAPHIC] [TIFF OMITTED] TR29JN21.149

Confidence Interval = 0.0594%

(f) Calculate the mean power loss, Ploss, at each test
point as follows:
(1) Calculate Ploss for each measurement at each test
point as follows:
[GRAPHIC] [TIFF OMITTED] TR29JN21.150

Where:

Tin = mean input torque from paragraph (e)(4) of this
section.
fnwheel = mean wheel angular speed from paragraph (e)(4) of
this section in rad/s.
ka = drive axle ratio, expressed to at least the nearest
0.001.
Tout = mean output torque from paragraph (e)(4) of this
section. Let Tout = 0 for all unloaded tests.

(2) Calculate Ploss as the mean power loss from all
measurements at a given test point.
(3) The following example illustrates a calculation of
Ploss:

Tin,1 = 845.10 N[middot]m
fnwheel,1 = 100.0 r/min = 10.472 rad/s
ka = 3.731
Tout,1 = 3000.00 N[middot]m
Ploss,1 = 845.10 [middot] 10.472 [middot] 3.731 - 3000.00
[middot] 10.472
Ploss,1 = 1602.9 W = 1.6029 kW
Ploss,2 = 1601.9 W = 1.6019 kW
Ploss,3 = 1603.9 W = 1.6039 kW
[GRAPHIC] [TIFF OMITTED] TR29JN21.151

(g) Create a table with the mean power loss, Ploss,
corresponding to each test point for input into GEM. Express wheel
angular speed in r/min to one decimal place; express output torque in
N[middot]m to two decimal places; express power loss in kW to four
decimal places.
[GRAPHIC] [TIFF OMITTED] TR29JN21.279

[[Page 314]]

(2) Record declared mean power loss values at or above the
corresponding value calculated in paragraph (f) of this section. Use
good engineering judgment to select values that will be at or above the
mean power loss values for your production axles. Vehicle manufacturers
will use these declared mean power loss values for certification. For
vehicles with tandem drive axles, the GEM input is the sum of the power
loss and output torque from the individual axles. For vehicles with a
disconnectable axle, GEM uses separate inputs for single and tandem
drive axle configurations.
(h) You may analytically derive axle power loss maps for untested
configurations within an axle family as follows:
(1) Test at least three axle assemblies within the same family
representing at least the smallest axle ratio, the largest axle ratio,
and an axle ratio closest to the arithmetic mean from the two other
tested axle assemblies. Test each axle assembly as described in this
section at the same speed and torque setpoints.
(2) Perform a second-order least-squares regression between declared
power loss and axle ratio using each speed and torque setpoint described
in paragraph (d) of this section for your tested axle assemblies. Use
the declared power loss values from paragraph (g) of this section;
however, for purposes of analytically deriving power loss maps under
this paragraph (h), you must select declared values for the largest and
smallest axle ratios in the axle family that are adjusted relative to
the calculated values for mean power loss by the same multiplier. If the
coefficent of the second-order term is negative, include testing from
additional axle ratios, or increase your declared power loss for the
largest and smallest axle ratios by the same multiplier as needed for
the second-order term to become positive.
(3) Determine Ploss of untested axles for each speed and
torque setpoint based on a linear relationship between your declared
power loss and axle ratio as follows:
(i) Determine the slope of the correlation line by connecting the
declared power loss values for the smallest and largest axle ratios.
(ii) Fix the intercept for the correlation line by shifting it
upward as needed so all the declared power loss values are on the
correlation line or below it. Note that for cases involving three tested
axle assemblies, the correlation line will always include the declared
power loss for the smallest and largest axle ratio.
(4) Select declared values of Ploss for untested
configurations that are at or above the values you determined in
paragraph (h)(3) of this section.

[86 FR 34484, June 29, 2021]

Sec. 1037.565 Transmission efficiency test.

This section describes a procedure for mapping transmission
efficiency through a determination of transmission power loss.
(a) You may establish transmission power loss maps based on testing
any number of transmission configurations within a transmission family
as specified in Sec. 1037.232. You may share data across any
configurations within the family, as long as you test the transmission
configuration with the lowest efficiency from the transmission family.
Alternatively, you may ask us to approve analytically derived power loss
maps for untested configurations within the same transmission family
(see Sec. 1037.235(h)).
(b) Prepare a transmission for testing as follows:
(1) Select a transmission with less than 500 hours of operation
before testing.
(2) Mount the transmission to the dynamometer such that the geared
shaft in the transmission is aligned with the input shaft from the
dynamometer.
(3) Add transmission oil according to the transmission
manufacturer's instructions. If the transmission manufacturer specifies
multiple transmission oils, select the one with the highest viscosity at
operating temperature. You may use a lower-viscosity transmission oil if
we approve it as critical emission-related maintenance under Sec.
1037.125. Fill the transmission oil to a level that represents in-use
operation. You may use an external transmission oil conditioning system,

[[Page 315]]

as long as it does not affect measured values.
(4) Include any internal and external pumps for hydraulic fluid and
lubricating oil in the test. Determine the work required to drive an
external pump according to 40 CFR 1065.210.
(5) Install equipment for measuring the bulk temperature of the
transmission oil in the oil sump or a similar location.
(6) If the transmission is equipped with a torque converter, lock it
for all testing performed in this section.
(7) Break in the transmission using good engineering judgment.
Maintain transmission oil temperature at (87 to 93) [deg]C for automatic
transmissions and transmissions having more than two friction clutches,
and at (77 to 83) [deg]C for all other transmissions. You may ask us to
approve a different range of transmission oil temperatures if you have
data showing that it better represents in-use operation.
(c) Measure input and output shaft speed and torque as described in
40 CFR 1065.210(b). You must use a speed measurement system that meets
an accuracy of 0.05% of point. Accuracy
requirements for torque transducers depend on the highest loaded
transmission input and output torque as described in paragraph (d)(2) of
this section. Use torque transducers for torque input measurements that
meet an accuracy requirement of 0.2% of the
highest loaded transmission input for loaded test points and 0.1% of the highest loaded transmission input torque for
unloaded test points. For torque output measurements, torque transducers
must meet an accuracy requirement of 0.2% of the
highest loaded transmission output torque for each gear ratio. Calibrate
and verify measurement instruments according to 40 CFR part 1065,
subpart D. Command speed and torque at a minimum of 10 Hz, and record
all data, including bulk oil temperature, at a minimum of 1 Hz mean
values.
(d) Test the transmission at input shaft speeds and torque setpoints
as described in this paragraph (d). You may exclude lower gears from
testing; however, you must test all the gears above the highest excluded
gear. GEM will use default values for any untested gears. The test
matrix consists of test points representing transmission input shaft
speeds and torque setpoints meeting the following specifications for
each tested gear:
(1) Test at the following transmission input shaft speeds:
(i) 600.0 r/min or transmission input shaft speed when paired with
the engine operating at idle.
(ii) The transmission's maximum rated input shaft speed. You may
alternatively select a value representing the highest expected in-use
transmission input shaft speed.
(iii) Three equally spaced intermediate speeds. The intermediate
speed points may be adjusted to the nearest 50 or 100 r/min. You may
test any number of additional speed setpoints to improve accuracy.
(2) Test at certain transmission input torque setpoints as follows:
(i) Include one unloaded (zero-torque) setpoint.
(ii) Include one loaded torque setpoint between 75% and 105% of the
transmission's maximum rated input shaft torque. However, you may use a
lower torque setpoint as needed to avoid exceeding dynamometer torque
limits, as long as testing accurately represents in-use performance. If
your loaded torque setpoint is below 75% of the transmission's maximum
rated input shaft torque, you must demonstrate that the sum of time for
all gears where demanded engine torque is between your maximum torque
setpoint and 75% of the transmission's maximum rated input shaft torque
is no more than 10% of the time for each vehicle drive cycle specified
in subpart F of this part. This demonstration must be made available
upon request.
(iii) You may test at any number of additional torque setpoints to
improve accuracy.
(iv) Note that GEM calculates power loss between tested or default
values by linear interpolation, except that GEM may extrapolate outside
of measured values to account for testing at torque setpoints below 75%
as specified in paragraph (d)(2)(ii) of this section.
(3) In the case of transmissions that automatically go into neutral
when the vehicle is stopped, also perform tests at

[[Page 316]]

600 r/min and 800 r/min with the transmission in neutral and the
transmission output fixed at zero speed.
(e) Determine transmission efficiency using the following procedure:
(1) Maintain ambient temperature between (15 and 35) [deg]C
throughout testing. Measure ambient temperature within 1.0 m of the
transmission.
(2) Maintain transmission oil temperature as described in paragraph
(b)(7) of this section.
(3) Use good engineering judgment to warm up the transmission
according to the transmission manufacturer's specifications.
(4) Perform unloaded transmission tests by disconnecting the
transmission output shaft from the dynamometer and letting it rotate
freely. If the transmission adjusts pump pressure based on whether the
vehicle is moving or stopped, set up the transmission for unloaded tests
to operate as if the vehicle is moving.
(5) For transmissions that have multiple configurations for a given
gear ratio, such as dual-clutch transmissions that can pre-select an
upshift or downshift, set the transmission to operate in the
configuration with the greatest power loss. Alternatively, test in each
configuration and use good engineering judgment to calculate a weighted
power loss for each test point under this section based on field data
that characterizes the degree of in-use operation in each configuration.
(6) For a selected gear, operate the transmission at one of the test
points from paragraph (d) of this section for at least 10 seconds.
Measure the speed and torque of the input and output shafts for at least
10 seconds. You may omit measurement of output shaft speeds if your
transmission is configured to not allow slip. Calculate arithmetic mean
values for mean input shaft torque, Tin, mean output shaft
torque, Tout, mean input shaft speed, fnin, and
mean output shaft speed, fnout, for each point in the test
matrix for each test. Repeat this stabilization, measurement, and
calculation for the other speed and torque setpoints from the test
matrix for the selected gear in any sequence. Calculate power loss as
described in paragraph (f) of this section based on mean speed and
torque values at each test point.
(7) Repeat the procedure described in paragraph (e)(6) of this
section for all gears, or for all gears down to a selected gear. This
section refers to an ``operating condition'' to represent operation at a
test point in a specific gear.
(8) Perform the test sequence described in paragraphs (e)(6) and (7)
of this section three times. You may do this repeat testing at any given
test point before you perform measurements for the whole test matrix.
Remove torque from the transmission input shaft and bring the
transmission to a complete stop before each repeat measurement.
(9) You may need to perform additional testing at a given operating
condition based on a calculation of a confidence interval to represent
repeatability at a 95% confidence level at that operating condition. If
the confidence interval is greater than 0.10% for loaded tests or
greater than 0.05% for unloaded tests, perform another measurement at
that operating condition and recalculate the repeatability for the whole
set of test results. Continue testing until the confidence interval is
at or below the specified values for all operating conditions. As an
alternative, for any operating condition that does not meet this
repeatability criterion, you may determine a maximum power loss instead
of calculating a mean power loss as described in paragraph (g) of this
section. Calculate a confidence interval representing the repeatability
in establishing a 95% confidence level using the following equation:

[[Page 317]]

[GRAPHIC] [TIFF OMITTED] TR23SE21.000

Where:

[sigma]Ploss = standard deviation of power loss values at a
given operating condition (see 40 CFR 1065.602(c)).
N = number of repeat tests for an operating condition.
Prated = the transmission's rated input power for a given
gear. For testing in neutral, use the value of
Prated for the top gear.

Example:

[sigma]Ploss = 0.1200 kW
N = 3
Prated = 314.2000 kW
[GRAPHIC] [TIFF OMITTED] TR23SE21.001

Confidence Interval = 0.0432%

(f) Calculate the mean power Ploss, at each operating
condition as follows:
(1) Calculate Ploss for each measurement at each
operating condition as follows:

[GRAPHIC] [TIFF OMITTED] TR23SE21.008

Where:

Tin = mean input shaft torque from paragraph (e)(6) of this
section.
fnin = mean input shaft speed from paragraph (e)(6) of this
section in rad/s.
Tout = mean output shaft torque from paragraph (e)(6) of this
section. Let Tout = 0 for all unloaded tests.
fnout = mean output shaft speed from paragraph (e)(6) of this
section in rad/s. Let fnout = 0 for all tests with
the transmission in neutral. See paragraph (f)(2) of this
section for calculating fnout as a function of
fnin instead of measuring fnout.

(2) For transmissions that are configured to not allow slip, you may
calculate fnout based on the gear ratio using the following
equation:
[GRAPHIC] [TIFF OMITTED] TR23SE21.002

Where:

kg = transmission gear ratio, expressed to at least the
nearest 0.001.

(3) Calculate Ploss as the mean power loss from all
measurements at a given operating condition.
(4) The following example illustrates a calculation of
Ploss:

Tin,1 = 1000.0 N[middot]m
fnin,1 = 1000 r/min = 104.72 rad/sec
Tout,1 = 2654.5 N[middot]m
fnout,1 = 361.27 r/min = 37.832 rad/s
Ploss,1 = 1000.0[middot]104.72-2654.5[middot]37.832

[[Page 318]]

Ploss,1 = 4295 W = 4.295 kW
Ploss,2 = 4285 W = 4.285 kW
Ploss,3 = 4292 W = 4.292 kW
[GRAPHIC] [TIFF OMITTED] TR23SE21.003

(g) Create a table with the mean power loss, Ploss,
corresponding to each operating condition for input into GEM. Also
include power loss in neutral for each tested engine's speed, if
applicable. Express transmission input speed in r/min to one decimal
place; express input torque in N[middot]m to two decimal places; express
power loss in kW to four decimal places. Record the following values:
[GRAPHIC] [TIFF OMITTED] TR23SE21.009

(2) For any operating condition not meeting the repeatability
criterion in paragraph (e)(9) of this section, record the maximum value
of Ploss for that operating condition along with the
corresponding values of Tin and fnin.
(h) Record declared power loss values at or above the corresponding
value calculated in paragraph (f) of this section. Use good engineering
judgment to select values that will be at or above the mean power loss
values for your production transmissions. Vehicle manufacturers will use
these declared mean power loss values for certification.

[86 FR 34486, June 29, 2021; 86 FR 52833, Sept. 23, 2021]

Sec. 1037.570 Procedures to characterize torque converters.

GEM includes input values related to torque converters. This section
describes a procedure for mapping a torque converter's capacity factors
and torque ratios over a range of operating conditions. You may ask us
to approve analytically derived input values based on this testing for
additional untested configurations as described in Sec. 1037.235(h).
(a) Prepare a torque converter for testing as follows:
(1) Select a torque converter with less than 500 hours of operation
before the start of testing.
(2) If the torque converter has a locking feature, unlock it for all
testing performed under this section. If the torque converter has a
slipping lockup clutch, you may ask us to approve a different strategy
based on data showing that it represents better in-use operation.
(3) Mount the torque converter with a transmission to the
dynamometer in series or parallel arrangement or mount the torque
converter without a transmission to represent a series configuration.
(4) Add transmission oil according to the torque converter
manufacturer's instructions, with the following additional
specifications:
(i) If the torque converter manufacturer specifies multiple
transmission

[[Page 319]]

oils, select the one with the highest viscosity at operating
temperature. You may use a lower-viscosity transmission oil if we
approve that as critical emission-related maintenance under Sec.
1037.125.
(ii) Fill the transmission oil to a level that represents in-use
operation. If you are testing the torque converter without the
transmission, keep output pressure and the flow rate of transmission oil
into the torque converter within the torque converter manufacturer's
limits.
(iii) You may use an external transmission oil conditioning system,
as long as it does not affect measured values.
(5) Install equipment for measuring the bulk temperature of the
transmission oil in the oil sump or a similar location and at the torque
converter inlet. If the torque converter is tested without a
transmission, measure the oil temperature at the torque converter inlet.
(6) Break in the torque converter and transmission (if applicable)
using good engineering judgment. Maintain transmission oil temperature
at (87 to 93) [deg]C. You may ask us to approve a different range of
transmission oil temperatures if you have data showing that it better
represents in-use operation.
(b) Measure pump and turbine shaft speed and torque as described in
40 CFR 1065.210(b). You must use a speed measurement system that meets
an accuracy of 0.1% of point or 1 r/min, whichever is greater. Use torque transducers
that meet an accuracy of 1.0% of the torque
converter's maximum rated input and output torque, respectively.
Calibrate and verify measurement instruments according to 40 CFR part
1065, subpart D. Command speed and torque at a minimum of 10 Hz. Record
all speed and torque data at a minimum of 1 Hz mean values. Note that
this section relies on the convention of describing the input shaft as
the pump and the output shaft as the turbine shaft.
(c) Determine torque converter characteristics based on a test
matrix using either constant input speed or constant input torque as
follows:
(1) Constant input speed. Test at constant input speed as follows:
(i) Select a fixed pump speed, [fnof]npum, between (1000
and 2000) r/min.
(ii) Test the torque converter at multiple speed ratios, v, in the
range of v = 0.00 to v = 0.95. Use a step width of 0.10 for the range of
v = 0.00 to 0.60 and 0.05 for the range of v = 0.60 to 0.95. Calculate
speed ratio, v, as turbine shaft speed divided by pump speed.
(2) Constant input torque. Test at constant input torque as follows:
(i) Set the pump torque, Tpum, to a fixed positive value
at [fnof]npum = 1000 r/min with the torque converter's
turbine shaft locked in a non-rotating state (i.e., turbine's speed,
ntur, = 0 r/min).
(ii) Test the torque converter at multiple speed ratios, v, in the
range of v = 0.00 up to a value of [fnof]ntur that covers the
usable range of v. Use a step width of 0.10 for the range of v = 0.00 to
0.60 and 0.05 for the range of v = 0.60 to 0.95.
(3) You may limit the maximum speed ratio to a value below 0.95 if
you have data showing this better represents in-use operation. You must
use the step widths defined in paragraph (c)(1) or (2) of this section
and include the upper limit as a test point. If you choose a value less
than 0.60, you must test at least seven evenly distributed points
between v = 0 and your new upper speed ratio.
(d) Characterize the torque converter using the following procedure:
(1) Maintain ambient temperature between (15 and 35) [deg]C
throughout testing. Measure ambient temperature within 1.0 m of the
torque converter.
(2) Maintain transmission oil temperature as described in paragraph
(a)(6) of this section. You may use an external transmission oil
conditioning system, as long as it does not affect measured values.
(3) Use good engineering judgment to warm up the torque converter
according to the torque converter manufacturer's specifications.
(4) Test the torque converter at constant input speed or constant
input torque as described in paragraph (c) of this section. Operate the
torque converter at v = 0.00 for (5 to 60) seconds, then measure pump
torque, turbine shaft torque, angular pump speed, angular turbine shaft
speed, and the transmission oil temperature at the

[[Page 320]]

torque converter inlet for (5 to 15) seconds. Calculate arithmetic mean
values for pump torque, Tpum, turbine shaft torque,
Ttur, angular pump speed, fnpum, and angular
turbine shaft speed, fntur, over the measurement period.
Repeat this stabilization, measurement, and calculation for the other
speed ratios from the test matrix in order of increasing speed ratio.
Adjust the speed ratio by increasing the angular turbine shaft speed.
(5) Complete a test run by performing the test sequence described in
paragraph (d)(4) of this section two times.
(6) Invalidate the test run if the difference between the pair of
mean torque values for the repeat tests at any test point differ by more
than 1 N[middot]m or by more than 5% of the average of those two values. This paragraph
(d)(6) applies separately for mean pump torque and mean turbine shaft
torque at each test point.
(7) Invalidate the test run if any calculated value for mean angular
pump speed does not stay within 5 r/min of the
speed setpoint or if any calculated value for mean pump torque does not
stay within 5 N[middot]m of the torque setpoint.
(e) Calculate the mean torque ratio, l, at each tested speed ratio,
v, as follows:
(1) Calculate at each tested speed ratio as follows:
[GRAPHIC] [TIFF OMITTED] TR23SE21.004

Where:

Ttur = mean turbine shaft torque from paragraph (d)(4) of
this section.
Tpum = mean pump torque from paragraph (d)(4) of this
section.

(2) Calculate l as the average of the two values of l at each tested
speed ratio.
(3) The following example illustrates a calculation of l:

Ttur,v=0,1 = 332.4 N[middot]m
Tpum,v=0,1 = 150.8 N[middot]m
Ttur,v=0,2 = 333.6 N[middot]m
Tpum,v=0,2 = 150.3 N[middot]m
[GRAPHIC] [TIFF OMITTED] TR23SE21.005

(f) Calculate the mean capacity factor, k, at each tested speed
ratio, v, as follows:
(1) Calculate K at each tested speed ratio as follows:
[GRAPHIC] [TIFF OMITTED] TR23SE21.006

Where:

fnpum = mean angular pump speed from paragraph (d)(4) of this
section.
Tpum = mean pump torque from paragraph (d)(4) of this
section.

(2) Calculate k as the average of the two values of K at each tested
speed ratio.
(3) The following example illustrates a calculation of k:

fnpum,v=0,1 = fnpum,v=0,2 = 1000.0 r/min
Tpum,v=0,1 = 150.8 N[middot]m

[[Page 321]]

[GRAPHIC] [TIFF OMITTED] TR23SE21.007

(g) Create a table of GEM inputs showing l and k at each tested
speed ratio, v. Express l to two decimal places; express k to one
decimal place; express v to two decimal places.

[86 FR 34488, June 29, 2021; 86 FR 52835, Sept. 23, 2021]

Subpart G_Special Compliance Provisions

Sec. 1037.601 General compliance provisions.

(a) Engine and vehicle manufacturers, as well as owners and
operators of vehicles subject to the requirements of this part, and all
other persons, must observe the provisions of this part, the applicable
provisions of 40 CFR part 1068, and the applicable provisions of the
Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty
vehicles as specified in that part, subject to the provisions:
(1) Except as specifically allowed by this part or 40 CFR part 1068,
it is a violation of Sec. 1068.101(a)(1) to introduce into U.S.
commerce a tractor or vocational vehicle containing an engine not
certified to the applicable requirements of this part and 40 CFR part
86. Further, it is a violation to introduce into U.S. commerce a Phase 1
tractor containing an engine not certified for use in tractors; or to
introduce into U.S. commerce a vocational vehicle containing a light
heavy-duty or medium heavy-duty engine not certified for use in
vocational vehicles. These prohibitions apply especially to the vehicle
manufacturer. Note that this paragraph (a)(1) allows the use of Heavy
heavy-duty tractor engines in vocational vehicles.
(2) The provisions of 40 CFR 1068.105(a) apply for vehicle
manufacturers installing engines certified under 40 CFR part 1036 as
further limited by this paragraph (a)(2). If new engine emission
standards apply in a given model year, you may install normal
inventories of engines from the preceding model year under the
provisions of 40 CFR 1068.105(a) through March 31 of that year without
our approval; you may not install such engines after March 31 of that
year unless we approve it in advance. Installing such engines after
March 31 without our prior approval is considered to be prohibited
stockpiling of engines. In a written request for our approval, you must
describe how your circumstances led you and your engine supplier to have
normal inventories of engines that were not used up in the specified
time frame. We will approve your request for up to three additional
months to install engines under this paragraph (a)(2) if we determine
that the excess inventory is a result of unforeseeable circumstances and
should not be considered circumvention of emission standards. We will
limit this approval to a certain number of engines consistent with your
normal production and inventory practices. Note that 40

[[Page 322]]

CFR 1068.105(a) allows vehicle manufacturers to use up only normal
inventories of engines meeting less stringent standards; if, for
example, a vehicle manufacturer's normal practice is to receive a
shipment of engines every two weeks, it will deplete its potential to
install previous-tier engines under this paragraph (a)(2) well before
March 31 in the year that new standards apply.
(3) The exemption provisions of 40 CFR 1068.201 through 1068.230,
1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicles.
Other exemption provisions, which are specific to nonroad engines, do
not apply for heavy-duty vehicles or heavy-duty engines.
(4) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for
alternative fuel conversions as specified in 40 CFR part 85, subpart F.
(5) 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 vehicles 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.
(6) A vehicle manufacturer that completes assembly of a vehicle at
two or more facilities may ask to use as the date of manufacture for
that vehicle the date on which manufacturing is completed at the place
of main assembly, consistent with provisions of 49 CFR 567.4. Note that
such staged assembly is subject to the corresponding provisions of 40
CFR 1068.260. Include your request in your application for
certification, along with a summary of your staged-assembly process. You
may ask to apply this allowance to some or all of the vehicles in your
vehicle family. Our approval is effective when we grant your
certificate. We will not approve your request if we determine that you
intend to use this allowance to circumvent the intent of this part.
(7) The provisions for selective enforcement audits apply as
described in 40 CFR part 1068, subpart E, and subpart D of this part.
(b) Vehicles exempted from the applicable standards of 40 CFR part
86 other than glider vehicles are exempt from the standards of this part
without request. Similarly, vehicles other than glider vehicles are
exempt without request if the installed engine is exempted from the
applicable standards in 40 CFR part 86.
(c) The prohibitions of 40 CFR 1068.101 apply for vehicles subject
to the requirements of this part. The actions prohibited under this
provision include the introduction into U.S. commerce of a complete or
incomplete vehicle subject to the standards of this part where the
vehicle is not covered by a valid certificate of conformity or
exemption.
(d) The emergency vehicle field modification provisions of 40 CFR
85.1716 apply with respect to the standards of this part.
(e) Under Sec. 1037.801, certain vehicles are considered to be new
vehicles when they are imported into the United States, even if they
have previously been used outside the country. Independent Commercial
Importers may use the provisions of 40 CFR part 85, subpart P, and 40
CFR 85.1706(b) to receive a certificate of conformity for engines and
vehicles meeting all the requirements of 40 CFR part 1036 and this part
1037.
(f) Standards apply to multi-fuel vehicles as described for engines
in 40 CFR 1036.601(d).

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34489, June 29, 2021]

Sec. 1037.605 Installing engines certified to alternate standards for
specialty vehicles.

(a) General provisions. This section allows vehicle manufacturers to
introduce into U.S. commerce certain new motor vehicles using engines
certified to alternate emission standards specified in 40 CFR part 86
for motor vehicle engines used in specialty vehicles. You may not
install an engine certified to these alternate standards if there is an
engine certified to the full set of requirements of 40 CFR part 86 that
has the appropriate physical and performance characteristics to power
the vehicle. Note that, although these alternate emission standards are
mostly equivalent to standards that apply for nonroad engines under 40
CFR part 1039

[[Page 323]]

or 1048, they are specific to motor vehicle engines. The alternate
standards for compression-ignition engines at or above 56 kW are
described in 40 CFR 86.007-11(g); the alternate standards for spark-
ignition engines are described in 40 CFR 86.008-10(g). The provisions of
this section apply for the following types of specialty vehicles:
(1) All-terrain motor vehicles with portal axles (i.e., axles that
are offset from the corresponding wheel centerline by a gear assembly)
or any axle configuration involving gear reduction such that the wheels
rotate more slowly than the axle.
(2) Amphibious vehicles.
(3) Vehicles with maximum speed at or below 45 miles per hour. If
your vehicle is speed-limited to meet this specification by reducing
maximum speed below what is otherwise possible, this speed limitation
must be programmed into the engine or vehicle's electronic control
module in a way that is tamper-proof. If your vehicles are not
inherently limited to a maximum speed at or below 45 miles per hour,
they may qualify under this paragraph (a)(3) only if we approve your
design to limit maximum speed as being tamper-proof in advance.
(4) Through model year 2027, vehicles with a hybrid powertrain in
which the engine provides energy for the Rechargeable Energy Storage
System.
(b) Notification and reporting requirements. Send the Designated
Compliance Officer written notification describing your plans before
using the provisions of this section. In addition, by February 28 of
each calendar year (or less often if we tell you), send the Designated
Compliance Officer a report with all the following information:
(1) Identify your full corporate name, address, and telephone
number.
(2) List the vehicle models for which you used this exemption in the
previous year and identify the engine manufacturer and engine model for
each vehicle model. Also identify the total number of vehicles produced
in the previous year.
(c) Production limits. You may produce up to 1,000 hybrid vehicles
in a given model year through model year 2027, and up to 200 of each
type of vehicle identified in paragraph (a)(1) through (3) of this
section in a given model year. This includes vehicles produced by
affiliated companies. If you exceed this limit, the number of vehicles
that exceed the limit for the model year will not be covered by a valid
certificate of conformity. For the purpose of this paragraph (c), we
will count all vehicles labeled or otherwise identified as exempt under
this section.
(d) Vehicle standards. The vehicle standards of this part apply as
follows for these vehicles:
(1) Vehicles qualifying under paragraphs (a)(1) through (3) of this
section are subject to evaporative emission standards of Sec. 1037.103,
but are exempt from the other requirements of this part, except as
specified in this section and in Sec. 1037.601. These vehicles must
include a label as specified in Sec. 1037.135(a) with the information
from Sec. 1037.135(c)(1) and (2) and the following statement: ``THIS
VEHICLE IS EXEMPT FROM GREENHOUSE GAS STANDARDS UNDER 40 CFR 1037.605.''
(2) Hybrid vehicles using the provisions of this section remain
subject to the vehicle standards and all other requirements of this part
1037. For example, you may need to use GEM in conjunction with
powertrain testing to demonstrate compliance with emission standards
under subpart B of this part.

Sec. 1037.610 Vehicles with off-cycle technologies.

(a) You may ask us to apply the provisions of this section for
CO2 emission reductions resulting from vehicle technologies
that were not in common use with heavy-duty vehicles before model year
2010 that are not reflected in GEM. 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. These may be described as off-cycle or
innovative technologies. You may apply these provisions for
CO2 emission reductions reflected in the specified test
procedures if they are not reflected in GEM, except as allowed under
paragraph (g) of this section. We will apply these provisions only for
technologies that will result in measurable, demonstrable, and

[[Page 324]]

verifiable real-world CO2 emission reductions.
(b) The provisions of this section may be applied as either an
improvement factor 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 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. 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.
(2) Calculate separate credits (g/ton-mile) based on the difference
between the in-use emission rate with the technology and the in-use
emission rate without the technology. Subtract this value from your GEM
result and use this adjusted value to determine your FEL. 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.
(c) You may perform A to B testing by measuring emissions from the
vehicles during chassis testing or from in-use on-road testing. You may
also ask to use modified powertrain testing. If you use on-road testing,
we recommend that you test according to SAE J1321, Fuel Consumption Test
Procedure--Type II, revised February 2012, or SAE J1526, SAE Fuel
Consumption Test Procedure (Engineering Method), Revised September 2015
(see Sec. 1037.810 for information on availability of SAE standards),
subject to the following provisions:
(1) The minimum route distance is 100 miles.
(2) The route selected must be representative in terms of grade. We
will take into account published and relevant research in determining
whether the grade is representative.
(3) Control vehicle speed over the route to be representative of the
drive-cycle weighting adopted for each regulatory subcategory, as
specified in Sec. 1037.510(c), or apply a correction to account for the
appropriate weighting. For example, if the route selected for an
evaluation of a combination tractor with a sleeper cab contains only
interstate driving at 65 mi/hr, the improvement factor would apply only
to 86 percent of the weighted result.
(4) The ambient air temperature must be between (5 and 35) [deg]C,
unless the technology requires other temperatures for demonstration.
(5) We may allow you to use a Portable Emissions Measurement System
(PEMS) device for measuring CO2 emissions during the on-road
testing.
(d) 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 engine
manufacturer could also claim credits (such as transmissions in certain
circumstances), we may require you to include a letter from the engine
manufacturer stating that it will not seek credits for the same
technology. 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 vehicle configurations that will be equipped with
the technology.
(3) A detailed description and justification of the selected test
vehicles.
(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. 1037.210.
(5) A complete description of the methodology used to estimate the
off-cycle benefit of the technology and all

[[Page 325]]

supporting data, including vehicle 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 vehicle model, and the
fleetwide benefit based on projected sales of vehicle 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 vehicles).
(8) A recommended method for auditing production vehicles consistent
with the intent of 40 CFR part 1068, subpart E. We may approve your
recommended method or specify a different method.
(e) We may seek public comment on your request, consistent with the
provisions of 40 CFR 86.1866. However, we will generally not seek public
comment on credits or adjustments based on A to B chassis testing
performed according to the duty-cycle testing requirements of this part
or in-use testing performed according to paragraph (c) of this section.
(f) 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 vehicle 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
Phase 2 vehicles, even if we approved an improvement factor or credit
for similar vehicle models before model year 2021. Note that Phase 2
approval may carry over for multiple years.
(g) You normally may not calculate off-cycle credits or improvement
factors under this section for technologies represented by GEM, but we
may allow you to do so by averaging multiple GEM runs for special
technologies for which a single GEM run cannot accurately reflect in-use
performance. For example, if you use an idle-reduction technology that
is effective 80 percent of the time, we may allow you to run GEM with
the technology active and with it inactive, and then apply an 80%
weighting factor to calculate the off-cycle credit or improvement
factor. You may need to perform testing to establish proper weighting
factors or otherwise quantify the benefits of the special technologies.

Sec. 1037.615 Advanced technologies.

(a) This section applies in Phase 1 for hybrid vehicles with
regenerative braking, vehicles equipped with Rankine-cycle engines,
electric vehicles, and fuel cell vehicles, and in Phase 2 through model
year 2027 for plug-in hybrid electric vehicles, electric vehicles, and
fuel cell vehicles. You may not generate credits for Phase 1 engine
technologies for which the engines generate credits under 40 CFR part
1036.
(b) Generate Phase 1 advanced-technology credits for vehicles other
than electric vehicles as follows:
(1) Measure the effectiveness of the advanced system by chassis-
testing a vehicle equipped with the advanced system and an equivalent
conventional vehicle, or by testing the hybrid systems and the
equivalent non-hybrid systems as described in Sec. 1037.555. Test the
vehicles as specified in subpart F of this part. For purposes of this
paragraph (b), a conventional vehicle is considered to be equivalent if
it has the same footprint (as defined in 40 CFR 86.1803), vehicle
service class, aerodynamic drag, and other relevant factors not directly
related to the hybrid powertrain. If you use Sec. 1037.540 to quantify
the benefits of a hybrid system for PTO operation, the conventional
vehicle must have the same number of PTO circuits and have equivalent
PTO power. If you do not produce an equivalent vehicle, you may create
and test a prototype equivalent vehicle. The conventional vehicle is
considered Vehicle A and the advanced vehicle is considered Vehicle B.
We may specify an alternate cycle if your vehicle includes a power take-
off.

[[Page 326]]

(2) Calculate an improvement factor and g/ton-mile benefit using the
following equations and parameters:
(i) Improvement Factor = [(Emission Rate A)-(Emission Rate B)]/
(Emission Rate A).
(ii) g/ton-mile benefit = Improvement Factor x (GEM Result B).
(iii) Emission Rates A and B are the g/ton-mile CO2
emission rates of the conventional and advanced vehicles, respectively,
as measured under the test procedures specified in this section. GEM
Result B is the g/ton-mile CO2 emission rate resulting from
emission modeling of the advanced vehicle as specified in Sec.
1037.520.
(3) If you apply an improvement factor to multiple vehicle
configurations using the same advanced technology, use the vehicle
configuration with the smallest potential reduction in greenhouse gas
emissions resulting from the hybrid capability.
(4) Use the equations of Sec. 1037.705 to convert the g/ton-mile
benefit to emission credits (in Mg). Use the g/ton-mile benefit in place
of the (Std-FEL) term.
(c) See Sec. 1037.540 for special testing provisions related to
Phase 1 vehicles equipped with hybrid power take-off units.
(d) For Phase 2 plug-in hybrid electric vehicles and for fuel cells
powered by any fuel other than hydrogen, calculate CO2
credits using an FEL based on emission measurements from powertrain
testing. Phase 2 advanced-technology credits do not apply for hybrid
vehicles that have no plug-in capability.
(e) You may use an engineering analysis to calculate an improvement
factor for fuel cell vehicles based on measured emissions from the fuel
cell vehicle.
(f) For electric vehicles and for fuel cells powered by hydrogen,
calculate CO2 credits using an FEL of 0 g/ton-mile.
(g) As specified in subpart H of this part, advanced-technology
credits generated from Phase 1 vehicles under this section may be used
under this part 1037 outside of the averaging set in which they were
generated, or they may be used under 40 CFR 86.1819 or 40 CFR part 1036.
Advanced-technology credits generated from Phase 2 vehicles are subject
to all the averaging-set restrictions that apply to other emission
credits.
(h) You may certify using both provisions of this section and the
off-cycle technology provisions of Sec. 1037.610, provided you do not
double count emission benefits.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34490, June 29, 2021]

Sec. 1037.620 Responsibilities for multiple manufacturers.

This section describes certain circumstances in which multiple
manufacturers share responsibilities for vehicles they produce together.
This section does not limit responsibilities that apply under the Act or
these regulations for anyone meeting the definition of ``manufacturer''
in Sec. 1037.801. Note that the definition of manufacturer is broad and
can include persons not commercially considered to be manufacturers.
(a) The following provisions apply when there are multiple persons
meeting the definition of manufacturer in Sec. 1037.801:
(1) Each person meeting the definition of manufacturer must comply
with the requirements of this part that apply to manufacturers. However,
if one person complies with a specific requirement for a given vehicle,
then all manufacturers are deemed to have complied with that specific
requirement.
(2) We will apply the requirements of subparts C and D of this part
to the manufacturer that obtains the certificate of conformity for the
vehicle. Other manufacturers are required to comply with the
requirements of subparts C and D 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. 1037.601 for the applicability of 40 CFR part 1068 to these other
manufacturers and remanufacturers.
(b) The provisions of Sec. 1037.621, including delegated assembly,
apply for certifying manufacturers that rely on other manufacturers to
finish assembly in a certified configuration. The provisions of Sec.
1037.622 generally apply for manufacturers that ship vehicles subject to

[[Page 327]]

the requirements of this part to a certifying secondary vehicle
manufacturer. The provisions of Sec. 1037.622 also apply to the
secondary vehicle manufacturer. If you hold the certificate of
conformity for a vehicle only with respect to exhaust or evaporative
emissions, and a different company holds the other certificate of
conformity for that vehicle, the provisions of Sec. 1037.621 apply with
respect to the certified configuration as described in your application
for certification, and the provisions of Sec. 1037.622 apply with
respect to the certified configuration as described in the other
manufacturer's application for certification.
(c) Manufacturers of aerodynamic devices may perform the aerodynamic
testing described in Sec. 1037.526 to quantify [Delta]CdA
values for trailers and submit that data to EPA verification under Sec.
1037.211. Trailer manufacturers may use such verified data to establish
input parameters for certifying their trailers. Both device
manufacturers and trailer manufacturers are subject to 40 CFR part 1068,
including the recall provisions described in 40 CFR part 1068, subpart
F.
(d) Component manufacturers (such as tire manufacturers) providing
test data to certifying vehicle manufacturers are responsible as follows
for test components and emission test results provided to vehicle
manufacturers for the purpose of certification under this part:
(1) Such test results are deemed under Sec. 1037.825 to be
submissions to EPA. This means that you may be subject to criminal
penalties under 18 U.S.C. 1001 if you knowingly submit false test
results to the certifying manufacturer.
(2) You may not cause a vehicle manufacturer to violate the
regulations by rendering inaccurate emission test results you provide
(or emission test results from testing of test components you provide)
to the vehicle manufacturer (see 40 CFR 1068.101(c)).
(3) Your provision of test components and/or emission test results
to vehicle manufacturers for the purpose of certifying under this part
are deemed to be an agreement to provide components to EPA for
confirmatory testing under Sec. 1037.235.
(e) Component manufacturers may contractually agree to process
emission warranty claims on behalf of the certifying manufacturer with
respect to those components, as follows:
(1) Your fulfillment of the warranty requirements of this part is
deemed to fulfill the vehicle manufacturer's warranty obligations under
this part with respect to components covered by your warranty.
(2) You may not cause a vehicle manufacturer to violate the
regulations by failing to fulfill the emission warranty requirements
that you contractually agreed to fulfill (see 40 CFR 1068.101(c)).
(f) We may require component manufacturers to provide information or
take other actions under 42 U.S.C. 7542. For example, we may require
component manufacturers to test components they produce.

Sec. 1037.621 Delegated assembly.

(a) This section describes provisions that allow certificate holders
to sell or ship vehicles that are missing certain emission-related
components if those components will be installed by a secondary vehicle
manufacturer. Paragraph (g) of this section similarly describes how
dealers and distributors may modify new vehicles with your advance
approval. (Note: See Sec. 1037.622 for provisions related to
manufacturers introducing into U.S. commerce partially complete vehicles
for which a secondary vehicle manufacturer holds the certificate of
conformity.)
(b) You do not need an exemption to ship a vehicle that does not
include installation or assembly of certain emission-related components
if those components are shipped along with the vehicle. For example, you
may generally ship fuel tanks and aerodynamic devices along with
vehicles rather than installing them on the vehicle before shipment. We
may require you to describe how you plan to use this provision.
(c) You may ask us at the time of certification for an exemption to
allow you to ship your vehicles without emission-related components. If
we allow this, you must provide emission-related installation
instructions as specified in Sec. 1037.130. You must follow delegated-
assembly requirements in 40 CFR

[[Page 328]]

1068.261 if you rely on secondary vehicle manufacturers to install
certain technologies or components as specified in paragraph (d) of this
section. For other technologies or components, we may specify conditions
that we determine are needed to ensure that shipping the vehicle without
such components will not result in the vehicle being operated outside of
its certified configuration; this may include a requirement to comply
with the delegated-assembly provisions in paragraph (d) of this section.
We may consider your past performance when we specify the conditions
that apply.
(d) Delegated-assembly provisions apply as specified in this
paragraph (d) if the certifying vehicle manufacturer relies on a
secondary vehicle manufacturer to procure and install auxiliary power
units, aerodynamic devices, hybrid components (for powertrain or power
take-off), or natural gas fuel tanks. These provisions do not apply for
other systems or components, such as air conditioning lines and
fittings, except as specified in paragraph (c) of this section. Apply
the provisions of 40 CFR 1068.261, with the following exceptions and
clarifications:
(1) Understand references to ``engines'' to refer to vehicles.
(2) Understand references to ``aftertreatment components'' to refer
to any relevant emission-related components under this paragraph (d).
(3) Understand ``equipment manufacturers'' to be secondary vehicle
manufacturers.
(4) The provisions of 40 CFR 1068.261(b), (c)(7), (d), and (e) do
not apply. Accordingly, the provisions of 40 CFR 1068.261(c) apply
regardless of pricing arrangements.
(e) Secondary vehicle manufacturers must follow the engine
manufacturer's emission-related installation instructions. Not meeting
the manufacturer's emission-related installation instructions is a
violation of one or more of the prohibitions of Sec. 1068.101. We may
also require secondary vehicle manufacturers to recall defective
vehicles under 40 CFR 1068.505 if we determine that their manufacturing
practices caused vehicles to not conform to the regulations. Secondary
vehicle manufacturers may be required to meet additional requirements if
the certifying vehicle manufacturer delegates final assembly of emission
controls as described in paragraph (d) of this section.
(f) Except as allowed by Sec. 1037.622, the provisions of this
section apply to manufacturers for glider kits they produce. Note that
under Sec. 1037.620, glider kit manufacturers are generally presumed to
be responsible (in whole or in part) for compliance with respect to
vehicles produced from their glider kits, even if a secondary vehicle
manufacturer holds the certificate under Sec. 1037.622.
(g) We may allow certifying vehicle manufacturers to authorize
dealers or distributors to reconfigure/recalibrate vehicles after the
vehicles have been introduced into commerce if they have not yet been
delivered to the ultimate purchaser as follows:
(1) This allowance is limited to changes from one certified
configuration to another, as noted in the following examples:
(i) If your vehicle family includes certified configurations with
different axle ratios, you may authorize changing from one certified
axle ratio to another.
(ii) You may authorize adding a certified APU to a tractor.
(2) Your final ABT report must accurately describe the vehicle's
certified configuration as delivered to the ultimate purchaser. This
means that the allowance no longer applies after you submit the final
ABT report.
(3) The vehicle label must accurately reflect the final vehicle
configuration.
(4) You must keep records to document modifications under this
paragraph (g).
(5) Dealers and distributors must keep a record of your authorizing
instructions. Dealers and distributors that fail to follow your
instructions or otherwise make unauthorized changes may be committing a
tampering violation as described in 40 CFR 1068.105(b).

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34490, June 29, 2021]

Sec. 1037.622 Shipment of partially complete vehicles to secondary
vehicle manufacturers.

This section specifies how manufacturers may introduce partially
complete vehicles into U.S. commerce (or

[[Page 329]]

in the case of certain custom vehicles, introduce complete vehicles into
U.S. commerce for modification by a small manufacturer). The provisions
of this section are generally not intended for trailers, but they may
apply in unusual circumstances, such as when a secondary vehicle
manufacturer will modify a trailer in a way that makes it exempt. The
provisions of this section are intended to accommodate normal business
practices without compromising the effectiveness of certified emission
controls. You may not use the provisions of this section to circumvent
the intent of this part. For vehicles subject to both exhaust GHG and
evaporative standards, the provisions of this part apply separately for
each certificate.
(a) The provisions of this section allow manufacturers to ship
partially complete vehicles to secondary vehicle manufacturers or
otherwise introduce them into U.S. commerce in the following
circumstances:
(1) Certified vehicles. Manufacturers may introduce partially
complete tractors into U.S. commerce if they are covered by certificates
of conformity and are in certified configurations. See Sec. 1037.621
for vehicles not yet in a certified configuration when introduced into
U.S. commerce.
(2) Uncertified vehicles that will be certified by secondary vehicle
manufacturers. Manufacturers may introduce into U.S. commerce partially
complete vehicles for which they do not hold the required certificate of
conformity only as allowed by paragraph (b) of this section; however,
the requirements of this section do not apply for tractors or vocational
vehicles with a date of manufacture before January 1, 2022, that are
produced by a secondary vehicle manufacturer if they are excluded from
the standards of this part under Sec. 1037.150(c).
(3) Exempted vehicles. Manufacturers may introduce into U.S.
commerce partially complete vehicles without a certificate of conformity
if the vehicles are exempt under this part or under 40 CFR part 1068.
This may involve the secondary vehicle manufacturer qualifying for the
exemption.
(4) Small manufacturers modifying certified tractors. Small
manufacturers that build custom sleeper cabs or natural gas-fueled
tractors may modify complete or incomplete vehicles certified as
tractors, as specified by paragraph (d) of this section.
(b) The provisions of this paragraph (b) generally apply where the
secondary vehicle manufacturer has substantial control over the design
and assembly of emission controls. They also apply where a secondary
vehicle manufacturer qualifies for a permanent exemption. In unusual
circumstances we may allow other secondary vehicle manufacturers to use
these provisions. In determining whether a manufacturer has substantial
control over the design and assembly of emission controls, we would
consider the degree to which the secondary vehicle manufacturer would be
able to ensure that the engine and vehicle will conform to the
regulations in their final configurations.
(1) A secondary vehicle manufacturer may finish assembly of
partially complete vehicles in the following cases:
(i) It obtains a vehicle that is not fully assembled with the intent
to manufacture a complete vehicle in a certified or exempted
configuration. For example, this would apply where a glider vehicle
assembler holds a certificate that allows the assembler to produce
certified glider vehicles from glider kits.
(ii) It obtains a vehicle with the intent to modify it to a
certified configuration before it reaches the ultimate purchaser. For
example, this may apply for converting a gasoline-fueled vehicle to
operate on natural gas under the terms of a valid certificate.
(2) Manufacturers may introduce partially complete vehicles into
U.S. commerce as described in this paragraph (b) if they have a written
request for such vehicles from a secondary vehicle manufacturer that
will finish the vehicle assembly and has certified the vehicle (or the
vehicle has been exempted or excluded from the requirements of this
part). The written request must include a statement that the secondary
vehicle manufacturer has a certificate of conformity (or exemption/
exclusion) for the vehicle and identify a valid vehicle family name
associated with each vehicle model ordered (or the basis for an
exemption/exclusion). The original

[[Page 330]]

vehicle manufacturer must apply a removable label meeting the
requirements of 40 CFR 1068.45(b) that identifies the corporate name of
the original manufacturer and states that the vehicle is exempt under
the provisions of Sec. 1037.622. The name of the certifying
manufacturer must also be on the label or, alternatively, on the bill of
lading that accompanies the vehicles during shipment. The original
manufacturer may not apply a permanent emission control information
label identifying the vehicle's eventual status as a certified vehicle.
Note that an exemption allowing a glider assembler to install an exempt
engine does not necessarily exempt the vehicle from the requirements of
this part.
(3) If you are the secondary vehicle manufacturer and you will hold
the certificate, you must include the following information in your
application for certification:
(i) Identify the original manufacturer of the partially complete
vehicle or of the complete vehicle you will modify.
(ii) Describe briefly how and where final assembly will be
completed. Specify how you have the ability to ensure that the vehicles
will conform to the regulations in their final configuration. (Note:
This section prohibits using the provisions of this paragraph (b) unless
you have substantial control over the design and assembly of emission
controls.)
(iii) State unconditionally that you will not distribute the
vehicles without conforming to all applicable regulations.
(4) If you are a secondary vehicle manufacturer and you are already
a certificate holder for other families, you may receive shipment of
partially complete vehicles after you apply for a certificate of
conformity but before the certificate's effective date. This exemption
allows the original manufacturer to ship vehicles after you have applied
for a certificate of conformity. Manufacturers may introduce partially
complete vehicles into U.S. commerce as described in this paragraph
(b)(4) if they have a written request for such vehicles from a secondary
vehicle manufacturer stating that the application for certification has
been submitted (instead of the information we specify in paragraph
(b)(2) of this section). We may set additional conditions under this
paragraph (b)(4) to prevent circumvention of regulatory requirements.
(5) The provisions of this section also apply for shipping partially
complete vehicles if the vehicle is covered by a valid exemption and
there is no valid family name that could be used to represent the
vehicle model. Unless we approve otherwise in advance, you may do this
only when shipping engines to secondary vehicle manufacturers that are
certificate holders. In this case, the secondary vehicle manufacturer
must identify the regulatory cite identifying the applicable exemption
instead of a valid family name when ordering engines from the original
vehicle manufacturer.
(6) Both original and secondary vehicle manufacturers must keep the
records described in this section for at least five years, including the
written request for exempted vehicles and the bill of lading for each
shipment (if applicable). The written request is deemed to be a
submission to EPA.
(7) These provisions are intended only to allow secondary vehicle
manufacturers to obtain or transport vehicles in the specific
circumstances identified in this section so any exemption under this
section expires when the vehicle reaches the point of final assembly
identified in paragraph (b)(3)(ii) of this section.
(8) For purposes of this section, an allowance to introduce
partially complete vehicles into U.S. commerce includes a conditional
allowance to sell, introduce, or deliver such vehicles into commerce in
the United States or import them into the United States. It does not
include a general allowance to offer such vehicles for sale because this
exemption is intended to apply only for cases in which the certificate
holder already has an arrangement to purchase the vehicles from the
original manufacturer. This exemption does not allow the original
manufacturer to subsequently offer the vehicles for sale to a different
manufacturer who will hold the certificate unless that second
manufacturer has also complied with the requirements of this part. The
exemption does not apply for any individual

[[Page 331]]

vehicles that are not labeled as specified in this section or which are
shipped to someone who is not a certificate holder.
(9) We may suspend, revoke, or void an exemption under this section,
as follows:
(i) We may suspend or revoke your exemption if you fail to meet the
requirements of this section. We may suspend or revoke an exemption
related to a specific secondary vehicle manufacturer if that
manufacturer sells vehicles that are in not in a certified configuration
in violation of the regulations. We may disallow this exemption for
future shipments to the affected secondary vehicle manufacturer or set
additional conditions to ensure that vehicles will be assembled in the
certified configuration.
(ii) We may void an exemption for all the affected vehicles if you
intentionally submit false or incomplete information or fail to keep and
provide to EPA the records required by this section.
(iii) The exemption is void for a vehicle that is shipped to a
company that is not a certificate holder or for a vehicle that is
shipped to a secondary vehicle manufacturer that is not in compliance
with the requirements of this section.
(iv) The secondary vehicle manufacturer may be liable for penalties
for causing a prohibited act where the exemption is voided due to
actions on the part of the secondary vehicle manufacturer.
(c) Provide instructions along with partially complete vehicles
including all information necessary to ensure that an engine will be
installed in its certified configuration.
(d) Small manufacturers that build custom sleeper cabs or natural
gas-fueled tractors may modify complete or incomplete vehicles certified
as tractors, subject to the provisions of this paragraph (d). Such
businesses are secondary vehicle manufacturers.
(1) Secondary vehicle manufacturers may not modify the vehicle body
in front of the b-pillar or increase the effective frontal area of the
certified configuration including consideration of the frontal area of
the standard trailer. For high-roof custom sleeper tractors, this would
generally mean that no part of the added sleeper compartment may extend
beyond 102 inches wide or 162 inches high (measured from the ground),
which are the dimensions of the standard trailer for high-roof tractors
under this part. Note that these dimensions have a tolerance of 2 inches.
(2) The certifying manufacturer may have responsibilities for the
vehicle under this section, as follows:
(i) If the vehicle being modified is a complete tractor in a
certified configuration, the certifying manufacturer has no additional
responsibilities for the vehicle under this section.
(ii) If the vehicle being modified is partially complete only
because it lacks body components to the rear of the b-pillar (but is
otherwise a complete tractor in a certified configuration), the
certifying manufacturer has no additional responsibilities for the
vehicle under this section.
(iii) If the vehicle being modified is an incomplete tractor not in
a certified configuration, the certifying manufacturer must comply with
the provisions of Sec. 1037.621 for the vehicle.
(3) The secondary vehicle manufacturer must add a permanent
supplemental label to the vehicle near the original manufacturer's
emission control information label. On the label identify your corporate
name and include the statement: ``THIS TRACTOR WAS MODIFIED UNDER 40 CFR
1037.622.''
(4) See Sec. 1037.150 for additional interim options that may
apply.
(5) The provisions of this paragraph (d) may apply separately for
vehicle GHG and evaporative emission standards.
(6) Modifications under this paragraph (d) do not violate 40 CFR
1068.101(b)(1).

Sec. 1037.630 Special purpose tractors.

(a) General provisions. This section allows a vehicle manufacturer
to reclassify certain tractors as vocational tractors. Vocational
tractors are treated as vocational vehicles and are exempt from the
standards of Sec. 1037.106. Note that references to ``tractors''
outside of this section mean non-vocational tractors.

[[Page 332]]

(1) This allowance is intended only for vehicles that do not
typically operate at highway speeds, or would otherwise not benefit from
efficiency improvements designed for line-haul tractors. This allowance
is limited to the following vehicle and application types:
(i) Low-roof tractors intended for intra-city pickup and delivery,
such as those that deliver bottled beverages to retail stores.
(ii) Tractors intended for off-road operation (including mixed
service operation that does not qualify for an exemption under Sec.
1037.631), such as those with reinforced frames and increased ground
clearance. This includes drayage tractors.
(iii) Model year 2020 and earlier tractors with a gross combination
weight rating (GCWR) at or above 120,000 pounds. Note that Phase 2
tractors meeting the definition of ``heavy-haul'' in Sec. 1037.801 must
be certified to the heavy-haul standards in Sec. Sec. 1037.106 or
1037.670.
(2) Where we determine that a manufacturer is not applying this
allowance in good faith, we may require the manufacturer to obtain
preliminary approval before using this allowance.
(b) Requirements. The following requirements apply with respect to
tractors reclassified under this section:
(1) The vehicle must fully conform to all requirements applicable to
vocational vehicles under this part.
(2) Vehicles reclassified under this section must be certified as a
separate vehicle family. However, they remain part of the vocational
regulatory subcategory and averaging set that applies for their service
class.
(3) You must include the following additional statement on the
vehicle's emission control information label under Sec. 1037.135:
``THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR
1037.630.''
(4) You must keep records for three years to document your basis for
believing the vehicles will be used as described in paragraph (a)(1) of
this section. Include in your application for certification a brief
description of your basis.
(c) Production limit. No manufacturer may produce more than 21,000
Phase 1 vehicles under this section in any consecutive three model year
period. This means you may not exceed 6,000 in a given model year if the
combined total for the previous two years was 15,000. The production
limit applies with respect to all Class 7 and Class 8 Phase 1 tractors
certified or exempted as vocational tractors. No production limit
applies for tractors subject to Phase 2 standards.
(d) Off-road exemption. All the provisions of this section apply for
vocational tractors exempted under Sec. 1037.631, except as follows:
(1) The vehicles are required to comply with the requirements of
Sec. 1037.631 instead of the requirements that would otherwise apply to
vocational vehicles. Vehicles complying with the requirements of Sec.
1037.631 and using an engine certified to the standards of 40 CFR part
1036 are deemed to fully conform to all requirements applicable to
vocational vehicles under this part.
(2) The vehicles must be labeled as specified under Sec. 1037.631
instead of as specified in paragraph (b)(3) of this section.

Sec. 1037.631 Exemption for vocational vehicles intended for
off-road use.

This section provides an exemption from the greenhouse gas standards
of this part for certain vocational vehicles (including certain
vocational tractors) that are intended to be used extensively in off-
road environments such as forests, oil fields, and construction sites.
This section does not exempt engines used in vocational vehicles from
the standards of 40 CFR part 86 or part 1036. Note that you may not
include these exempted vehicles in any credit calculations under this
part.
(a) Qualifying criteria. Vocational vehicles intended for off-road
use are exempt without request, subject to the provisions of this
section, if they are primarily designed to perform work off-road (such
as in oil fields, mining, forests, or construction sites), and they meet
at least one of the criteria of paragraph (a)(1) of this section and at
least one of the criteria of paragraph (a)(2) of this section. See Sec.
1037.105(h) for alternate Phase 2 standards that apply for vehicles
meeting only one of these sets of criteria.

[[Page 333]]

(1) The vehicle must have affixed components designed to work
inherently in an off-road environment (such as hazardous material
equipment or off-road drill equipment) or be designed to operate at low
speeds such that it is unsuitable for normal highway operation.
(2) The vehicle must meet one of the following criteria:
(i) Have an axle that has a gross axle weight rating (GAWR) at or
above 29,000 pounds.
(ii) Have a speed attainable in 2.0 miles of not more than 33 mi/hr.
(iii) Have a speed attainable in 2.0 miles of not more than 45 mi/
hr, an unloaded vehicle weight that is not less than 95 percent of its
gross vehicle weight rating, and no capacity to carry occupants other
than the driver and operating crew.
(iv) Have a maximum speed at or below 54 mi/hr. You may consider the
vehicle to be appropriately speed-limited if engine speed at 54 mi/hr is
at or above 95 percent of the engine's maximum test speed in the highest
available gear. You may alternatively limit vehicle speed by programming
the engine or vehicle's electronic control module in a way that is
tamper-proof.
(b) Tractors. The provisions of this section may apply for tractors
only if each tractor qualifies as a vocational tractor under Sec.
1037.630.
(c) Recordkeeping and reporting. (1) You must keep records to
document that your exempted vehicle configurations meet all applicable
requirements of this section. Keep these records for at least eight
years after you stop producing the exempted vehicle model. We may review
these records at any time.
(2) You must also keep records of the individual exempted vehicles
you produce, including the vehicle identification number and a
description of the vehicle configuration.
(3) Within 90 days after the end of each model year, you must send
to the Designated Compliance Officer a report with the following
information:
(i) A description of each exempted vehicle configuration, including
an explanation of why it qualifies for this exemption.
(ii) The number of vehicles exempted for each vehicle configuration.
(d) Labeling. You must include the following additional statement on
the vehicle's emission control information label under Sec. 1037.135:
``THIS VEHICLE WAS EXEMPTED UNDER 40 CFR 1037.631.''

Sec. 1037.635 Glider kits and glider vehicles.

Except as specified in Sec. 1037.150, the requirements of this
section apply beginning January 1, 2017.
(a) Vehicles produced from glider kits and other glider vehicles are
subject to the same standards as other new vehicles, including the
applicable vehicle standards described in Subpart B of this part. Note
that this requirement for the vehicle generally applies even if the
engine meets the criteria of paragraph (c)(1) of this section. For
engines originally produced before 2017, if you are unable to obtain a
fuel map for an engine you may ask to use a default map, consistent with
good engineering judgment.
(b) Section 1037.601(a)(1) disallows the introduction into U.S.
commerce of a new tractor or vocational vehicle (including a vehicle
assembled from a glider kit) unless it has an engine that is certified
to the applicable standards in 40 CFR parts 86 and 1036. Except as
specified otherwise in this part, the standards apply for engines used
in glider vehicles as follows:
(1) The engine must meet the GHG standards of 40 CFR part 1036 that
apply for the engine model year corresponding to the vehicle's date of
manufacture. For example, for a vehicle with a 2024 date of manufacture,
the engine must meet the GHG standards that apply for model year 2024.
(2) The engine must meet the criteria pollutant standards of 40 CFR
part 86 that apply for the engine model year corresponding to the
vehicle's date of manufacture.
(3) The engine may be from an earlier model year if the standards
were identical to the currently applicable engine standards.
(4) Note that alternate standards or requirements may apply under
Sec. 1037.150.
(c) The engine standards identified in paragraph (b) of this section
do not apply for certain engines when used in

[[Page 334]]

glider kits. These engines remain subject to the standards to which they
were previously certified.
(1) The allowance in this paragraph (c) applies only for the
following engines:
(i) Certified engines still within their original useful life in
terms of both miles and years. Glider vehicles produced using engines
meeting this criterion are exempt from the requirements of paragraph (a)
of this section if the glider vehicle configuration is identical to a
configuration previously certified to the requirements of this part 1037
for a model year the same as or later than the model year of the engine.
(ii) Certified engines of any age with less than 100,000 miles of
engine operation. This is intended for specialty vehicles (such as fire
trucks) that have very low usage rates. These vehicles are exempt from
the requirements of paragraph (a) of this section, provided the
completed vehicle is returned to the owner of the engine in a
configuration equivalent to that of the donor vehicle.
(iii) Certified engines less than three years old with any number of
accumulated miles of engine operation. Vehicles using these engines must
comply with the requirements of paragraph (a) of this section.
(2) For remanufactured engines, these eligibility criteria apply
based on the original date of manufacture rather than the date of
remanufacture. For example, an engine originally manufactured in 2003
that is remanufactured in 2012 after 350,000 miles, then accumulates an
additional 150,000 miles before being installed in a model year 2020
glider would be considered to be 17 years old and to have accumulated
500,000 miles.
(3) The provisions of this paragraph (c) apply only where you can
show that one or more criteria have been met. For example, to apply the
criterion of paragraph (c)(1)(i) or (ii), you must be able prove the
number of miles the engine has accumulated.
(d) All engines used in glider vehicles (including remanufactured
engines) must be in a certified configuration and properly labeled. This
requirement applies equally to any engine covered by this section.
Depending on the model year of the engine (and other applicable
provisions of this section), it may be permissible for the engine to
remain in its original certified configuration or another configuration
of the same original model year. However, it may be necessary to modify
the engine to a newer certified configuration.
(e) The following additional provisions apply:
(1) The Clean Air Act definition of ``manufacturer'' includes anyone
who assembles motor vehicles, including entities that install engines in
or otherwise complete assembly of glider kits.
(2) Vehicle manufacturers (including assemblers) producing glider
vehicles must comply with the reporting and recordkeeping requirements
in Sec. 1037.250.
(3) Manufacturers of glider kits providing glider kits for the
purpose of allowing another manufacturer to assemble vehicles under this
section are subject to the provisions of Sec. Sec. 1037.620 through
1037.622, as applicable. For example, introducing an uncertified glider
kit into U.S. commerce may subject you to penalties under 40 CFR
1068.101 if the completed glider vehicle does not conform fully with the
regulations of the part at any point before being placed into service.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34490, June 29, 2021]

Sec. 1037.640 Variable vehicle speed limiters.

This section specifies provisions that apply for vehicle speed
limiters (VSLs) that you model under Sec. 1037.520. This does not apply
for VSLs that you do not model under Sec. 1037.520. (e) This section is
written to apply for tractors; however, you may use good engineering
judgment to apply equivalent adjustments for Phase 2 vocational vehicles
with vehicle speed limiters.
(a) General. The regulations of this part do not constrain how you
may design VSLs for your vehicles. For example, you may design your VSL
to have a single fixed speed limit or a soft-top speed limit. You may
also design your VSL to expire after accumulation of a

[[Page 335]]

predetermined number of miles. However, designs with soft tops or
expiration features are subject to proration provisions under this
section that do not apply to fixed VSLs that do not expire.
(b) Definitions. The following definitions apply for purposes of
this section:
(1) Default speed limit means the speed limit that normally applies
for the vehicle, except as follows:
(i) The default speed limit for adjustable VSLs must represent the
speed limit that applies when the VSL is adjusted to its highest setting
under paragraph (c) of this section.
(ii) For VSLs with soft tops, the default speed does not include
speeds possible only during soft-top operation.
(iii) For expiring VSLs, the default does not include speeds that
are possible only after expiration.
(2) Soft-top speed limit means the highest speed limit that applies
during soft-top operation.
(3) Maximum soft-top duration means the maximum amount of time that
a vehicle could operate above the default speed limit.
(4) Certified VSL means a VSL configuration that applies when a
vehicle is new and until it expires.
(5) Expiration point means the mileage at which a vehicle's
certified VSL expires (or the point at which tamper protections expire).
(6) Effective speed limit has the meaning given in paragraph (d) of
this section.
(c) Adjustments. You may design your VSL to be adjustable; however,
this may affect the value you use in GEM.
(1) Except as specified in paragraph (c)(2) of this section, any
adjustments that can be made to the engine, vehicle, or their controls
that change the VSL's actual speed limit are considered to be adjustable
operating parameters. Compliance is based on the vehicle being adjusted
to the highest speed limit within this range.
(2) The following adjustments are not adjustable parameters:
(i) Adjustments made only to account for changing tire size or final
drive ratio.
(ii) Adjustments protected by encrypted controls or passwords.
(iii) Adjustments possible only after the VSL's expiration point.
(d) Effective speed limit. (1) For VSLs without soft tops or
expiration points that expire before 1,259,000 miles, the effective
speed limit is the highest speed limit that results by adjusting the VSL
or other vehicle parameters consistent with the provisions of paragraph
(c) of this section.
(2) For VSLs with soft tops and/or expiration points, the effective
speed limit is calculated as specified in this paragraph (d)(2), which
is based on 10 hours of operation per day (394 miles per day for day
cabs and 551 miles per day for sleeper cabs). Note that this calculation
assumes that a fraction of this operation is speed-limited (3.9 hours
and 252 miles for day cabs, and 7.3 hours and 474 miles for sleeper
cabs). Use the following equation to calculate the effective speed
limit, rounded to the nearest 0.1 mi/hr:
[GRAPHIC] [TIFF OMITTED] TR25OC16.152

Where:

ExF = expiration point miles/1,259,000 miles.
STF = the maximum number of allowable soft top operation hours per day/
3.9 hours for day cabs (or maximum miles per day/252), or the
maximum number of allowable soft top operation hours per day/
7.3 hours for sleeper cabs (or maximum miles per day/474).
STSL = the soft-top speed limit.
DSL = the default speed limit.

Sec. 1037.645 In-use compliance with family emission limits (FELs).

Section 1037.225 describes how to change the FEL for a vehicle
family during the model year. This section, which describes how you may
ask us to increase a vehicle family's FEL after

[[Page 336]]

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 a vehicle family's FEL after the end
of the model year if you believe some of your in-use vehicles 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 vehicles.
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. 1037.730.
(c) Submit your request to the Designated Compliance Officer.
Include the following in your request:
(1) Identify the names of each vehicle 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 vehicle
models or additional model years, as applicable.
(3) Identify the FEL that applied during the model year for each
configuration and recommend replacement FELs for in-use vehicles;
include a supporting rationale to describe how you determined the
recommended replacement FELs.
(4) Describe whether the needed emission credits will come from
averaging, banking, or trading.
(d) If we approve your request, we will identify one or more
replacement FELs, as follows:
(1) Where your vehicle family includes more than one sub-family with
different FELs, we may apply a higher FEL within the family than was
applied to the vehicle's configuration in your final ABT report. For
example, if your vehicle family included three sub-families, with FELs
of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may apply a
220 g/ton-mile in-use FEL to vehicles that were originally designated as
part of the 200 g/ton-mile or 210 g/ton-mile sub-families.
(2) Without regard to the number of sub-families in your certified
vehicle family, we may specify one or more new sub-families with higher
FELs than you included in your final ABT report. We may apply these
higher FELs as in-use FELs for your vehicles. For example, if your
vehicle family included three sub-families, with FELs of 200 g/ton-mile,
210 g/ton-mile, and 220 g/ton-mile, we may specify a new 230 g/ton-mile
sub-family.
(3) Our selected values for the replacement FEL will reflect our
best judgment to accurately reflect the actual in-use performance of
your vehicles, consistent with the testing provisions specified in this
part.
(4) We may apply the higher FELs to other vehicle 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 a vehicle family under 40 CFR 1068.505,
we will no longer approve a replacement FEL under this section for any
of your vehicles from that vehicle family, or from any other vehicle
family that relies on equivalent emission controls.

Sec. 1037.655 Post-useful life vehicle modifications.

(a) General. Vehicle modifications during and after the useful life
are presumed to violate 42 U.S.C. 7522(a)(3)(A) if they involve removing
or rendering inoperative any emission control device installed to comply
with the requirements of this part 1037. This section specifies vehicle
modifications that may occur in certain circumstances after a vehicle
reaches the end of its regulatory useful life. EPA may require a higher
burden of proof with respect to modifications that occur within the
useful life period, and the specific examples presented here do not
necessarily apply within the useful life. This section also does not
apply

[[Page 337]]

with respect to engine modifications or recalibrations.
(b) Allowable modifications. You may modify a vehicle for the
purpose of reducing emissions, provided you have a reasonable technical
basis for knowing that such modification will not increase emissions of
any other pollutant. ``Reasonable technical basis'' has the meaning
given in 40 CFR 1068.30. This generally requires you to have information
that would lead an engineer or other person familiar with engine and
vehicle design and function to reasonably believe that the modifications
will not increase emissions of any regulated pollutant.
(c) Examples of allowable modifications. The following are examples
of allowable modifications:
(1) It is generally allowable to remove tractor roof fairings after
the end of the vehicle's useful life if the vehicle will no longer be
used primarily to pull box vans.
(2) Other fairings may be removed after the end of the vehicle's
useful life if the vehicle will no longer be used significantly on
highways with a vehicle speed of 55 miles per hour or higher.
(d) Examples of prohibited modifications. The following are examples
of modifications that are not allowable:
(1) No person may disable a vehicle speed limiter prior to its
expiration point.
(2) No person may remove aerodynamic fairings from tractors that are
used primarily to pull box vans on highways.

Sec. 1037.660 Idle-reduction technologies.

This section specifies requirements that apply for idle-reduction
technologies modeled under Sec. 1037.520. It does not apply for idle-
reduction technologies you do not model under Sec. 1037.520.
(a) Minimum requirements. Idle-reduction technologies must meet all
the following requirements to be modeled under Sec. 1037.520 except as
specified in paragraphs (b) and (c) of this section:
(1) Automatic engine shutdown (AES) systems. The system must shut
down the engine within a threshold inactivity period of 60 seconds or
less for vocational vehicles and 300 seconds or less for tractors when
all the following conditions are met:
(i) The transmission is set to park, or the transmission is in
neutral with the parking brake engaged. This is ``parked idle.''
(ii) The operator has not reset the system timer within the
specified threshold inactivity period by changing the position of the
accelerator, brake, or clutch pedal; or by resetting the system timer
with some other mechanism we approve.
(iii) You may identify systems as ``tamper-resistant'' if you make
no provision for vehicle owners, dealers, or other service outlets to
adjust the threshold inactivity period.
(iv) For Phase 2 tractors, you may identify AES systems as
``adjustable'' if, before delivering to the ultimate purchaser, you
enable authorized dealers to modify the vehicle in a way that disables
the AES system or makes the threshold inactivity period longer than 300
seconds. However, the vehicle may not be delivered to the ultimate
purchaser with the AES system disabled or the threshold inactivity
period set longer than 300 seconds. You may allow dealers or repair
facilities to make such modifications; this might involve password
protection for electronic controls, or special tools that only you
provide. Any dealers making any modifications before delivery to the
ultimate purchaser must notify you, and you must account for such
modifications in your production and ABT reports after the end of the
model year. Dealers failing to provide prompt notification are in
violation of the tampering prohibition of 40 CFR 1068.101(b)(1). Dealer
notifications are deemed to be submissions to EPA. Note that these
adjustments may not be made if the AES system was not ``adjustable''
when first delivered to the ultimate purchaser.
(v) For vocational vehicles, you may use the provisions of Sec.
1037.610 to apply for an appropriate partial emission reduction for AES
systems you identify as ``adjustable.''
(2) Neutral idle. Phase 2 vehicles with hydrokinetic torque
converters paired with automatic transmissions qualify for neutral-idle
credit in GEM modeling if the transmission reduces

[[Page 338]]

torque equivalent to shifting into neutral throughout the interval
during which the vehicle's brake pedal is depressed and the vehicle is
at a zero-speed condition (beginning within five seconds of the vehicle
reaching zero speed with the brake depressed). If a vehicle reduces
torque partially but not enough to be equivalent to shifting to neutral,
you may use the provisions of Sec. 1037.610(g) to apply for an
appropriate partial emission reduction; this may involve A to B testing
with the powertrain test procedure in Sec. 1037.550 or the spin-loss
portion of the transmission efficiency test in Sec. 1037.565.
(3) Stop-start. Phase 2 vocational vehicles qualify for stop-start
reduction in GEM modeling if the engine shuts down no more than 5
seconds after the vehicle's brake pedal is depressed when the vehicle is
at a zero-speed condition.
(b) Override conditions. The system may limit activation of the
idle-reduction technology while any of the conditions of this paragraph
(b) apply. These conditions allow the system to delay engine shutdown,
adjust engine restarting, or delay disengaging transmissions, but do not
allow for resetting timers. Engines may restart and transmissions may
re-engage during override conditions if the vehicle is set up to do this
automatically. We may approve additional override criteria as needed to
protect the engine and vehicle from damage and to ensure safe vehicle
operation.
(1) For AES systems on tractors, the system may delay shutdown--
(i) When an exhaust emission control device is regenerating. The
period considered to be regeneration for purposes of this allowance must
be consistent with good engineering judgment and may differ in length
from the period considered to be regeneration for other purposes. For
example, in some cases it may be appropriate to include a cool down
period for this purpose but not for infrequent regeneration adjustment
factors.
(ii) When the vehicle's main battery state-of-charge is not
sufficient to allow the main engine to be restarted.
(iii) When the vehicle's transmission, fuel, oil, or engine coolant
temperature is too low or too high according to the manufacturer's
specifications for protecting against system damage. This allows the
engine to continue operating until it is in a predefined temperature
range, within which the shutdown sequence of paragraph (a) of this
section would resume.
(iv) When the vehicle's main engine is operating in power take-off
(PTO) mode. For purposes of this paragraph (b), an engine is considered
to be in PTO mode when a switch or setting designating PTO mode is
enabled.
(v) When external ambient conditions prevent managing cabin
temperatures for the driver's safety.
(vi) When necessary while servicing the vehicle, provided the
deactivation of the AES system is accomplished using a diagnostic scan
tool. The system must be automatically reactivated when the engine is
shut down for more than 60 minutes.
(2) For AES systems on vocational vehicles, the system may limit
activation--
(i) When any condition specified in paragraphs (b)(1)(i) through (v)
of this section applies.
(ii) When the engine compartment is open.
(3) For neutral idle, the system may delay shifting the transmission
to neutral--
(i) When the system meets the PTO conditions specified in paragraph
(b)(1)(iv) of this section.
(ii) When the transmission is in reverse gear.
(iii) When the vehicle is ascending or descending a road with grade
at or above 6.0%.
(4) For stop-start, the system may limit activation--
(i) When any condition specified in paragraph (b)(2) or (b)(3)(ii)
or (iii) of this section applies.
(ii) When air brake pressure is too low according to the
manufacturer's specifications for maintaining vehicle-braking
capability.
(iii) When an automatic transmission is in ``park'' or ``neutral''
and the parking brake is engaged.
(iv) When recent vehicle speeds indicate an abnormally high shutdown
and restart frequency, such as with congested driving. For example, a
vehicle not exceeding 10 mi/hr for the previous

[[Page 339]]

300 seconds or since the most recent engine start would be a proper
basis for overriding engine shutdown. You may also design this override
to protect against system damage or malfunction of safety systems.
(v) When the vehicle detects that a system or component is worn or
malfunctioning in a way that could reasonably prevent the engine from
restarting, such as low battery voltage.
(vi) When the steering angle is at or near the limit of travel.
(vii) When flow of diesel exhaust fluid is limited due to freezing.
(viii) When a sensor failure could prevent the anti-lock braking
system from properly detecting vehicle speed.
(ix) When a protection mode designed to prevent component failure is
active.
(x) When a fault on a system component needed for starting the
engine is active.
(c) Adjustments to AES systems for Phase 1. (1) The AES system may
include an expiration point (in miles) after which the AES system may be
disabled. If your vehicle is equipped with an AES system that expires
before 1,259,000 miles, adjust the model input as follows, rounded to
the nearest 0.1 g/ton-mile: AES Input = 5 g CO2/ton-mile x
(miles at expiration/1,259,000 miles).
(2) For AES systems designed to limit idling to a specific number of
hours less than 1,800 hours over any 12-month period, calculate an
adjusted AES input using the following equation, rounded to the nearest
0.1 g/ton-mile: AES Input = 5 g CO2/ton-mile x (1--(maximum
allowable number of idling hours per year/1,800 hours)). This is an
annual allowance that starts when the vehicle is new and resets every 12
months after that. Manufacturers may propose an alternate method based
on operating hours or miles instead of years.
(d) Adjustable parameters. Provisions that apply generally with
respect to adjustable parameters also apply to the AES system operating
parameters, except the following are not considered to be adjustable
parameters:
(1) Accelerator, brake, and clutch pedals, with respect to resetting
the idle timer. Parameters associated with other timer reset mechanisms
we approve are also not adjustable parameters.
(2) Bypass parameters allowed for vehicle service under paragraph
(b)(1)(ii) of this section.
(3) Parameters that are adjustable only after the expiration point.
(e) PM limit for diesel APU. For model year 2020 and earlier
tractors with a date of manufacture on or after January 1, 2018, the GEM
credit for AES systems with OEM-installed diesel APUs is valid only if
the engine is certified under 40 CFR part 1039 with a deteriorated
emission level for particulate matter at or below 0.15 g/kW-hr, or if
the engine or APU is certified to the standards specified in Sec.
1037.106(g).

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34490, June 29, 2021]

Sec. 1037.665 Production and in-use tractor testing.

Manufacturers with annual U.S.-directed production volumes of
greater than 20,000 tractors must perform testing as described in this
section. Tractors may be new or used.
(a) The following test requirements apply for model years 2021 and
later:
(1) Each calendar year, select for testing three sleeper cabs and
two day cabs certified to Phase 1 or Phase 2 standards. If we do not
identify certain vehicle configurations for your testing, select models
that you project to be among your 12 highest-selling vehicle
configurations for the given year.
(2) Set up the tractors on a chassis dynamometer and operate them
over all applicable duty cycles from Sec. 1037.510(a). You may use
emission-measurement systems meeting the specifications of 40 CFR part
1065, subpart J. Calculate coefficients for the road-load force equation
as described in Section 10 of SAE J1263 or Section 11 of SAE J2263 (both
incorporated by reference in Sec. 1037.810). Use standard payload.
Measure emissions of NOX, PM, CO, NMHC, CO2,
CH4, and N2O. Determine emission levels in g/hour
for the idle test and g/ton-mile for other duty cycles.
(b) Send us an annual report with your test results for each duty
cycle and the corresponding GEM results. Send the report by the next
October 1 after the year we select the vehicles for

[[Page 340]]

testing, or a later date that we approve. We may make your test data
publicly available.
(c) We may approve your request to perform alternative testing that
will provide equivalent or better information compared to the specified
testing. For example, we may allow you to provide CO2 data
from in-use operation or from manufacturer-run on-road testing as long
as it allows for reasonable year-to-year comparisons and includes
testing from production vehicles. We may also direct you to do less
testing than we specify in this section.
(d) GHG standards do not apply with respect to testing under this
section. Note however that NTE standards apply for any qualifying
operation that occurs during the testing in the same way that it would
during any other in-use testing.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34490, June 29, 2021]

Sec. 1037.670 Optional CO2 emission standards for tractors at or above 120,000 pounds GCWR.

(a) You may certify tractors at or above 120,000 pounds GCWR to the
following CO2 standards instead of the Phase 2 CO2
standards of Sec. 1037.106:

Table 1 of Sec. 1037.670--Optional Phase 2 CO2 Standards for Tractors Above 120,000 Pounds GCWR
[g/ton-mile] \a\
----------------------------------------------------------------------------------------------------------------
Model years Model years Model years
Subcategory 2021-2023 2024-2026 2026 and later
----------------------------------------------------------------------------------------------------------------
Heavy Class 8 Low-Roof Day Cab............................... 53.5 50.8 48.9
Heavy Class 8 Low-Roof Sleeper Cab........................... 47.1 44.5 42.4
Heavy Class 8 Mid-Roof Day Cab............................... 55.6 52.8 50.8
Heavy Class 8 Mid-Roof Sleeper Cab........................... 49.6 46.9 44.7
Heavy Class 8 High-Roof Day Cab.............................. 54.5 51.4 48.6
Heavy Class 8 High-Roof Sleeper Cab.......................... 47.1 44.2 41.0
----------------------------------------------------------------------------------------------------------------
\a\ Note that these standards are not directly comparable to the standards for Heavy-Haul Tractors in Sec.
1037.106 because GEM handles aerodynamic performance differently for the two sets of standards.

(b) Determine subcategories as described in Sec. 1037.230 for
tractors that are not heavy-haul tractors. For example, the subcategory
for tractors that would otherwise be considered Class 8 low-roof day
cabs would be Heavy Class 8 Low-Roof Day Cabs and would be identified as
HC8__DC__LR for the GEM run.
(c) Except for the CO2 standards of Sec. 1037.106, all
provisions applicable to tractors under this part continue to apply to
tractors certified to the standards of this section. Include the
following compliance statement on your label instead of the statement
specified in Sec. 1037.135(c)(8): ``THIS VEHICLE COMPLIES WITH U.S. EPA
REGULATIONS FOR [MODEL YEAR] HEAVY-DUTY VEHICLES UNDER 40 CFR
1037.670.''
(d) The optional emission standards in this section are intended
primarily for tractors that will be exported; however, you may include
any tractors certified under this section in your emission credit
calculation under Sec. 1037.705 if they are part of your U.S.-directed
production volume.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34491, June 29, 2021]

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1037.701 General provisions.

(a) You may average, bank, and trade 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. Sec. 1037.105
through 1037.107. Note that Sec. Sec. 1037.105(h) and 1037.107 specify
standards involving limited or no use of emission credits under this
subpart. Participation in this program is voluntary.
(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.

[[Page 341]]

(2) Averaging set means a set of vehicles in which emission credits
may be exchanged. Note that an averaging set may comprise more than one
regulatory subcategory. See Sec. 1037.740.
(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 vehicles 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. 1037.740.
(d) You may not use emission credits generated under this subpart to
offset any emissions that exceed an FEL or standard, except as allowed
by Sec. 1037.645.
(e) You may use either of the following approaches to retire or
forego emission credits:
(1) You may trade emission credits generated from any number of your
vehicles to the vehicle purchasers or other parties to retire the
credits. Identify any such credits in the reports described in Sec.
1037.730. Vehicles must comply with the applicable FELs even if you
donate or sell the corresponding emission credits under this paragraph
(e). Those credits may no longer be used by anyone to demonstrate
compliance with any EPA emission standards.
(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.
(f) Emission credits may be used in the model year they are
generated. Where we allow it, 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. 1037.745.
(g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1037.225. The
new FEL may apply only to vehicles you have not already introduced into
commerce.
(h) See Sec. 1037.740 for special credit provisions that apply for
credits generated under 40 CFR 86.1819-14 (k)(7), 40 CFR 1036.615, or
Sec. 1037.615.
(i) Unless the regulations in this part explicitly allow it, you may
not calculate Phase 1 credits more than once for any emission reduction.
For example, if you generate Phase 1 CO2 emission credits for
a given hybrid vehicle under this part, no one may generate
CO2 emission credits for the associated hybrid engine under
40 CFR part 1036. However, Phase 1 credits could be generated for
identical engines used in vehicles that did not generate credits under
this part.
(j) You may use emission credits generated under the Phase 1
standards when certifying vehicles to Phase 2 standards. No credit
adjustments are required other than corrections for different useful
lives.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34491, June 29, 2021]

Sec. 1037.705 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 or subfamily, calculate positive
or negative emission credits relative to the otherwise applicable
emission standard. Calculate positive emission credits for a family or
subfamily that has an FEL below the standard. Calculate negative
emission credits for a family or subfamily that has an FEL above the
standard. Sum your positive and negative credits for the model year
before rounding. Round the sum of emission credits to the nearest
megagram (Mg), using consistent units with the following equation:

Emission credits (Mg) = (Std-FEL) [middot] (PL) [middot] (Volume)
[middot] (UL) [middot] (10^-6)

[[Page 342]]

Where:

Std = the emission standard associated with the specific regulatory
subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-mile).
PL = standard payload, in tons.
Volume = U.S.-directed production volume of the vehicle subfamily. For
example, if you produce three configurations with the same
FEL, the subfamily production volume would be the sum of the
production volumes for these three configurations.
UL = useful life of the vehicle, in miles, as described in Sec.
1037.105 and Sec. 1037.106. Use 250,000 miles for trailers.

(c) As described in Sec. 1037.730, compliance with the requirements
of this subpart is determined at the end of the model year based on
actual U.S.-directed production volumes. Keep appropriate records to
document these production volumes. Do not include any of the following
vehicles to calculate emission credits:
(1) Vehicles 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 vehicles, even if they are certified under this part
and labeled accordingly.
(3) Vehicles not subject to the requirements of this part, such as
those excluded under Sec. 1037.5.
(4) Any other vehicles, where we indicate elsewhere in this part
1037 that they are not to be included in the calculations of this
subpart.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34491, June 29, 2021]

Sec. 1037.710 Averaging.

(a) Averaging is the exchange of emission credits among your vehicle
families. You may average emission credits only within the same
averaging set, except as specified in Sec. 1037.740.
(b) You may certify one or more vehicle families (or subfamilies) to
an FEL above the applicable standard, subject to any applicable FEL caps
and other provisions in subpart B of this part, if you show in your
application for certification that your projected balance of all
emission-credit transactions in that model year is greater than or equal
to zero or that a negative balance is allowed under Sec. 1037.745.
(c) If you certify a vehicle family to an FEL that exceeds the
otherwise applicable standard, you must obtain enough emission credits
to offset the vehicle family's deficit by the due date for the final
report required in Sec. 1037.730. The emission credits used to address
the deficit may come from your other vehicle families that generate
emission credits in the same model year (or from later model years as
specified in Sec. 1037.745), 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. Note that the
option for using banked or traded credits does not apply for trailers.

Sec. 1037.715 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. Note that Sec. 1037.107 does not allow
banking for trailers.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1037.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
(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. 1037.720 Trading.

(a) Trading is the exchange of emission credits between
manufacturers, or the transfer of credits to another party to retire
them. You may use traded emission credits for averaging, banking, or
further trading transactions. Traded emission credits remain subject to
the averaging-set restrictions based on the averaging set in which they
were generated. Note that Sec. 1037.107 does not allow trading for
trailers.

[[Page 343]]

(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. 1037.255(e) for cases involving fraud.
We may void the certificates of all vehicle families participating in a
trade that results in a manufacturer having a negative balance of
emission credits. See Sec. 1037.745.

Sec. 1037.725 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 vehicle family
that will be certified using the ABT program. You must also declare the
FELs you select for the vehicle family or subfamily for each pollutant
for which you are using the ABT program. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the applicable
standards.
(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. 1037.745.
(2) Calculations of projected emission credits (positive or
negative) based on projected U.S.-directed production volumes. We may
require you to include similar calculations from your other vehicle
families to project your net credit balances for the model year. If you
project negative emission credits for a family or subfamily, state the
source of positive emission credits you expect to use to offset the
negative emission credits.

Sec. 1037.730 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 vehicle family participating in the ABT program:
(1) Vehicle-family and subfamily designations, and averaging set.
(2) The regulatory subcategory and emission standards that would
otherwise apply to the vehicle family.
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the vehicle identification number for the first vehicle
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec. 1037.225.
(4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual U.S.-directed production volume associated with each FEL.
(5) Useful life.
(6) Calculated positive or negative emission credits for the whole
vehicle family. Identify any emission credits that you traded, as
described in paragraph (d)(1) of this section.
(7) If you have a negative credit balance for the averaging set in
the given model year, specify whether the vehicle family (or certain
subfamilies with the vehicle family) have a credit deficit for the year.
Consider for example, a manufacturer with three vehicle families (``A'',
``B'', and ``C'') in a given averaging set. If family A generates enough
credits to offset the negative credits of family B but not enough to
also offset the negative credits of family C (and the manufacturer has
no banked credits in the averaging set),

[[Page 344]]

the manufacturer may designate families A and B as having no deficit for
the model year, provided it designates family C as having a deficit for
the model year.
(c) Your end-of-year and final reports must include the following
additional information:
(1) Show that your net balance of emission credits from all your
participating vehicle families in each averaging set in the applicable
model year is not negative, except as allowed under Sec. 1037.745. Your
credit tracking must account for the limitation on credit life under
Sec. 1037.740(c).
(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 families that generated the emission
credits, including the number of emission credits from each family.
(3) State that the report's contents are accurate.
(4) Identify the technologies that make up the certified
configuration associated with each vehicle identification number. You
may identify this as a range of identification numbers for vehicles
involving a single, identical certified configuration.
(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 vehicle 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, 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. 1037.735 Recordkeeping.

(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 vehicles if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits.
(c) Keep a copy of the reports we require in Sec. Sec. 1037.725 and
1037.730.
(d) Keep records of the vehicle identification number for each
vehicle you produce. You may identify these numbers as a range. If you
change the FEL after the start of production, identify the date you
started using each FEL and the range of vehicle identification numbers
associated with each FEL. You must also identify the purchaser and
destination for each vehicle you produce to the extent this information
is available.

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(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. 1037.740 Restrictions for using emission credits.

The following restrictions apply for using emission credits:
(a) Averaging sets. Except as specified in paragraph (b) of this
section, emission credits may be exchanged only within an averaging set.
The following principal averaging sets apply for vehicles certified to
the standards of this part involving emission credits as described in
this subpart:
(1) Light HDV.
(2) Medium HDV.
(3) Heavy HDV.
(4) Long trailers.
(5) Short trailers.
(6) Note that other separate averaging sets also apply for emission
credits not related to this part. For example, vehicles certified to the
greenhouse gas standards of 40 CFR 86.1819 comprise a single averaging
set. Separate averaging sets also apply for engines under 40 CFR part
1036, including engines used in vehicles subject to this subpart.
(b) Credits from hybrid vehicles and other advanced technologies.
Credits you generate under Sec. 1037.615 from Phase 1 vehicles 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
1036. Similarly, you may use advanced-technology credits generated under
40 CFR 86.1819-14(k)(7) or 40 CFR 1036.615 to demonstrate compliance
with the CO2 standards in this part. Credits generated from
Phase 2 vehicles are subject to all the averaging-set restrictions that
apply to other emission credits.
(1) The maximum amount of credits you may bring into the following
service class groups is 60,000 Mg per model year:
(i) Spark-ignition engines, light heavy-duty compression-ignition
engines, and Light HDV. This group comprises the averaging set listed in
paragraphs (a)(1) of this section and the averaging set listed in 40 CFR
1036.740(a)(1) and (2).
(ii) Medium heavy-duty compression-ignition engines and Medium HDV.
This group comprises the averaging sets listed in paragraph (a)(2) of
this section and 40 CFR 1036.740(a)(3).
(iii) Heavy heavy-duty compression-ignition engines and Heavy HDV.
This group comprises the averaging sets listed in paragraph (a)(3) of
this section and 40 CFR 1036.740(a)(4).
(2) Paragraph (b)(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.
(c) Credit life. Banked 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.
(d) Other restrictions. Other sections of this part specify
additional restrictions for using emission credits under certain special
provisions.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34491, June 29, 2021]

Sec. 1037.745 End-of-year CO2 credit deficits.

Except as allowed by this section, we may void the certificate of
any vehicle family certified to an FEL above the applicable standard for
which you do not have sufficient credits by the deadline for submitting
the final report.
(a) Your certificate for a vehicle 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 (this applies
equally for tractors, trailers, and vocational vehicles). For example,
if you have a credit deficit of 500 Mg for a vehicle family at the end
of model year 2015, you must generate (or otherwise obtain) a surplus of
at least 500 Mg in that same averaging set by the end of model year
2018.
(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

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model year for which any of your vehicle 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 vehicle family.
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 vehicles needed to reach the amount of the net deficit. For
example, if the original vehicle family generated 500 Mg of negative
credits, and the manufacturer's net deficit after three years was 250
Mg, we would void the certificate with respect to half of the vehicles
in the family.
(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.

Sec. 1037.750 What can happen if I do not comply with the provisions
of this subpart?

(a) For each vehicle family participating in the ABT program, the
certificate of conformity is conditioned upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for a
vehicle family if you fail to comply with any provisions of this
subpart.
(b) You may certify your vehicle family or subfamily to an FEL above
an applicable standard based on a projection that you will have enough
emission credits to offset the deficit for the vehicle family. See Sec.
1037.745 for provisions specifying what happens if you cannot show in
your final report that you have enough actual emission credits to offset
a deficit for any pollutant in a vehicle family.
(c) We may void the certificate of conformity for a vehicle family
if you fail to keep records, send reports, or give us information we
request. Note that failing to keep records, send reports, or give us
information we request is also a violation of 42 U.S.C. 7522(a)(2).
(d) You may ask for a hearing if we void your certificate under this
section (see Sec. 1037.820).

Sec. 1037.755 Information provided to the Department of Transportation.

After receipt of each manufacturer's final report as specified in
Sec. 1037.730 and completion of any verification testing required to
validate the manufacturer's submitted final data, we will issue a report
to the Department of Transportation with CO2 emission
information and will verify the accuracy of each manufacturer's
equivalent fuel consumption data required by NHTSA under 49 CFR 535.8.
We will send a report to DOT for each vehicle manufacturer based on each
regulatory category and subcategory, including sufficient information
for NHTSA to determine fuel consumption and associated credit values.
See 49 CFR 535.8 to determine if NHTSA deems submission of this
information to EPA to also be a submission to NHTSA.

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Subpart I_Definitions and Other Reference Information

Sec. 1037.801 Definitions.

The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
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 means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect measured or modeled emissions (as
applicable). You may ask us to exclude a parameter that is difficult to
access if it cannot be adjusted to affect emissions without
significantly degrading vehicle performance, or if you otherwise show us
that it will not be adjusted in a way that affects emissions during in-
use operation.
Adjusted Loaded Vehicle Weight means the numerical average of
vehicle curb weight and GVWR.
Advanced technology means vehicle technology certified under 40 CFR
86.1819-14(k)(7), 40 CFR 1036.615, or Sec. 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 vehicle 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 off the ground.
Alcohol-fueled vehicle means a vehicle that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by volume.
Alternative fuel conversion has the meaning given for clean
alternative fuel conversion in 40 CFR 85.502.
Ambulance has the meaning given in 40 CFR 86.1803.
Amphibious vehicle means a motor vehicle that is also designed for
operation on water. Note that high ground clearance that enables a
vehicle to drive through water rather than floating on the water does
not make a vehicle amphibious.
A to B testing means testing performed in pairs to allow comparison
of two vehicles or other test articles. Back-to-back tests are performed
on Article A and Article B, changing only the variable(s) of interest
for the two tests.
Automated manual transmission (AMT) means a transmission that
operates mechanically similar to a manual transmission, except that an
automated clutch actuator controlled by the onboard computer disengages
and engages the drivetrain instead of a human driver. An automated
manual transmission does not include a torque converter or a clutch
pedal controllable by the driver.
Automatic tire inflation system means a pneumatically or
electronically activated system installed on a vehicle to maintain tire
pressure at a preset level. These systems eliminate the need to manually
inflate tires. Note that this is different than a ``tire pressure
monitoring system,'' which we define separately in this section.
Automatic transmission (AT) means a transmission with a torque
converter (or equivalent) that uses computerize or other internal
controls to shift gears in response to a single driver input for
controlling vehicle speed. Note that automatic manual tranmissions are
not automatic transmissions because they do not include torque
converters.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine speed (r/min), 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 power unit means a device installed on a vehicle that uses
an engine to provide power for purposes other than to (directly or
indirectly) propel the vehicle.
Averaging set has the meaning given in Sec. 1037.701.
Axle ratio or Drive axle ratio, ka, means the
dimensionless number representing the angular speed of the transmission

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output shaft divided by the angular speed of the drive axle.
Basic vehicle frontal area means the area enclosed by the geometric
projection of the basic vehicle along the longitudinal axis onto a plane
perpendicular to the longitudinal axis of the vehicle, including tires
but excluding mirrors and air deflectors. Note that in certain cases,
this may refer to the combined area of a tractor and trailer.
Box van has the meaning given in the definition for ``trailer'' in
this section.
Bus means a heavy-duty vehicle designed to carry more than 15
passengers. Buses may include coach buses, school buses, and urban
transit buses.
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.
Coach bus means a bus designed for inter-city passenger transport.
Buses with features to accommodate standing passengers are not coach
buses.
Concrete mixer means a heavy-duty vehicle designed to mix and
transport concrete in a permanently mounted revolving drum.
Certification means relating to the process of obtaining a
certificate of conformity for a vehicle family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in a vehicle subfamily for a given pollutant from either transient
or steady-state testing.
Class means relating to GVWR classes for vehicles other than
trailers, as follows:
(1) Class 2b means relating to heavy-duty motor vehicles at or below
10,000 pounds GVWR.
(2) Class 3 means relating to heavy-duty motor vehicles above 10,000
pounds GVWR but at or below 14,000 pounds GVWR.
(3) Class 4 means relating to heavy-duty motor vehicles above 14,000
pounds GVWR but at or below 16,000 pounds GVWR.
(4) Class 5 means relating to heavy-duty motor vehicles above 16,000
pounds GVWR but at or below 19,500 pounds GVWR.
(5) Class 6 means relating to heavy-duty motor vehicles above 19,500
pounds GVWR but at or below 26,000 pounds GVWR.
(6) Class 7 means relating to heavy-duty motor vehicles above 26,000
pounds GVWR but at or below 33,000 pounds GVWR.
(7) Class 8 means relating to heavy-duty motor vehicles above 33,000
pounds GVWR.
Complete vehicle has the meaning given in the definition for vehicle
in this section.
Compression-ignition has the meaning given in Sec. 1037.101.
Container chassis means a trailer designed for carrying temporarily
mounted shipping containers.
Date of manufacture means the date on which the certifying vehicle
manufacturer completes its manufacturing operations, except as follows:
(1) Where the certificate holder is an engine manufacturer that does
not manufacture the chassis, the date of manufacture of the vehicle is
based on the date assembly of the vehicle is completed.
(2) We may approve an alternate date of manufacture based on the
date on which the certifying (or primary) manufacturer completes
assembly at the place of main assembly, consistent with the provisions
of Sec. 1037.601 and 49 CFR 567.4.
Day cab means a type of tractor cab that is not a sleeper cab or a
heavy-haul tractor cab.
Designated Compliance Officer means one of the following:
(1) For compression-ignition engines, 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 spark-ignition engines, Designated Compliance Officer means
Director, Gasoline Engine Compliance Center, U.S. Environmental
Protection Agency, 2000 Traverwood Drive, Ann

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Arbor, MI 48105; [email protected].
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data vehicle. Note that where no
deterioration factor applies, references in this part to the
deteriorated emission level mean the official emission result.
Deterioration factor means the relationship between the highest
emissions during the 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 the
highest emissions to emissions at the low-hour test point.
(2) For additive deterioration factors, the difference between the
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.
Drayage tractor means a tractor that is intended for service in a
port or intermodal railyard, with multiple design features consistent
with that intent, such as a cab with only a single seat, rear cab entry,
a raiseable fifth wheel, a solid-mounted rear suspension, and a maximum
speed at or below 54 mi/hr.
Drive idle means idle operation during which the vehicle operator
remains in the vehicle cab, as evidenced by engaging the brake or clutch
pedals, or by other indicators we approve.
Driver model means an automated controller that simulates a person
driving a vehicle.
Dual-clutch transmission (DCT) means a transmission that operates
similar to an automated manual transmission, but with two clutches that
allow the transmission to maintain positive torque to the drive axle
during a shift.
Dual-fuel means relating to a vehicle or engine designed for
operation on two different fuels but not on a continuous mixture of
those fuels. For purposes of this part, such a vehicle or engine remains
a dual-fuel vehicle or engine even if it is designed for operation on
three or more different fuels.
Electric vehicle means a motor vehicle that does not include an
engine, and is powered solely by an external source of electricity and/
or solar power. Note that this definition does not include hybrid
electric vehicles or fuel-cell vehicles that use a chemical fuel such as
gasoline, diesel fuel, or hydrogen. Electric vehicles may also be
referred to as all-electric vehicles to distinguish them from hybrid
vehicles.
Electronic control module has the meaning given in 40 CFR 1065.1001.
Emergency vehicle means a vehicle that is an ambulance or a fire
truck.
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from a vehicle.
Emission-data component means a vehicle component that is tested for
certification. This includes vehicle components tested to establish
deterioration factors.
Emission-data vehicle means a vehicle (or vehicle component) that is
tested for certification. This includes vehicles tested to establish
deterioration factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Excluded means relating to vehicles that are not subject to some or
all of the requirements of this part as follows:
(1) A vehicle that has been determined not to be a ``motor vehicle''
is excluded from this part.
(2) Certain vehicles are excluded from the requirements of this part
under Sec. 1037.5.
(3) Specific regulatory provisions of this part may exclude a
vehicle generally subject to this part from one or more specific
standards or requirements of this part.
Exempted has the meaning given in 40 CFR 1068.30. Note that exempted
vehicles are not considered to be excluded.
Extended idle means tractor idle operation during which the engine
is operating to power accessories for a sleeper

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compartment or other passenger compartment. Although the vehicle is
generally parked during extended idle, the term ``parked idle''
generally refers to something different than extended idle.
Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places as
the emission standard it replaces. Note that an FEL may apply as a
``subfamily'' emission limit.
Final drive ratio, kd, means the dimensionless number
representing the angular speed of the transmission input shaft divided
by the angular speed of the drive axle when the vehicle is operating in
its highest available gear. The final drive ratio is the transmission
gear ratio (in the highest available gear) multiplied by the drive axle
ratio.
Fire truck has the meaning given in 40 CFR 86.1803.
Flatbed trailer means a trailer designed to accommodate side-loading
cargo onto a single, continuous load-bearing surface that runs from the
rear of the trailer to at least the trailer's kingpin. This includes
trailers that use curtains, straps, or other devices to restrain or
protect cargo while underway. It also may include similar trailers that
have one or more side walls without completely enclosing the cargo
space. For purposes of this definition, disregard any ramps, moveable
platforms, or other rear-mounted equipment or devices designed to assist
with loading the trailer.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels.
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 pump, fuel filters, fuel lines, carburetor
or fuel-injection components, and all fuel-system vents. It also
includes components for controlling evaporative emissions, such as fuel
caps, purge valves, and carbon canisters.
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 that has a boiling point below 20 [deg]C.
Gear ratio or Transmission gear ratio, kg, means the dimensionless
number representing the angular speed of the transmission's input shaft
divided by the angular speed of the transmission's output shaft when the
transmission is operating in a specific gear.
Glider kit means either of the following:
(1) A new vehicle that is incomplete because it lacks an engine,
transmission, and/or axle(s).
(2) Any other new equipment that is substantially similar to a
complete motor vehicle and is intended to become a complete motor
vehicle with a previously used engine (including a rebuilt or
remanufactured engine). For example, incomplete heavy-duty tractor
assemblies that are produced on the same assembly lines as complete
tractors and that are made available to secondary vehicle manufacturers
to complete assembly by installing used/remanufactured engines,
transmissions and axles are glider kits.
Glider vehicle means a new motor vehicle produced from a glider kit,
or otherwise produced as a new motor vehicle with a with a used/
remanufactured engine.
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 Emissions Model (GEM) means the GEM simulation tool
described in Sec. 1037.520 (incorporated by reference in Sec.
1037.810). Note that an updated version of GEM applies starting in model
year 2021.
Gross axle weight rating (GAWR) means the value specified by the
vehicle manufacturer as the maximum weight of a loaded axle or set of
axles, consistent with good engineering judgment.
Gross combination weight rating (GCWR) means the value specified by
the vehicle manufacturer as the maximum weight of a loaded vehicle and

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trailer, consistent with good engineering judgment. For example,
compliance with SAE J2807 is generally considered to be consistent with
good engineering judgment, especially for Class 3 and smaller vehicles.
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 used for (or for which the engine
manufacturer could reasonably expect to be used for) motive power in a
heavy-duty vehicle.
Heavy-duty vehicle means any trailer and any other motor vehicle
that has a GVWR above 8,500 pounds. An incomplete vehicle is also a
heavy-duty vehicle if it has a curb weight above 6,000 pounds or a basic
vehicle frontal area greater than 45 square feet.
Heavy-haul tractor means a tractor with GCWR greater than or equal
to 120,000 pounds. A heavy-haul tractor is not a vocational tractor in
Phase 2.
High-strength steel has the meaning given in Sec. 1037.520.
Hybrid engine or hybrid powertrain means an engine or powertrain
that includes energy storage features other than a conventional battery
system or conventional flywheel. Supplemental electrical batteries and
hydraulic accumulators are examples of hybrid energy storage systems.
Note other examples of systems that qualify as hybrid engines or
powertrains are systems that recover kinetic energy and use it to power
an electric heater in the aftertreatment. Note that certain provisions
in this part treat hybrid engines and hybrid powertrains intended for
vehicles that include regenerative braking different than those intended
for vehicles that do not include regenerative braking.
Hybrid vehicle means a vehicle that includes energy storage features
(other than a conventional battery system or conventional flywheel) in
addition to an internal combustion engine or other engine using
consumable chemical fuel. Supplemental electrical batteries and
hydraulic accumulators are examples of hybrid energy storage systems.
Note other examples of systems that qualify as hybrid engines or
powertrains are systems that recover kinetic energy and use it to power
an electric heater in the aftertreatment. Note that certain provisions
in this part treat hybrid vehicles that include regenerative braking
different than those 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 vehicles, HC
means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emissions
and total hydrocarbon equivalent (THCE) for evaporative emissions. For
all other vehicles, HC means nonmethane hydrocarbon (NMHC) for exhaust
emissions and total hydrocarbon (THC) for evaporative emissions.
Identification number means a unique specification (for example, a
model number/serial number combination) that allows someone to
distinguish a particular vehicle from other similar vehicles.
Idle operation means any operation other than PTO operation during
which the vehicle speed is zero. Idle operation may be ``Drive idle'' or
``Parked idle'' (as defined in this section).
Incomplete vehicle has the meaning given in the definition of
vehicle in this section.
Innovative technology means technology certified under Sec.
1037.610 (also described as ``off-cycle technology'').
Light-duty truck means any motor vehicle that is not a heavy-duty
vehicle, but is:
(1) Designed primarily for purposes of transportation of property or
is a derivation of such a vehicle; or
(2) Designed primarily for transportation of persons and has a
capacity of more than 12 persons; or
(3) Available with special features enabling off-street or off-
highway operation and use.
Light-duty vehicle means a passenger car or passenger car derivative
capable of seating 12 or fewer passengers.
Low-mileage means relating to a vehicle with stabilized emissions
and represents the undeteriorated emission level. This would generally
involve approximately 4000 miles of operation.
Low rolling resistance tire means a tire on a vocational vehicle
with a TRRL at

[[Page 352]]

or below of 7.7 kg/tonne, a steer tire on a tractor with a TRRL at or
below 7.7 kg/tonne, a drive tire on a tractor with a TRRL at or below
8.1 kg/tonne, a tire on a non-box trailer with a TRRL at or below of 6.5
kg/tonne, or a tire on a box van with a TRRL at or below of 6.0 kg/
tonne.
Manual transmission (MT) means a transmission that requires the
driver to shift the gears and manually engage and disengage the clutch.
Manufacture means the physical and engineering process of designing,
constructing, and/or assembling a vehicle.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures or assembles a
vehicle (including a trailer or another incomplete vehicle) for sale in
the United States or otherwise introduces a new motor vehicle into
commerce in the United States. This includes importers who import
vehicles for resale, entities that manufacture glider kits, and entities
that assemble glider vehicles.
Medium-duty passenger vehicle (MDPV) has the meaning given in 40 CFR
86.1803.
Model year means one of the following for compliance with this part.
Note that manufacturers may have other model year designations for the
same vehicle for compliance with other requirements or for other
purposes:
(1) For tractors and vocational vehicles with a date of manufacture
on or after January 1, 2021, model year means the manufacturer's annual
new model production period based on the vehicle's date of manufacture,
where the model year is the calendar year corresponding to the date of
manufacture, except as follows:
(i) The vehicle's model year may be designated as the year before
the calendar year corresponding to the date of manufacture if the
engine's model year is also from an earlier year. You may ask us to
extend your prior model year certificate to include such vehicles. Note
that Sec. 1037.601(a)(2) limits the extent to which vehicle
manufacturers may install engines built in earlier calendar years.
(ii) The vehicle's model year may be designated as the year after
the calendar year corresponding to the vehicle's date of manufacture.
For example, a manufacturer may produce a new vehicle by installing the
engine in December 2023 and designating it as a model year 2024 vehicle.
(2) For trailers and for Phase 1 tractors and vocational vehicles
with a date of manufacture before January 1, 2021, model year means the
manufacturer's annual new model production period, except as restricted
under this definition and 40 CFR part 85, subpart X. It must include
January 1 of the calendar year for which the model year is named, may
not begin before January 2 of the previous calendar year, and it must
end by December 31 of the named calendar year. The model year may be set
to match the calendar year corresponding to the date of manufacture.
(i) The manufacturer who holds the certificate of conformity for the
vehicle must assign the model year based on the date when its
manufacturing operations are completed relative to its annual model year
period. In unusual circumstances where completion of your assembly is
delayed, we may allow you to assign a model year one year earlier,
provided it does not affect which regulatory requirements will apply.
(ii) Unless a vehicle is being shipped to a secondary vehicle
manufacturer that will hold the certificate of conformity, the model
year must be assigned prior to introduction of the vehicle into U.S.
commerce. The certifying manufacturer must redesignate the model year if
it does not complete its manufacturing operations within the originally
identified model year. A vehicle introduced into U.S. commerce without a
model year is deemed to have a model year equal to the calendar year of
its introduction into U.S. commerce unless the certifying manufacturer
assigns a later date.
Motor home has the meaning given in 49 CFR 571.3.
Motor vehicle has the meaning given in 40 CFR 85.1703.
Multi-Purpose means relating to the Multi-Purpose duty cycle as
specified in Sec. 1037.510.
Neutral coasting means a vehicle technology that automatically puts
the

[[Page 353]]

transmission in neutral when the vehicle has minimal power demand, such
as driving downhill.
Neutral idle means a vehicle technology that automatically puts the
transmission in neutral when the vehicle is stopped, as described in
Sec. 1037.660(a).
New motor vehicle has the meaning given in the Act. It generally
means a motor vehicle meeting the criteria of either paragraph (1) or
(2) of this definition. New motor vehicles may be complete or
incomplete.
(1) A motor vehicle for which the ultimate purchaser has never
received the equitable or legal title is a new motor vehicle. This kind
of vehicle might commonly be thought of as ``brand new'' although a new
motor vehicle may include previously used parts. For example, vehicles
commonly known as ``glider kits,'' ``glider vehicles,'' or ``gliders''
are new motor vehicles. Under this definition, the vehicle is new from
the time it is produced until the ultimate purchaser receives the title
or places it into service, whichever comes first.
(2) An imported heavy-duty motor vehicle originally produced after
the 1969 model year is a new motor vehicle.
Noncompliant vehicle means a vehicle that was originally covered by
a certificate of conformity, but is not in the certified configuration
or otherwise does not comply with the conditions of the certificate.
Nonconforming vehicle means a vehicle not covered by a certificate
of conformity that would otherwise be subject to emission standards.
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. 1037.610
(also described as ``innovative technology'').
Official emission result means the measured emission rate for an
emission-data vehicle on a given duty cycle before the application of
any required deterioration factor, but after the applicability of
regeneration adjustment factors.
Owners manual means a document or collection of documents prepared
by the vehicle manufacturer for the owners or operators to describe
appropriate vehicle maintenance, applicable warranties, and any other
information related to operating or keeping the vehicle. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
Parked idle means idle operation during which the transmission is
set to park, or the transmission is in neutral with the parking brake
engaged. Although this idle may occur for extended periods, the term
``extended idle'' refers to tractor operation in which the engine is
operating to power accessories for a sleeper compartment or other
passenger compartment.
Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
Percent (%) has the meaning given in 40 CFR 1065.1001. Note that
this means percentages identified in this part are assumed to be
infinitely precise without regard to the number of significant figures.
For example, one percent of 1,493 is 14.93.
Petroleum means gasoline or diesel fuel or other fuels normally
derived from crude oil. This does not include methane or liquefied
petroleum gas.
Phase 1 means relating to the Phase 1 standards specified in
Sec. Sec. 1037.105 and 1037.106. For example, a vehicle subject to the
Phase 1 standards is a Phase 1 vehicle. Note that there are no Phase 1
standards for trailers.
Phase 2 means relating to the Phase 2 standards specified in
Sec. Sec. 1037.105 through 1037.107.
Placed into service means put into initial use for its intended
purpose, excluding incidental use by the manufacturer or a dealer.
Power take-off (PTO) means a secondary engine shaft (or equivalent)
that provides substantial auxiliary power for purposes unrelated to
vehicle propulsion or normal vehicle accessories such as air
conditioning, power steering, and basic electrical accessories. A
typical PTO uses a secondary

[[Page 354]]

shaft on the engine to transmit power to a hydraulic pump that powers
auxiliary equipment, such as a boom on a bucket truck. You may ask us to
consider other equivalent auxiliary power configurations (such as those
with hybrid vehicles) as power take-off systems.
Preliminary approval means approval granted by an authorized EPA
representative prior to submission of an application for certification,
consistent with the provisions of Sec. 1037.210 or 1037.211.
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.
Refuse hauler means a heavy-duty vehicle whose primary purpose is to
collect, compact, and transport solid waste, including recycled solid
waste.
Regional means relating to the Regional duty cycle as specified in
Sec. 1037.510.
Regulatory subcategory has the meaning given in Sec. 1037.230.
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.
Roof height means the maximum height of a vehicle (rounded to the
nearest inch), excluding narrow accessories such as exhaust pipes and
antennas, but including any wide accessories such as roof fairings.
Measure roof height of the vehicle configured to have its maximum height
that will occur during actual use, with properly inflated tires and no
driver, passengers, or cargo onboard. Roof height may also refer to the
following categories:
(1) Low-roof means relating to a vehicle with a roof height of 120
inches or less.
(2) Mid-roof means relating to a vehicle with a roof height of 121
to 147 inches.
(3) High-roof means relating to a vehicle with a roof height of 148
inches or more.
Round has the meaning given in 40 CFR 1065.1001.
Scheduled maintenance means adjusting, repairing, removing,
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.
School bus has the meaning given in 49 CFR 571.3.
Secondary vehicle manufacturer anyone that produces a vehicle by
modifying a complete vehicle or completing the assembly of a partially
complete vehicle. For the purpose of this definition, ``modifying''
generally does not include making changes that do not remove a vehicle
from its original certified configuration. However, custom sleeper
modifications and alternative fuel conversions that change actual
vehicle aerodynamics are considered to be modifications, even if they
are permitted without recertification. This definition applies whether
the production involves a complete or partially complete vehicle and
whether the vehicle was previously certified to emission standards or
not. Manufacturers controlled by the manufacturer of the base vehicle
(or by an entity that also controls the manufacturer of the base
vehicle) are not secondary vehicle manufacturers; rather, both entities
are considered to be one manufacturer for purposes of this part.
Sleeper cab means a type of tractor cab that has a compartment
behind the driver's seat intended to be used by the driver for sleeping,
and is not a heavy-haul tractor cab. This includes cabs accessible from
the driver's compartment and those accessible from outside the vehicle.
Small manufacturer means a manufacturer meeting the small business
criteria specified in 13 CFR 121.201 for vocational vehicles and
tractors (NAICS code 336120) or for trailers (NAICS code 336212). The
employee and revenue limits apply to the total number employees and
total revenue together for affiliated companies.

[[Page 355]]

Spark-ignition has the meaning given in Sec. 1037.101.
Standard payload means the payload assumed for each vehicle, in
tons, for modeling and calculating emission credits, as follows:
(1) For vocational vehicles:
(i) 2.85 tons for Light HDV.
(ii) 5.6 tons for Medium HDV.
(iii) 7.5 tons for Heavy HDV.
(2) For tractors:
(i) 12.5 tons for Class 7.
(ii) 19 tons for Class 8, other than heavy-haul tractors.
(iii) 43 tons for heavy-haul tractors.
(3) For trailers:
(i) 10 tons for short box vans.
(ii) 19 tons for other trailers.
Standard tractor has the meaning given in Sec. 1037.501.
Standard trailer has the meaning given in Sec. 1037.501.
Stop-start means a vehicle technology that automatically turns the
engine off when the vehicle is stopped, as described in Sec.
1037.660(a).
Suspend has the meaning given in 40 CFR 1068.30.
Tank trailer means a trailer designed to transport liquids or gases.
Test sample means the collection of vehicles or components selected
from the population of a vehicle family for emission testing. This may
include testing for certification, production-line testing, or in-use
testing.
Test vehicle means a vehicle in a test sample.
Test weight means the vehicle weight used or represented during
testing.
Tire pressure monitoring system (TPMS) is a vehicle system that
monitors air pressure in each tire and alerts the operator when tire
pressure falls below a specified value.
Tire rolling resistance level (TRRL) means a value with units of kg/
tonne that represents the rolling resistance of a tire configuration.
TRRLs are used as modeling inputs under Sec. Sec. 1037.515 and
1037.520. Note that a manufacturer may use the measured value for a tire
configuration's coefficient of rolling resistance, or assign some higher
value.
Tonne means metric ton, which is exactly 1000 kg.
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 vehicles. The
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Tractor has the meaning given for ``truck tractor'' in 49 CFR 571.3.
This includes most heavy-duty vehicles specifically designed for the
primary purpose of pulling trailers, but does not include vehicles
designed to carry other loads. For purposes of this definition ``other
loads'' would not include loads carried in the cab, sleeper compartment,
or toolboxes. Examples of vehicles that are similar to tractors but that
are not tractors under this part include dromedary tractors, automobile
haulers, straight trucks with trailers hitches, and tow trucks. Note
that the provisions of this part that apply for tractors do not apply
for tractors that are classified as vocational tractors under Sec.
1037.630.
Trailer means a piece of equipment designed for carrying cargo and
for being drawn by a tractor when coupled to the tractor's fifth wheel.
These trailers may be known commercially as semi-trailers or truck
trailers. This definition excludes equipment that serve similar purposes
but are not intended to be pulled by a tractor, whether or not they are
known commercially as trailers. Trailers may be divided into different
types and categories as described in paragraphs (1) through (4) of this
definition. The types of equipment identified in paragraph (5) of this
definition are not trailers for purposes of this part.
(1) Box vans are trailers with enclosed cargo space that is
permanently attached to the chassis, with fixed sides, nose, and roof.
Tank trailers are not box vans.

[[Page 356]]

(2) Box vans with self-contained HVAC systems are refrigerated vans.
Note that this includes systems that provide cooling, heating, or both.
All other box vans are dry vans.
(3) Trailers that are not box vans are non-box trailers. Note that
the standards for non-box trailers in this part 1037 apply only to
flatbed trailers, tank trailers, and container chassis.
(4) Box vans with length at or below 50.0 feet are short box vans.
Other box vans are long box vans.
(5) The following types of equipment are not trailers for purposes
of this part 1037:
(i) Containers that are not permanently mounted on chassis.
(ii) Dollies used to connect tandem trailers.
Ultimate purchaser means, with respect to any new vehicle, the first
person who in good faith purchases such new vehicle for purposes other
than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for a vehicle family the model year after
the one currently in production.
Urban means relating to the Urban duty cycle as specified in Sec.
1037.510.
U.S.-directed production volume means the number of vehicle units,
subject to the requirements of this part, produced by a manufacturer for
which the manufacturer has a reasonable assurance that sale was or will
be made to ultimate purchasers in the United States. This does not
include vehicles certified to state emission standards that are
different than the emission standards in this part.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards.
Vehicle means equipment intended for use on highways that meets at
least one of the criteria of paragraph (1) of this definition, as
follows:
(1) The following equipment are vehicles:
(i) A piece of equipment that is intended for self-propelled use on
highways becomes a vehicle when it includes at least an engine, a
transmission, and a frame. (Note: For purposes of this definition, any
electrical, mechanical, and/or hydraulic devices attached to engines for
the purpose of powering wheels are considered to be transmissions.)
(ii) A piece of equipment that is intended for self-propelled use on
highways becomes a vehicle when it includes a passenger compartment
attached to a frame with one or more axles.
(iii) Trailers. A trailer becomes a vehicle when it has a frame with
one or more axles attached.
(2) Vehicles other than trailers may be complete or incomplete
vehicles as follows:
(i) A complete vehicle is a functioning vehicle that has the primary
load carrying device or container (or equivalent equipment) attached.
Examples of equivalent equipment would include fifth wheel trailer
hitches, firefighting equipment, and utility booms.
(ii) An incomplete vehicle is a vehicle that is not a complete
vehicle. Incomplete vehicles may also be cab-complete vehicles. This may
include vehicles sold to secondary vehicle manufacturers.
(iii) The primary use of the terms ``complete vehicle'' and
``incomplete vehicle'' are to distinguish whether a vehicle is complete
when it is first sold as a vehicle.
(iv) You may ask us to allow you to certify a vehicle as incomplete
if you manufacture the engines and sell the unassembled chassis
components, as long as you do not produce and sell the body components
necessary to complete the vehicle.
Vehicle configuration means a unique combination of vehicle hardware
and calibration (related to measured or modeled emissions) within a
vehicle family. Vehicles with hardware or software differences, but that
have no hardware or software differences related to measured or modeled
emissions may be included in the same vehicle configuration. Note that
vehicles with hardware or software differences related to measured or
modeled emissions are considered to be different configurations even if
they have the same GEM inputs and FEL. Vehicles within a vehicle
configuration differ only with respect to normal production variability
or factors unrelated to measured or modeled emissions.

[[Page 357]]

Vehicle family has the meaning given in Sec. 1037.230.
Vehicle service class has the meaning given in Sec. 1037.140. The
different vehicle service classes are Light HDV, Medium HDV, and Heavy
HDV.
Vehicle subfamily or subfamily means a subset of a vehicle family
including vehicles subject to the same FEL(s).
Vocational tractor means a vehicle classified as a vocational
tractor under Sec. 1037.630.
Vocational vehicle means relating to a vehicle subject to the
standards of Sec. 1037.105 (including vocational tractors).
Void has the meaning given in 40 CFR 1068.30.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34491, June 29, 2021]

Sec. 1037.805 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. 1037.810). 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.
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.
THC....................................... total hydrocarbon.
THCE...................................... total hydrocarbon
equivalent.
------------------------------------------------------------------------

(b) Symbols for quantities. This part uses the following symbols and
units of measure for various quantities:

Table 2 to Sec. 1037.805--Symbols for Quantities
----------------------------------------------------------------------------------------------------------------
Unit in terms of SI
Symbol Quantity Unit Unit symbol base units
----------------------------------------------------------------------------------------------------------------
A................ vehicle frictional load pound force or newton. lbf or N............. kg[middot]m[middot]s-
2.
a................ axle position
regression
coefficient.
[alpha].......... atomic hydrogen-to- mole per mole......... mol/mol.............. 1.
carbon ratio.
[alpha].......... axle position
regression
coefficient.
[alpha]0......... intercept of air speed
correction.
[alpha]1......... slope of air speed
correction.
[alpha]g......... acceleration of Earth's meters per second m/s2................. m[middot]s-2.
gravity. squared.
[alpha]0......... intercept of least
squares regression.
[alpha]1......... slope of least squares
regression.
B................ vehicle load from drag pound force per mile lbf/(mi/hr) or kg[middot]s-1.
and rolling resistance. per hour or newton N[middot]s/m.
second per meter.
b................ axle position
regression
coefficient.
[beta]........... atomic oxygen-to-carbon mole per mole......... mol/mol.............. 1.
ratio.
[beta]........... axle position
regression
coefficient.
[beta]0.......... intercept of air
direction correction.
[beta]1.......... slope of air direction
correction.
C................ vehicle-specific pound force per mile lbf/mph2 or kg[middot]m-1.
aerodynamic effects. per hour squared or N[middot]s2/m2.
newton-second squared
per meter squared.
c................ axle position
regression
coefficient.

[[Page 358]]

ci............... axle test regression
coefficients.
Ci............... constant.
[Delta]CdA....... differential drag area. meter squared......... m2................... m2.
CdA.............. drag area.............. meter squared......... m2................... m2.
Cd............... drag coefficient.
CF............... correction factor.
Crr.............. coefficient of rolling kilogram per metric kg/tonne............. 10-3.
resistance. ton.
D................ distance............... miles or meters....... mi or m.............. m.
e................ mass-weighted emission grams/ton-mile........ g/ton-mi............. g/kg-km.
result.
E[fnof][fnof].... efficiency.
F................ adjustment factor.
F................ force.................. pound force or newton. lbf or N............. kg[middot]m[middot]s-
2.
fn............... angular speed (shaft).. revolutions per minute r/min................ [pi][middot]30[middot
]s-1.
G................ road grade............. percent............... %.................... 10-2.
g................ gravitational meters per second m/s2................. m[middot]s-2.
acceleration. squared.
h................ elevation or height.... meters................ m.................... m.
i................ indexing variable.
ka............... drive axle ratio....... ...................... ..................... 1.
kd............... transmission gear
ratio.
ktopgear......... highest available
transmission gear.
L................ load over axle......... pound force or newton. lbf or N............. kg[middot]m[middot]s-
2.
m................ mass................... pound mass or kilogram lbm or kg............ kg.
M................ molar mass............. gram per mole......... g/mol................ 10-
3[middot]kg[middot]m
ol-1.
M................ vehicle mass........... kilogram.............. kg................... kg.
Me............... vehicle effective mass. kilogram.............. kg................... kg.
Mrotating........ inertial mass of kilogram.............. kg................... kg.
rotating components.
N................ total number in series.
n................ number of tires.
n................ amount of substance mole per second....... mol/s................ mol[middot]s-1.
rate.
P................ power.................. kilowatt.............. kW................... 103[middot]m2[middot]
kg[middot]s-3.
p................ pressure............... pascal................ Pa................... kg[middot]m-
1[middot]s-2.
[rho]............ mass density........... kilogram per cubic kg/m3................ kg[middot]m-3.
meter.
PL............... payload................ tons.................. ton.................. kg.
[phi]............ direction.............. degrees............... [deg]................ [deg].
c................ direction.............. degrees............... [deg]................ [deg].
r................ tire radius............ meter................. m.................... m.
r2............... coefficient of
determination.
Re.............. Reynolds number.
SEE.............. standard error of the
estimate.
[sigma].......... standard deviation.
TRPM............. tire revolutions per revolutions per mile.. r/mi.
mile.
TRRL............. tire rolling resistance kilogram per metric kg/tonne............. 10-3.
level. ton.
T................ absolute temperature... kelvin................ K.................... K.
T................ Celsius temperature.... degree Celsius........ [deg]C.............. K-273.15.
T................ torque (moment of newton meter.......... N[middot]m........... m2[middot]kg[middot]s-
force). 2.
t................ time................... hour or second........ hr or s.............. s.
[Delta]t......... time interval, period, second................ s.................... s.
1/frequency.
UF............... utility factor.
v................ speed.................. miles per hour or mi/hr or m/s......... m[middot]s-1.
meters per second.
w................ weighting factor.
w................ wind speed............. miles per hour........ mi/hr................ m[middot]s-1.
W................ work................... kilowatt-hour......... kW[middot]hr......... 3.6[middot]m2[middot]
kg[middot]s-1.
wC............... carbon mass fraction... gram/gram............. g/g.................. 1.
WR............... weight reduction....... pound mass............ lbm.................. kg.
x................ amount of substance mole per mole......... mol/mol.............. 1.
mole fraction.
----------------------------------------------------------------------------------------------------------------

Table 3 to Sec. 1037.805--Superscripts
------------------------------------------------------------------------
Superscript Meaning
------------------------------------------------------------------------
overbar (such as y)....................... arithmetic mean.
Double overbar (such as y)................ arithmetic mean of
arithmetic mean.

[[Page 359]]

overdot (such as y)....................... quantity per unit time.
------------------------------------------------------------------------

(d) Subscripts. This part uses the following subscripts for
modifying quantity symbols:

Table 4 to Sec. 1037.805--Subscripts
------------------------------------------------------------------------
Subscript Meaning
------------------------------------------------------------------------
6................... 6[deg]
yaw angle sweep.
A......................................... A speed.
air....................................... air.
aero...................................... aerodynamic.
alt....................................... alternative.
act....................................... actual or measured
condition.
air....................................... air.
axle...................................... axle.
B......................................... B speed.
brake..................................... brake.
C......................................... C speed.
Ccombdry.................................. carbon from fuel per mole of
dry exhaust.
CD........................................ charge-depleting.
circuit................................... circuit.
CO2DEF.................................... CO2 resulting from diesel
exhaust fluid
decomposition.
CO2PTO.................................... CO2 emissions for PTO cycle.
coastdown................................. coastdown.
comp...................................... composite.
CS........................................ charge-sustaining.
cycle..................................... test cycle.
drive..................................... drive axle
drive-idle................................ idle with the transmission
in drive.
driver.................................... driver.
dyno...................................... dynamometer.
effective................................. effective.
end....................................... end.
eng....................................... engine.
event..................................... event.
fuel...................................... fuel.
full...................................... full.
grade..................................... grade.
H2Oexhaustdry............................. H2O in exhaust per mole of
exhaust.
hi........................................ high.
i......................................... an individual of a series.
idle...................................... idle.
in........................................ inlet.
inc....................................... increment.
lo........................................ low.
loss...................................... loss.
max....................................... maximum.
meas...................................... measured quantity.
med....................................... median.
min....................................... minimum.
moving.................................... moving.
out....................................... outlet.
P......................................... power.
pair...................................... pair of speed segments.
parked-idle............................... idle with the transmission
in park.
partial................................... partial.
ploss..................................... power loss.
plug-in................................... plug-in hybrid electric
vehicle.
powertrain................................ powertrain.
PTO....................................... power take-off.
rated..................................... rated speed.
record.................................... record.
ref....................................... reference quantity.
RL........................................ road load.
rotating.................................. rotating.
seg....................................... segment.
speed..................................... speed.
spin...................................... axle spin loss.
start..................................... start.
steer..................................... steer axle.
t......................................... tire.
test...................................... test.
th........................................ theoretical.
total..................................... total.
trac...................................... traction.
trac10.................................... traction force at 10 mi/hr.
trailer................................... trailer axle.
transient................................. transient.
TRR....................................... tire rolling resistance.
urea...................................... urea.
veh....................................... vehicle.
w......................................... wind.
wa........................................ wind average.
yaw....................................... yaw angle.
ys........................................ yaw sweep.
zero...................................... zero quantity.
------------------------------------------------------------------------

(e) Other acronyms and abbreviations. This part uses the following
additional abbreviations and acronyms:

Table 5 to Sec. 1037.805--Other Acronyms and Abbreviations
------------------------------------------------------------------------
Acronym Meaning
------------------------------------------------------------------------
ABT....................................... averaging, banking, and
trading.
AECD...................................... auxiliary emission control
device.
AES....................................... automatic engine shutdown.
APU....................................... auxiliary power unit.
CD........................................ charge-depleting.
CFD....................................... computational fluid
dynamics.
CFR....................................... Code of Federal Regulations.
CITT...................................... curb idle transmission
torque.
CS........................................ charge-sustaining.
DOT....................................... Department of
Transportation.
ECM....................................... electronic control module.
EPA....................................... Environmental Protection
Agency.
FE........................................ fuel economy.
FEL....................................... Family Emission Limit.
GAWR...................................... gross axle weight rating.
GCWR...................................... gross combination weight
rating.
GEM....................................... greenhouse gas emission
model.
GVWR...................................... gross vehicle weight rating.
Heavy HDV................................. Heavy heavy-duty vehicle
(see Sec. 1037.140).
HVAC...................................... heating, ventilating, and
air conditioning.
ISO....................................... International Organization
for Standardization.
Light HDV................................. Light heavy-duty vehicle
(see Sec. 1037.140).
Medium HDV................................ Medium heavy-duty vehicle
(see Sec. 1037.140).
NARA...................................... National Archives and
Records Administration.
NHTSA..................................... National Highway
Transportation Safety
Administration.
PHEV...................................... plug-in hybrid electric
vehicle.
PTO....................................... power take-off.
RESS...................................... rechargeable energy storage
system.
SAE....................................... Society of Automotive
Engineers.
SEE....................................... standard error of the
estimate.
SKU....................................... stock-keeping unit.

[[Page 360]]

TRPM...................................... tire revolutions per mile.
TRRL...................................... tire rolling resistance
level.
U.S.C..................................... United States Code.
VSL....................................... vehicle speed limiter.
------------------------------------------------------------------------

(f) Constants. This part uses the following constants:

Table 6 to Sec. 1037.805--Constants
------------------------------------------------------------------------
Symbol Quantity Value
------------------------------------------------------------------------
g..................... gravitational constant. 9.80665 m[middot]s-2.
R..................... specific gas constant.. 287.058 J/
(kg[middot]K).
------------------------------------------------------------------------

(g) 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 74048, Oct. 25, 2016, as amended at 86 FR 34492, June 29, 2021]

Sec. 1037.810 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 EPA Docket Center, WJC West Building, Room 3334, 1301
Constitution Avenue NW, Washington, DC 20004, www.epa.gov/dockets, (202)
202-1744, and is available from the sources listed in this section. It
is also available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, email [email protected], call 202-741-6030, or go
to www.archives.gov/federal-register/cfr/ibr-locations.html.
(b) International Organization for Standardization, Case Postale 56,
CH-1211 Geneva 20, Switzerland, (41) 22749 0111, www.iso.org, or
[email protected].
(1) ISO 28580:2009(E) ``Passenger car, truck and bus tyres--Methods
of measuring rolling resistance--Single point test and correlation of
measurement results'', First Edition, July 1, 2009, (``ISO 28580''), IBR
approved for Sec. 1037.520(c).
(2) [Reserved]
(c) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann
Arbor, MI 48105, www.epa.gov.
(1) Greenhouse gas Emissions Model (GEM), Version 2.0.1, September
2012 (``GEM version 2.0.1''), IBR approved for Sec. 1037.520.
(2) Greenhouse gas Emissions Model (GEM) Phase 2, Version 3.5.1,
November 2020 (``GEM Phase 2, Version 3.5.1''); IBR approved for Sec.
1037.520.
(3) GEM's MATLAB/Simulink Hardware-in-Loop model, Version 3.8,
December 2020 (``GEM HIL model''); IBR approved for Sec. 1037.550(a).
Note 1 to paragraph (c): The computer code for these models is
available as noted in paragraph (a) of this section. A working version
of the software is also available for download at https://www.epa.gov/
regulations-emissions-vehicles-and-engines/greenhouse-gas-emissions-
model-gem-medium-and-heavy-duty.
(d) 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. 1037.805.
(2) [Reserved]
(e) SAE International, 400 Commonwealth Dr., Warrendale, PA 15096-
0001, (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside the
U.S. and Canada), http://www.sae.org.
(1) SAE J1025, Test Procedures for Measuring Truck Tire Revolutions
Per Kilometer/Mile, Stabilized August 2012, (``SAE J1025''), IBR
approved for Sec. 1037.520(c).
(2) SAE J1252, SAE Wind Tunnel Test Procedure for Trucks and Buses,
Revised July 2012, (``SAE J1252''), IBR approved for Sec. Sec.
1037.525(b) and 1037.530(a).
(3) SAE J1263, Road Load Measurement and Dynamometer Simulation
Using Coastdown Techniques, revised

[[Page 361]]

March 2010, (``SAE J1263''), IBR approved for Sec. Sec. 1037.528
introductory text, (a), (b), (c), (e), and (h) and 1037.665(a).
(4) SAE J1594, Vehicle Aerodynamics Terminology, Revised July 2010,
(``SAE J1594''), IBR approved for Sec. 1037.530(d).
(5) SAE J2071, Aerodynamic Testing of Road Vehicles--Open Throat
Wind Tunnel Adjustment, Revised June 1994, (``SAE J2071''), IBR approved
for Sec. 1037.530(b).
(6) SAE J2263, Road Load Measurement Using Onboard Anemometry and
Coastdown Techniques, Revised December 2008, (``SAE J2263''), IBR
approved for Sec. Sec. 1037.528 introductory text, (a), (b), (d), and
(f) and 1037.665(a).
(7) SAE J2343, Recommended Practice for LNG Medium and Heavy-Duty
Powered Vehicles, Revised July 2008, (``SAE J2343''), IBR approved for
Sec. 1037.103(e).
(8) SAE J2452, Stepwise Coastdown Methodology for Measuring Tire
Rolling Resistance, Revised June 1999, (``SAE J2452''), IBR approved for
Sec. 1037.528(h).
(9) SAE J2966, Guidelines for Aerodynamic Assessment of Medium and
Heavy Commercial Ground Vehicles Using Computational Fluid Dynamics,
Issued September 2013, (``SAE J2966''), IBR approved for Sec.
1037.532(a).

[86 FR 34496, June 29, 2021]

Sec. 1037.815 Confidential information.

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

Sec. 1037.820 Requesting a hearing.

Sec. 1037.825 Reporting and recordkeeping requirements.

[[Page 362]]

(iii) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
(iv) In Sec. 1037.725, 1037.730, and 1037.735 we specify certain
records related to averaging, banking, and trading.
(2) We specify the following requirements related to testing in 40
CFR part 1066:
(i) In 40 CFR 1066.2 we give an overview of principles for reporting
information.
(ii) In 40 CFR 1066.25 we establish basic guidelines for storing
test information.
(iii) In 40 CFR 1066.695 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 and
vehicles 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 and vehicles.
(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines and vehicles 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 and vehicles.
(xi) In 40 CFR part 1068, subpart G, we specify certain records for
requesting a hearing.

[81 FR 74048, Oct. 25, 2016, as amended at 86 FR 34496, June 29, 2021]

Sec. Appendix I to Part 1037 -- Heavy-Duty Transient Test Cycle

------------------------------------------------------------------------
Time (sec) Speed (mi/hr)
------------------------------------------------------------------------
1....................................................... 0.00
2....................................................... 0.00
3....................................................... 0.00
4....................................................... 0.00
5....................................................... 0.00
6....................................................... 0.00
7....................................................... 0.41
8....................................................... 1.18
9....................................................... 2.26
10...................................................... 3.19
11...................................................... 3.97
12...................................................... 4.66
13...................................................... 5.32
14...................................................... 5.94
15...................................................... 6.48
16...................................................... 6.91
17...................................................... 7.28
18...................................................... 7.64
19...................................................... 8.02
20...................................................... 8.36
21...................................................... 8.60
22...................................................... 8.74
23...................................................... 8.82
24...................................................... 8.82
25...................................................... 8.76
26...................................................... 8.66
27...................................................... 8.58
28...................................................... 8.52
29...................................................... 8.46
30...................................................... 8.38
31...................................................... 8.31
32...................................................... 8.21
33...................................................... 8.11
34...................................................... 8.00
35...................................................... 7.94
36...................................................... 7.94
37...................................................... 7.80
38...................................................... 7.43
39...................................................... 6.79
40...................................................... 5.81
41...................................................... 4.65
42...................................................... 3.03
43...................................................... 1.88
44...................................................... 1.15
45...................................................... 1.14
46...................................................... 1.12
47...................................................... 1.11
48...................................................... 1.19
49...................................................... 1.57
50...................................................... 2.31
51...................................................... 3.37
52...................................................... 4.51
53...................................................... 5.56
54...................................................... 6.41
55...................................................... 7.09
56...................................................... 7.59
57...................................................... 7.99

[[Page 363]]

58...................................................... 8.32
59...................................................... 8.64
60...................................................... 8.91
61...................................................... 9.13
62...................................................... 9.29
63...................................................... 9.40
64...................................................... 9.39
65...................................................... 9.20
66...................................................... 8.84
67...................................................... 8.35
68...................................................... 7.81
69...................................................... 7.22
70...................................................... 6.65
71...................................................... 6.13
72...................................................... 5.75
73...................................................... 5.61
74...................................................... 5.65
75...................................................... 5.80
76...................................................... 5.95
77...................................................... 6.09
78...................................................... 6.21
79...................................................... 6.31
80...................................................... 6.34
81...................................................... 6.47
82...................................................... 6.65
83...................................................... 6.88
84...................................................... 7.04
85...................................................... 7.05
86...................................................... 7.01
87...................................................... 6.90
88...................................................... 6.88
89...................................................... 6.89
90...................................................... 6.96
91...................................................... 7.04
92...................................................... 7.17
93...................................................... 7.29
94...................................................... 7.39
95...................................................... 7.48
96...................................................... 7.57
97...................................................... 7.61
98...................................................... 7.59
99...................................................... 7.53
100..................................................... 7.46
101..................................................... 7.40
102..................................................... 7.39
103..................................................... 7.38
104..................................................... 7.37
105..................................................... 7.37
106..................................................... 7.39
107..................................................... 7.42
108..................................................... 7.43
109..................................................... 7.40
110..................................................... 7.39
111..................................................... 7.42
112..................................................... 7.50
113..................................................... 7.57
114..................................................... 7.60
115..................................................... 7.60
116..................................................... 7.61
117..................................................... 7.64
118..................................................... 7.68
119..................................................... 7.74
120..................................................... 7.82
121..................................................... 7.90
122..................................................... 7.96
123..................................................... 7.99
124..................................................... 8.02
125..................................................... 8.01
126..................................................... 7.87
127..................................................... 7.59
128..................................................... 7.20
129..................................................... 6.52
130..................................................... 5.53
131..................................................... 4.36
132..................................................... 3.30
133..................................................... 2.50
134..................................................... 1.94
135..................................................... 1.56
136..................................................... 0.95
137..................................................... 0.42
138..................................................... 0.00
139..................................................... 0.00
140..................................................... 0.00
141..................................................... 0.00
142..................................................... 0.00
143..................................................... 0.00
144..................................................... 0.00
145..................................................... 0.00
146..................................................... 0.00
147..................................................... 0.00
148..................................................... 0.00
149..................................................... 0.00
150..................................................... 0.00
151..................................................... 0.00
152..................................................... 0.00
153..................................................... 0.00
154..................................................... 0.00
155..................................................... 0.00
156..................................................... 0.00
157..................................................... 0.00
158..................................................... 0.00
159..................................................... 0.00
160..................................................... 0.00
161..................................................... 0.00
162..................................................... 0.00
163..................................................... 0.00
164..................................................... 0.00
165..................................................... 0.00
166..................................................... 0.00
167..................................................... 0.00
168..................................................... 0.00
169..................................................... 0.00
170..................................................... 0.00
171..................................................... 0.00
172..................................................... 1.11
173..................................................... 2.65
174..................................................... 4.45
175..................................................... 5.68
176..................................................... 6.75
177..................................................... 7.59
178..................................................... 7.75
179..................................................... 7.63
180..................................................... 7.67
181..................................................... 8.70
182..................................................... 10.20
183..................................................... 11.92
184..................................................... 12.84
185..................................................... 13.27
186..................................................... 13.38
187..................................................... 13.61
188..................................................... 14.15
189..................................................... 14.84
190..................................................... 16.49
191..................................................... 18.33
192..................................................... 20.36
193..................................................... 21.47
194..................................................... 22.35
195..................................................... 22.96
196..................................................... 23.46
197..................................................... 23.92
198..................................................... 24.42
199..................................................... 24.99
200..................................................... 25.91
201..................................................... 26.26
202..................................................... 26.38
203..................................................... 26.26

[[Page 364]]

204..................................................... 26.49
205..................................................... 26.76
206..................................................... 27.07
207..................................................... 26.64
208..................................................... 25.99
209..................................................... 24.77
210..................................................... 24.04
211..................................................... 23.39
212..................................................... 22.73
213..................................................... 22.16
214..................................................... 21.66
215..................................................... 21.39
216..................................................... 21.43
217..................................................... 20.67
218..................................................... 17.98
219..................................................... 13.15
220..................................................... 7.71
221..................................................... 3.30
222..................................................... 0.88
223..................................................... 0.00
224..................................................... 0.00
225..................................................... 0.00
226..................................................... 0.00
227..................................................... 0.00
228..................................................... 0.00
229..................................................... 0.00
230..................................................... 0.00
231..................................................... 0.00
232..................................................... 0.00
233..................................................... 0.00
234..................................................... 0.00
235..................................................... 0.00
236..................................................... 0.00
237..................................................... 0.00
238..................................................... 0.00
239..................................................... 0.00
240..................................................... 0.00
241..................................................... 0.00
242..................................................... 0.00
243..................................................... 0.00
244..................................................... 0.00
245..................................................... 0.00
246..................................................... 0.00
247..................................................... 0.00
248..................................................... 0.00
249..................................................... 0.00
250..................................................... 0.00
251..................................................... 0.00
252..................................................... 0.00
253..................................................... 0.00
254..................................................... 0.00
255..................................................... 0.00
256..................................................... 0.00
257..................................................... 0.00
258..................................................... 0.00
259..................................................... 0.50
260..................................................... 1.57
261..................................................... 3.07
262..................................................... 4.57
263..................................................... 5.65
264..................................................... 6.95
265..................................................... 8.05
266..................................................... 9.13
267..................................................... 10.05
268..................................................... 11.62
269..................................................... 12.92
270..................................................... 13.84
271..................................................... 14.38
272..................................................... 15.64
273..................................................... 17.14
274..................................................... 18.21
275..................................................... 18.90
276..................................................... 19.44
277..................................................... 20.09
278..................................................... 21.89
279..................................................... 24.15
280..................................................... 26.26
281..................................................... 26.95
282..................................................... 27.03
283..................................................... 27.30
284..................................................... 28.10
285..................................................... 29.44
286..................................................... 30.78
287..................................................... 32.09
288..................................................... 33.24
289..................................................... 34.46
290..................................................... 35.42
291..................................................... 35.88
292..................................................... 36.03
293..................................................... 35.84
294..................................................... 35.65
295..................................................... 35.31
296..................................................... 35.19
297..................................................... 35.12
298..................................................... 35.12
299..................................................... 35.04
300..................................................... 35.08
301..................................................... 35.04
302..................................................... 35.34
303..................................................... 35.50
304..................................................... 35.77
305..................................................... 35.81
306..................................................... 35.92
307..................................................... 36.23
308..................................................... 36.42
309..................................................... 36.65
310..................................................... 36.26
311..................................................... 36.07
312..................................................... 35.84
313..................................................... 35.96
314..................................................... 36.00
315..................................................... 35.57
316..................................................... 35.00
317..................................................... 34.08
318..................................................... 33.39
319..................................................... 32.20
320..................................................... 30.32
321..................................................... 28.48
322..................................................... 26.95
323..................................................... 26.18
324..................................................... 25.38
325..................................................... 24.77
326..................................................... 23.46
327..................................................... 22.39
328..................................................... 20.97
329..................................................... 20.09
330..................................................... 18.90
331..................................................... 18.17
332..................................................... 16.48
333..................................................... 15.07
334..................................................... 12.23
335..................................................... 10.08
336..................................................... 7.71
337..................................................... 7.32
338..................................................... 8.63
339..................................................... 10.77
340..................................................... 12.65
341..................................................... 13.88
342..................................................... 15.03
343..................................................... 15.64
344..................................................... 16.99
345..................................................... 17.98
346..................................................... 19.13
347..................................................... 18.67
348..................................................... 18.25
349..................................................... 18.17

[[Page 365]]

350..................................................... 18.40
351..................................................... 19.63
352..................................................... 20.32
353..................................................... 21.43
354..................................................... 21.47
355..................................................... 21.97
356..................................................... 22.27
357..................................................... 22.69
358..................................................... 23.15
359..................................................... 23.69
360..................................................... 23.96
361..................................................... 24.27
362..................................................... 24.34
363..................................................... 24.50
364..................................................... 24.42
365..................................................... 24.38
366..................................................... 24.31
367..................................................... 24.23
368..................................................... 24.69
369..................................................... 25.11
370..................................................... 25.53
371..................................................... 25.38
372..................................................... 24.58
373..................................................... 23.77
374..................................................... 23.54
375..................................................... 23.50
376..................................................... 24.15
377..................................................... 24.30
378..................................................... 24.15
379..................................................... 23.19
380..................................................... 22.50
381..................................................... 21.93
382..................................................... 21.85
383..................................................... 21.55
384..................................................... 21.89
385..................................................... 21.97
386..................................................... 21.97
387..................................................... 22.01
388..................................................... 21.85
389..................................................... 21.62
390..................................................... 21.62
391..................................................... 22.01
392..................................................... 22.81
393..................................................... 23.54
394..................................................... 24.38
395..................................................... 24.80
396..................................................... 24.61
397..................................................... 23.12
398..................................................... 21.62
399..................................................... 19.90
400..................................................... 18.86
401..................................................... 17.79
402..................................................... 17.25
403..................................................... 16.91
404..................................................... 16.75
405..................................................... 16.75
406..................................................... 16.87
407..................................................... 16.37
408..................................................... 16.37
409..................................................... 16.49
410..................................................... 17.21
411..................................................... 17.41
412..................................................... 17.37
413..................................................... 16.87
414..................................................... 16.72
415..................................................... 16.22
416..................................................... 15.76
417..................................................... 14.72
418..................................................... 13.69
419..................................................... 12.00
420..................................................... 10.43
421..................................................... 8.71
422..................................................... 7.44
423..................................................... 5.71
424..................................................... 4.22
425..................................................... 2.30
426..................................................... 1.00
427..................................................... 0.00
428..................................................... 0.61
429..................................................... 1.19
430..................................................... 1.61
431..................................................... 1.53
432..................................................... 2.34
433..................................................... 4.29
434..................................................... 7.25
435..................................................... 10.20
436..................................................... 12.46
437..................................................... 14.53
438..................................................... 16.22
439..................................................... 17.87
440..................................................... 19.74
441..................................................... 21.01
442..................................................... 22.23
443..................................................... 22.62
444..................................................... 23.61
445..................................................... 24.88
446..................................................... 26.15
447..................................................... 26.99
448..................................................... 27.56
449..................................................... 28.18
450..................................................... 28.94
451..................................................... 29.83
452..................................................... 30.78
453..................................................... 31.82
454..................................................... 32.78
455..................................................... 33.24
456..................................................... 33.47
457..................................................... 33.31
458..................................................... 33.08
459..................................................... 32.78
460..................................................... 32.39
461..................................................... 32.13
462..................................................... 31.82
463..................................................... 31.55
464..................................................... 31.25
465..................................................... 30.94
466..................................................... 30.71
467..................................................... 30.56
468..................................................... 30.79
469..................................................... 31.13
470..................................................... 31.55
471..................................................... 31.51
472..................................................... 31.47
473..................................................... 31.44
474..................................................... 31.51
475..................................................... 31.59
476..................................................... 31.67
477..................................................... 32.01
478..................................................... 32.63
479..................................................... 33.39
480..................................................... 34.31
481..................................................... 34.81
482..................................................... 34.20
483..................................................... 32.39
484..................................................... 30.29
485..................................................... 28.56
486..................................................... 26.45
487..................................................... 24.79
488..................................................... 23.12
489..................................................... 20.73
490..................................................... 18.33
491..................................................... 15.72
492..................................................... 13.11
493..................................................... 10.47
494..................................................... 7.82
495..................................................... 5.70

[[Page 366]]

496..................................................... 3.57
497..................................................... 0.92
498..................................................... 0.00
499..................................................... 0.00
500..................................................... 0.00
501..................................................... 0.00
502..................................................... 0.00
503..................................................... 0.00
504..................................................... 0.00
505..................................................... 0.00
506..................................................... 0.00
507..................................................... 0.00
508..................................................... 0.00
509..................................................... 0.00
510..................................................... 0.00
511..................................................... 0.00
512..................................................... 0.00
513..................................................... 0.00
514..................................................... 0.00
515..................................................... 0.00
516..................................................... 0.00
517..................................................... 0.00
518..................................................... 0.00
519..................................................... 0.00
520..................................................... 0.00
521..................................................... 0.00
522..................................................... 0.50
523..................................................... 1.50
524..................................................... 3.00
525..................................................... 4.50
526..................................................... 5.80
527..................................................... 6.52
528..................................................... 6.75
529..................................................... 6.44
530..................................................... 6.17
531..................................................... 6.33
532..................................................... 6.71
533..................................................... 7.40
534..................................................... 7.67
535..................................................... 7.33
536..................................................... 6.71
537..................................................... 6.41
538..................................................... 6.60
539..................................................... 6.56
540..................................................... 5.94
541..................................................... 5.45
542..................................................... 5.87
543..................................................... 6.71
544..................................................... 7.56
545..................................................... 7.59
546..................................................... 7.63
547..................................................... 7.67
548..................................................... 7.67
549..................................................... 7.48
550..................................................... 7.29
551..................................................... 7.29
552..................................................... 7.40
553..................................................... 7.48
554..................................................... 7.52
555..................................................... 7.52
556..................................................... 7.48
557..................................................... 7.44
558..................................................... 7.28
559..................................................... 7.21
560..................................................... 7.09
561..................................................... 7.06
562..................................................... 7.29
563..................................................... 7.75
564..................................................... 8.55
565..................................................... 9.09
566..................................................... 10.04
567..................................................... 11.12
568..................................................... 12.46
569..................................................... 13.00
570..................................................... 14.26
571..................................................... 15.37
572..................................................... 17.02
573..................................................... 18.17
574..................................................... 19.21
575..................................................... 20.17
576..................................................... 20.66
577..................................................... 21.12
578..................................................... 21.43
579..................................................... 22.66
580..................................................... 23.92
581..................................................... 25.42
582..................................................... 25.53
583..................................................... 26.68
584..................................................... 28.14
585..................................................... 30.06
586..................................................... 30.94
587..................................................... 31.63
588..................................................... 32.36
589..................................................... 33.24
590..................................................... 33.66
591..................................................... 34.12
592..................................................... 35.92
593..................................................... 37.72
594..................................................... 39.26
595..................................................... 39.45
596..................................................... 39.83
597..................................................... 40.18
598..................................................... 40.48
599..................................................... 40.75
600..................................................... 41.02
601..................................................... 41.36
602..................................................... 41.79
603..................................................... 42.40
604..................................................... 42.82
605..................................................... 43.05
606..................................................... 43.09
607..................................................... 43.24
608..................................................... 43.59
609..................................................... 44.01
610..................................................... 44.35
611..................................................... 44.55
612..................................................... 44.82
613..................................................... 45.05
614..................................................... 45.31
615..................................................... 45.58
616..................................................... 46.00
617..................................................... 46.31
618..................................................... 46.54
619..................................................... 46.61
620..................................................... 46.92
621..................................................... 47.19
622..................................................... 47.46
623..................................................... 47.54
624..................................................... 47.54
625..................................................... 47.54
626..................................................... 47.50
627..................................................... 47.50
628..................................................... 47.50
629..................................................... 47.31
630..................................................... 47.04
631..................................................... 46.77
632..................................................... 45.54
633..................................................... 43.24
634..................................................... 41.52
635..................................................... 39.79
636..................................................... 38.07
637..................................................... 36.34
638..................................................... 34.04
639..................................................... 32.45
640..................................................... 30.86
641..................................................... 28.83

[[Page 367]]

642..................................................... 26.45
643..................................................... 24.27
644..................................................... 22.04
645..................................................... 19.82
646..................................................... 17.04
647..................................................... 14.26
648..................................................... 11.52
649..................................................... 8.78
650..................................................... 7.17
651..................................................... 5.56
652..................................................... 3.72
653..................................................... 3.38
654..................................................... 3.11
655..................................................... 2.58
656..................................................... 1.66
657..................................................... 0.67
658..................................................... 0.00
659..................................................... 0.00
660..................................................... 0.00
661..................................................... 0.00
662..................................................... 0.00
663..................................................... 0.00
664..................................................... 0.00
665..................................................... 0.00
666..................................................... 0.00
667..................................................... 0.00
668..................................................... 0.00
------------------------------------------------------------------------

Sec. Appendix II to Part 1037--Power Take-Off Test Cycle

----------------------------------------------------------------------------------------------------------------
Normalized Normalized
Cycle simulation Mode Start time of pressure, pressure,
mode circuit 1 (%) circuit 2 (%)
----------------------------------------------------------------------------------------------------------------
Utility......................................... 0 0 0.0 0.0
Utility......................................... 1 33 80.5 0.0
Utility......................................... 2 40 0.0 0.0
Utility......................................... 3 145 83.5 0.0
Utility......................................... 4 289 0.0 0.0
Refuse.......................................... 5 361 0.0 13.0
Refuse.......................................... 6 363 0.0 38.0
Refuse.......................................... 7 373 0.0 53.0
Refuse.......................................... 8 384 0.0 73.0
Refuse.......................................... 9 388 0.0 0.0
Refuse.......................................... 10 401 0.0 13.0
Refuse.......................................... 11 403 0.0 38.0
Refuse.......................................... 12 413 0.0 53.0
Refuse.......................................... 13 424 0.0 73.0
Refuse.......................................... 14 442 11.2 0.0
Refuse.......................................... 15 468 29.3 0.0
Refuse.......................................... 16 473 0.0 0.0
Refuse.......................................... 17 486 11.2 0.0
Refuse.......................................... 18 512 29.3 0.0
Refuse.......................................... 19 517 0.0 0.0
Refuse.......................................... 20 530 12.8 11.1
Refuse.......................................... 21 532 12.8 38.2
Refuse.......................................... 22 541 12.8 53.4
Refuse.......................................... 23 550 12.8 73.5
Refuse.......................................... 24 553 0.0 0.0
Refuse.......................................... 25 566 12.8 11.1
Refuse.......................................... 26 568 12.8 38.2
Refuse.......................................... 27 577 12.8 53.4
Refuse.......................................... 28 586 12.8 73.5
Refuse.......................................... 29 589 0.0 0.0
Refuse.......................................... 30 600 0.0 0.0
----------------------------------------------------------------------------------------------------------------

Sec. Appendix III to Part 1037--Emission Control Identifiers

This appendix identifies abbreviations for emission control
information labels, as required under Sec. 1037.135.

Vehicle Speed Limiters

--VSL--Vehicle speed limiter
--VSLS--``Soft-top'' vehicle speed limiter
--VSLE--Expiring vehicle speed limiter
--VSLD--Vehicle speed limiter with both ``soft-top'' and expiration

Idle Reduction Technology

--IRT5--Engine shutoff after 5 minutes or less of idling
--IRTE--Expiring engine shutoff

Tires

--LRRA--Low rolling resistance tires (all, including trailers)
--LRRD--Low rolling resistance tires (drive)
--LRRS--Low rolling resistance tires (steer)

Aerodynamic Components

--ATS--Aerodynamic side skirt and/or fuel tank fairing
--ARF--Aerodynamic roof fairing

[[Page 368]]

--ARFR--Adjustable height aerodynamic roof fairing
--TGR--Gap reducing tractor fairing (tractor to trailer gap)
--TGRT--Gap reducing trailer fairing (tractor to trailer gap)
--TATS--Trailer aerodynamic side skirt
--TARF--Trailer aerodynamic rear fairing
--TAUD--Trailer aerodynamic underbody device

Other Components

--ADVH--Vehicle includes advanced hybrid technology components
--ADVO--Vehicle includes other advanced-technology components (i.e.,
non-hybrid system)
--INV--Vehicle includes innovative (off-cycle) technology components
--ATI--Automatic tire inflation system
--TPMS--Tire pressure monitoring system
--WRTW--Weight-reducing trailer wheels
--WRTC--Weight-reducing trailer upper coupler plate
--WRTS--Weight-reducing trailer axle sub-frames
--WBSW--Wide-base single trailer tires with steel wheel
--WBAW--Wide-base single trailer tires with aluminum wheel
--WBLW--Wide-base single trailer tires with light-weight aluminum alloy
wheel
--DWSW--Dual-wide trailer tires with high-strength steel wheel
--DWAW--Dual-wide trailer tires with aluminum wheel
--DWLW--Dual-wide trailer tires with light-weight aluminum alloy wheel

[86 FR 34496, June 29, 2021]

Sec. Appendix IV to Part 1037--Heavy-Duty Grade Profile for Phase 2
Steady-State Test Cycles

The following table identifies a grade profile for operating
vehicles over the highway cruise cycles specified in subpart F of this
part. Determine intermediate values by linear interpolation.

[[Page 369]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.161

[[Page 370]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.162

[86 FR 34497, June 29, 2021]

Sec. Appendix V to Part 1037--Power Take-Off Utility Factors

------------------------------------------------------------------------
Utility factor
Time (min) fraction
------------------------------------------------------------------------
0....................................................... 0
10...................................................... 0.1
20...................................................... 0.18
30...................................................... 0.24
40...................................................... 0.31
50...................................................... 0.36
60...................................................... 0.4
70...................................................... 0.44
80...................................................... 0.47
90...................................................... 0.51
100..................................................... 0.54
110..................................................... 0.57
120..................................................... 0.6
130..................................................... 0.64
140..................................................... 0.66
150..................................................... 0.69
160..................................................... 0.71
170..................................................... 0.74
180..................................................... 0.76
190..................................................... 0.77
200..................................................... 0.79
210..................................................... 0.8
220..................................................... 0.82
230..................................................... 0.83
240..................................................... 0.85
250..................................................... 0.86
260..................................................... 0.87
270..................................................... 0.88
280..................................................... 0.88
290..................................................... 0.89
300..................................................... 0.9
310..................................................... 0.9
320..................................................... 0.91
330..................................................... 0.92
340..................................................... 0.93
350..................................................... 0.93
360..................................................... 0.94
370..................................................... 0.95
380..................................................... 0.95
390..................................................... 0.96
420..................................................... 0.96
430..................................................... 0.97
460..................................................... 0.97
470..................................................... 0.98
520..................................................... 0.98
530..................................................... 0.99
580..................................................... 0.99
590..................................................... 1
------------------------------------------------------------------------

PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-
IGNITION ENGINES--Table of Contents

Subpart A_Overview and Applicability

Sec.
1039.1 Does this part apply for my engines?
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this part's requirements?
1039.10 How is this part organized?
1039.15 Do any other regulation parts apply to me?
1039.20 What requirements from this part apply to excluded stationary
engines?
1039.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1039.101 What exhaust emission standards must my engines meet after the
2014 model year?
1039.102 What exhaust emission standards and phase-in allowances apply
for my engines in model year 2014 and earlier?
1039.104 Are there interim provisions that apply only for a limited
time?
1039.105 What smoke standards must my engines meet?
1039.107 What evaporative emission standards and requirements apply?
1039.110 Recording reductant use and other diagnostic functions.
1039.115 What other requirements apply?
1039.120 What emission-related warranty requirements apply to me?

[[Page 371]]

1039.125 What maintenance instructions must I give to buyers?
1039.130 What installation instructions must I give to equipment
manufacturers?
1039.135 How must I label and identify the engines I produce?
1039.140 What is my engine's maximum engine power?

Subpart C_Certifying Engine Families

1039.201 What are the general requirements for obtaining a certificate
of conformity?
1039.205 What must I include in my application?
1039.210 May I get preliminary approval before I complete my
application?
1039.220 How do I amend my maintenance instructions?
1039.225 How do I amend my application for certification?
1039.230 How do I select engine families?
1039.235 What testing requirements apply for certification?
1039.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1039.245 How do I determine deterioration factors from exhaust
durability testing?
1039.250 What records must I keep and what reports must I send to EPA?
1039.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D [Reserved]

Subpart E_In-use Testing

1039.401 General provisions.

Subpart F_Test Procedures

1039.501 How do I run a valid emission test?
1039.505 How do I test engines using steady-state duty cycles, including
ramped-modal testing?
1039.510 Which duty cycles do I use for transient testing?
1039.515 What are the test procedures related to not-to-exceed
standards?
1039.520 What testing must I perform to establish deterioration factors?
1039.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?

Subpart G_Special Compliance Provisions

1039.601 What compliance provisions apply?
1039.605 What provisions apply to engines certified under the motor-
vehicle program?
1039.610 What provisions apply to vehicles certified under the motor-
vehicle program?
1039.615 What special provisions apply to engines using noncommercial
fuels?
1039.620 What are the provisions for exempting engines used solely for
competition?
1039.625 What requirements apply under the program for equipment-
manufacturer flexibility?
1039.626 What special provisions apply to equipment imported under the
equipment-manufacturer flexibility program?
1039.627 What are the incentives for equipment manufacturers to use
cleaner engines?
1039.630 What are the economic hardship provisions for equipment
manufacturers?
1039.635 What are the hardship provisions for engine manufacturers?
1039.645 What special provisions apply to engines used for
transportation refrigeration units?
1039.650 [Reserved]
1039.655 What special provisions apply to engines sold in Guam, American
Samoa, or the Commonwealth of the Northern Mariana Islands?
1039.665 Special provisions for use of engines in emergency situations.
1039.670 Approval of an emergency equipment field modification (EEFM).
1039.699 Emission standards and certification requirements for auxiliary
power units for highway tractors.

Subpart H_Averaging, Banking, and Trading for Certification

1039.701 General provisions.
1039.705 How do I generate and calculate emission credits?
1039.710 How do I average emission credits?
1039.715 How do I bank emission credits?
1039.720 How do I trade emission credits?
1039.725 What must I include in my application for certification?
1039.730 What ABT reports must I send to EPA?
1039.735 What records must I keep?
1039.740 What restrictions apply for using emission credits?
1039.745 What can happen if I do not comply with the provisions of this
subpart?

Subpart I_Definitions and Other Reference Information

1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and abbreviations does this part use?
1039.815 What provisions apply to confidential information?
1039.820 How do I request a hearing?
1039.825 What reporting and recordkeeping requirements apply under this
part?

Appendix I to Part 1039--Summary of Previous Emission Standards
Appendix II to Part 1039--Steady-state Duty Cycles
Appendix III to Part 1039 [Reserved]
Appendix IV to Part 1039 [Reserved]

[[Page 372]]

Appendix V to Part 1039 [Reserved]
Appendix VI to Part 1039--Nonroad Compression-ignition Composite
Transient Cycle

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

Source: 69 FR 39213, June 29, 2004, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1039.1 Does this part apply for my engines?

(a) The regulations in this part 1039 apply for all new,
compression-ignition nonroad engines (defined in Sec. 1039.801), except
as provided in Sec. 1039.5.
(b) This part 1039 applies as follows:
(1) This part 1039 applies for all engines subject to the emission
standards specified in subpart B of this part starting with the model
years noted in the following table:

Table 1 of Sec. 1039.1--Part 1039 Applicability by Model Year
------------------------------------------------------------------------
Power category Model year
------------------------------------------------------------------------
kW <19..................................................... \1\ 2008
19 <=kW <56................................................ \2\ 2008
56 <=kW <130............................................... 2012
130 <=kW <=560............................................. 2011
kW 560.......................................... 2011
------------------------------------------------------------------------
\1\ As described in Sec. 1039.102, some engines below 19 kW may not be
subject to the emission standards in this part until the 2010 model
year.
\2\ As described in Sec. 1039.102, some engines in the 19-56 kW power
category may not be subject to the emission standards in this part
until the 2012 model year.

(2) If you use the provisions of Sec. 1039.104(a) to certify an
engine to the emission standards of this part before the model years
shown in Table 1 of this section, all the requirements of this part
apply for those engines.
(3) Engines originally meeting Tier 1, Tier 2, or Tier 3 standards
as specified in appendix I of this part remain subject to the standards
in subpart B of this part. This includes uncertified engines that meet
standards under 40 CFR 1068.265. Affected engines remain subject to
recall provisions as specified in 40 CFR part 1068, subpart F,
throughout the useful life corresponding to the original certification.
Also, tampering and defeat-device prohibitions continue to apply for
those engines as specified in 40 CFR 1068.101.
(4) This part 1039 applies for other compression-ignition engines as
follows:
(i) The provisions of paragraph (c) of this section and Sec.
1039.801 apply for stationary engines beginning January 1, 2006.
(ii) The provisions of Sec. 1039.620 and Sec. 1039.801 apply for
engines used solely for competition beginning January 1, 2006.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes
certain engines used in stationary applications. These engines may be
required by 40 CFR part 60, subpart IIII, to comply with some of the
provisions of this part; otherwise, these engines are only required to
comply with the requirements in Sec. 1039.20. In addition, the
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines
for nonstationary purposes unless they are certified to the same
standards that would apply to certain nonroad engines for the same model
year.
(d) In certain cases, the regulations in this part 1039 apply to
engines at or above 250 kW that would otherwise be covered by 40 CFR
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
71 FR 39184, July 11, 2006; 86 FR 34499, June 29, 2021]

Sec. 1039.2 Who is responsible for compliance?

The regulations in this part 1039 contain provisions that affect
both manufacturers and others. However, the requirements of this part
are generally addressed to the manufacturer. The term ``you'' generally
means the manufacturer, as defined in Sec. 1039.801, especially for
issues related to certification. Note that for engines that become new
after being placed into service (such as engines converted from highway
or stationary use), the requirements that normally apply for
manufacturers of freshly manufactured engines apply to the importer or
any other entity we allow to obtain a certificate of conformity.

[81 FR 74133, Oct. 25, 2016]

[[Page 373]]

Sec. 1039.5 Which engines are excluded from this part's requirements?

This part does not apply to certain nonroad engines, as follows:
(a) Locomotive engines. (1) The following locomotive engines are not
subject to the provisions of this part 1039:
(i) Engines in locomotives certified under 40 CFR part 1033.
(ii) Engines in locomotives that are exempt from the standards of 40
CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033 or
1068 (except for the provisions of 40 CFR 1033.150(e)).
(2) The following locomotive engines are subject to the provisions
of this part 1039:
(i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to
the provisions of 40 CFR 1033.150(e).
(ii) Locomotive engines excluded from the definition of locomotive
in 40 CFR 1033.901.
(iii) Locomotive engines produced under the provisions of 40 CFR
1033.625.
(b) Marine engines. (1) The following marine engines are not subject
to the provisions of this part 1039:
(i) Engines subject to the standards of 40 CFR part 94.
(ii) Engines not subject to the standards of 40 CFR part 94 only
because they were produced before the standards of 40 CFR part 94
started to apply.
(iii) Engines that are exempt from the standards of 40 CFR part 94
pursuant to the provisions of 40 CFR part 94 (except for the provisions
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under
40 CFR 94.906 because it is a manufacturer-owned engine is not subject
to the provisions of this part 1039.
(iv) Engines with rated power below 37 kW.
(v) Engines on foreign vessels.
(2) Marine engines are subject to the provisions of this part 1039
if they are exempt from 40 CFR part 94 based on the engine-dressing
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR
94.912.
(c) Mining engines. Engines used in underground mining or in
underground mining equipment and regulated by the Mining Safety and
Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75
are not subject to the provisions of this part 1039.
(d) Hobby engines. Engines installed in reduced-scale models of
vehicles that are not capable of transporting a person are not subject
to the provisions of this part 1039.
(e) Engines used in recreational vehicles. Engines certified to meet
the requirements of 40 CFR part 1051 are not subject to the provisions
of this part 1039.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
73 FR 59191, Oct. 8, 2008; 75 FR 22988, Apr. 30, 2010; 81 FR 74133, Oct.
25, 2016]

Sec. 1039.10 How is this part organized?

This part 1039 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1039
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 engines under this part.
Note that Sec. 1039.102 and Sec. 1039.104 discuss certain interim
requirements and compliance provisions that apply only for a limited
time.
(c) Subpart C of this part describes how to apply for a certificate
of conformity.
(d) [Reserved]
(e) Subpart E of this part describes general 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 and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment 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.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
72 FR 53129, Sept. 18, 2007]

[[Page 374]]

Sec. 1039.15 Do any other regulation parts apply to me?

(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1039 describes how to apply the provisions of part 1065
of this chapter to determine whether engines 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, imports, installs,
owns, operates, or rebuilds any of the engines subject to this part
1039, or equipment containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment 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) Defect reporting and recall.
(7) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22988, Apr. 30, 2010]

Sec. 1039.20 What requirements from this part apply to excluded
stationary engines?

The provisions of this section apply for engines built on or after
January 1, 2006.
(a) You must add a permanent label or tag to each new engine you
produce or import that is excluded under Sec. 1039.1(c) as a stationary
engine and is not required by 40 CFR part 60, subpart IIII, to meet the
requirements described in this part, or the requirements described in 40
CFR part 1042, that are equivalent to the requirements applicable to
marine or land-based nonroad engines for the same model year. To meet
labeling requirements, you must do the following things:
(1) Attach the label or tag in one piece so no one can remove it
without destroying or defacing it.
(2) Secure it to a part of the engine needed for normal operation
and not normally requiring replacement.
(3) Make sure it is durable and readable for the engine's entire
life.
(4) Write it in English.
(5) Follow the requirements in Sec. 1039.135(g) regarding duplicate
labels if the engine label is obscured in the final installation.
(b) Engine labels or tags required under this section must have the
following information:
(1) Include the heading ``EMISSION CONTROL INFORMATION.''
(2) Include your full corporate name and trademark.
(3) State the engine displacement (in liters) and maximum engine
power (or in the case of fire pumps, NFPA nameplate engine power).
(4) State: ``THIS ENGINE IS EXEMPTED FROM NONROAD CERTIFICATION
REQUIREMENTS AS A ``STATIONARY ENGINE.'' INSTALLING OR USING THIS ENGINE
IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTY.''
(c) Stationary engines required by 40 CFR part 60, subpart IIII, to
meet the requirements described in this part or 40 CFR part 1042, must
meet the labeling requirements of 40 CFR 60.4210.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006;
76 FR 37977, June 28, 2011; 86 FR 34499, June 29, 2021]

Sec. 1039.30 Submission of information.

Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1039.801). See
Sec. 1039.825 for additional reporting and recordkeeping provisions.

[81 FR 74133, Oct. 25, 2016]

Subpart B_Emission Standards and Related Requirements

Sec. 1039.101 What exhaust emission standards must my engines meet after
the 2014 model year?

The exhaust emission standards of this section apply after the 2014
model year. Certain standards in this section also apply for model year
2014 and earlier. This section presents the full set

[[Page 375]]

of emission standards that apply after all the transition and phase-in
provisions of Sec. Sec. 1039.102 and 1039.104 expire. Section 1039.105
specifies smoke standards.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Table 1 of this section. Measure emissions using the
applicable transient test procedures described in subpart F of this
part. The following engines are not subject to the transient standards
in this paragraph (a):
(1) Engines above 560 kW.
(2) Constant-speed engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Table 1 of this section. Measure emissions using
the applicable steady-state test procedures described in subpart F of
this part.

[[Page 376]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.163

(c) Optional PM standard for engines below 8 kW. You may certify
hand-startable, air-cooled, direct injection engines below 8 kW to an
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable
generally refers to engines that are started using a hand crank or pull
cord. This PM standard

[[Page 377]]

applies to both steady-state and transient testing, as described in
paragraphs (a) and (b) of this section. Engines certified under this
paragraph (c) may not be used to generate PM or NOX + NMHC
emission credits under the provisions of subpart H of this part. These
engines may use PM or NOX + NMHC emission credits, subject to
the FEL caps in paragraph (d)(1) of this section.
(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. This 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. The FELs determine the not-to-exceed standards for your engine
family, as specified in paragraph (e) of this section.
(1) Primary FEL caps. The FEL may not be higher than the limits in
Table 2 of this section, except as allowed by paragraph (d)(2) of this
section or by Sec. 1039.102:

Table 2 of Sec. 1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
Maximum engine power Application PM NOX NOX + NMHC
----------------------------------------------------------------------------------------------------------------
kW <19.................................... All.......................... 0.80 ........... \1\ 9.5
19 <=kW <56............................... All.......................... 0.05 ........... 7.5
56 <=kW <130.............................. All.......................... 0.04 0.80 ...........
130 <=kW <=560............................ All.......................... 0.04 0.80 ...........
kW 560......................... Generator sets............... 0.05 1.07 ...........
All except generator sets.... 0.07 6.2 ...........
----------------------------------------------------------------------------------------------------------------
\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX + NMHC emissions.

(2) Alternate FEL caps. For a given power category, you may use the
alternate FEL caps shown in Table 3 of this section instead of the FEL
caps identified in paragraph (d)(1) of this section for up to 5 percent
of your U.S.-directed production volume in a given model year.

Table 3 of Sec. 1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
Starting
Maximum engine power model year PM FEL cap NOX FEL cap
\1\
------------------------------------------------------------------------
19 <=kW <56...................... \2\ 2016 0.30 ...........
56 <=kW <130..................... 2016 \3\ 0.30 \3\ 3.8
130 <=kW <=560................... 2015 0.20 3.8
kW 560................ 2019 0.10 \4\ 3.5
------------------------------------------------------------------------
\1\ See Sec. 1039.104(g) for alternate FEL caps that apply in earlier
model years.
\2\ For manufacturers certifying engines under Option 1 of Table 3 of
Sec. 1039.102, these alternate FEL caps apply starting with the 2017
model year.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM
emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps
is limited to generator-set engines. For example, if you produce 1,000
generator-set engines above 560 kW in a given model year, up to 50 of
them may be certified to the alternate NOX FEL caps.

(e) Not-to-exceed standards. Exhaust emissions from your engines may
not exceed the applicable not-to-exceed (NTE) standards in this
paragraph (e).
(1) Measure emissions using the procedures described in subpart F of
this part.
(2) Except as noted in paragraph (e)(7) of this section, the NTE
standard, rounded to the same number of decimal places as the applicable
standard in Table 1 of this section, is determined from the following
equation:

NTE standard for each pollutant = (STD) x (M)

Where:

STD = The standard specified for that pollutant in Table 1 of this
section (or paragraph (c) of this section) if you certify
without using ABT for that pollutant; or

[[Page 378]]

the FEL for that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph
(e)(3) of this section.

(3) The NTE multiplier for each pollutant is 1.25, except in the
following cases:

------------------------------------------------------------------------
If . . . Or . . . Then . . .
------------------------------------------------------------------------
(i) The engine family is The engine family The multiplier for
certified to a NOX standard is certified to a NOX, NMHC, and
less than 2.50 g/kW-hr without NOX FEL less than NOX + NMHC is
using ABT. 2.50 g/kW-hr or a 1.50.
NOX + NMHC FEL
less than 2.70 g/
kW-hr.
(ii) The engine family is The engine family The multiplier for
certified to a PM standard is certified to a PM is 1.50.
less than 0.07 g/kW-hr without PM FEL less than
using ABT. 0.07 g/kW-hr.
------------------------------------------------------------------------

(4) There are two sets of specifications of ambient operating
regions that will apply for all NTE testing of engines in an engine
family. You must choose one set for each engine family and must identify
your choice of ambient operating regions in each application for
certification for an engine family. You may choose separately for each
engine family. Choose one of the following ambient operating regions:
(i) All altitudes less than or equal to 5,500 feet above sea level
during all ambient temperature and humidity conditions.
(ii) All altitudes less than or equal to 5,500 feet above sea level,
for temperatures less than or equal to the temperature determined by the
following equation at the specified altitude:

T = -0.00254 x A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below
sea level).

(5) Temperature and humidity ranges for which correction factors are
allowed are specified in 40 CFR 86.1370-2007(e).
(i) If you choose the ambient operating region specified in
paragraph (e)(4)(i) of this section, the temperature and humidity ranges
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
(ii) If you choose the ambient operating region specified in
paragraph (e)(4)(ii) of this section, the temperature and humidity
ranges for which correction factors are allowed are defined in 40 CFR
86.1370-2007(e)(2).
(6) For engines equipped with exhaust-gas recirculation, the NTE
standards of this section do not apply during the cold operating
conditions specified in 40 CFR 86.1370-2007(f).
(7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
(f) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the engine
family are designed to operate, except for engines certified under Sec.
1039.615. For engines certified under Sec. 1039.615, the standards of
this section apply to emissions measured using the specified test fuel.
You must meet the numerical emission standards for NMHC in this section
based on the following types of hydrocarbon emissions for engines
powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Gaseous-fueled engines: Nonmethane-nonethane hydrocarbon
emissions.
(3) Other engines: NMHC emissions.
(g) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (e) of this section over their full
useful life.
(1) The useful life values are shown in the following table, except
as allowed by paragraph (g)(2) of this section:

Table 4 of Sec. 1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
And its maximum power And its rated speed is Then its useful life is
If your engine is certified as . . . is . . . . . . . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed. kW <19................. Any Speed.............. 3,000 hours or five
years, whichever comes
first.

[[Page 379]]

(ii) Constant speed.................. 19 <=kW <37............ 3,000 rpm or higher.... 3,000 hours or five
years, whichever comes
first.
(iii) Constant speed................. 19 <=kW <37............ Less than 3,000 rpm.... 5,000 hours or seven
years, whichever comes
first.
(iv) Variable........................ 19 <=kW <37............ Any Speed.............. 5,000 hours or seven
years, whichever comes
first.
(v) Variable speed or constant speed. kW =37...... Any speed.............. 8,000 hours or ten
years, whichever comes
first.
----------------------------------------------------------------------------------------------------------------

(2) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have 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. The useful life value may not be
shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, selective
enforcement audits, and in-use testing. For selective enforcement
audits, we will require you to perform duty-cycle testing as specified
in Sec. Sec. 1039.505 and 1039.510. The NTE standards of this section
apply for those tests. We will not direct you to do additional testing
under a selective enforcement audit to show that your engines meet the
NTE standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
81 FR 74133, Oct. 25, 2016; 86 FR 34499, June 29, 2021]

Sec. 1039.102 What exhaust emission standards and phase-in allowances
apply for my engines in model year 2014 and earlier?

The exhaust emission standards of this section apply for 2014 and
earlier model years. See Sec. 1039.101 for exhaust emission standards
that apply to later model years.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Tables 1 through 6 of this section. Measure emissions using
the applicable transient test procedures described in subpart F of this
part. See paragraph (c) of this section for a description of provisions
related to the phase-in and phase-out standards shown in Tables 4
through 6 of this section. The emission standards for transient testing
are limited for certain engines, as follows:
(1) The transient standards in this section do not apply for the
following engines:
(i) Engines below 37 kW for model years before 2013.
(ii) Engines certified under Option 1 of Table 3 of this section.
These are the small-volume manufacturer engines certified to the Option
1 standards for model years 2008 through 2015 under Sec. 1039.104(c),
and other engines certified to the Option 1 standards for model years
2008 through 2012.
(iii) Engines certified to an alternate FEL during the first four
years of the Tier 4 standards for the applicable power category, as
allowed in Sec. 1039.104(g). However, you may certify

[[Page 380]]

these engines to the transient standards in this section to avoid using
temporary compliance adjustment factors, as described in Sec.
1039.104(g)(2). Note that in some cases this four-year period extends
into the time covered by the standards in Sec. 1039.101.
(iv) Constant-speed engines.
(v) Engines above 560 kW.
(2) The transient standards in this section for gaseous pollutants
do not apply to phase-out engines that you certify to the same numerical
standards (and FELs if the engines are certified using ABT) for gaseous
pollutants as you certified under the Tier 3 requirements identified in
appendix I of this part. However, except as specified by paragraph
(a)(1) of this section, the transient PM emission standards apply to
these engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Tables 1 through 7 of this section. Measure
emissions using the applicable steady-state test procedures described in
subpart F of this part. See paragraph (c) of this section for a
description of provisions related to the phase-in and phase-out
standards shown in Tables 4 through 6 of this section.

[[Page 381]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.164

[[Page 382]]

Table 2 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/
kW-hr): 19 <=kW <37
------------------------------------------------------------------------
Model years PM NOX + NMHC CO
------------------------------------------------------------------------
2008-2012........................ 0.30 7.5 5.5
2013-2014........................ 0.03 4.7 5.5
------------------------------------------------------------------------

[GRAPHIC] [TIFF OMITTED] TR29JN21.165

[[Page 383]]

Table 4 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <=kW <75
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
2012-2013.................... Phase-in........ 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------
Phase-out....... 0.02 ........... ........... 4.7 5.0
----------------------------------------------------------------------------------------------------------------
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.

Table 5 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <=kW <130
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
2012-2013.................... Phase-in........ 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------
Phase-out....... 0.02 ........... ........... 4.0 5.0
----------------------------------------------------------------------------------------------------------------
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.

[GRAPHIC] [TIFF OMITTED] TR29JN21.166

Table 7 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW 560
----------------------------------------------------------------------------------------------------------------
Maximum engine
Model years power Application PM NOX NMHC CO
----------------------------------------------------------------------------------------------------------------
2011-2014....................... 560 900. Generator sets.... 0.10 0.67 0.40 3.5
-----------------------------------------------------------
All except 0.10 3.5 0.40 3.5
generator sets.
----------------------------------------------------------------------------------------------------------------

(c) Phase-in requirements. The following phase-in provisions apply
for engines in 56-560 kW power categories meeting the interim Tier 4
standards in paragraphs (a) and (b) of this section:
(1) For each model year before 2014 noted in Tables 4 through 6 of
this section, you must certify engine families representing at least 50
percent of your U.S.-directed production volume for each power category
to the applicable phase-in standards, except as allowed by paragraph
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the
phase-in standards must be certified to the corresponding phase-out
standards.
(2) Engines certified to the phase-out standards in Tables 4 through
6 of this section must comply with all other requirements that apply to
Tier 4 engines, except as otherwise specified in this section.
(3) At the time of certification, show how you intend to meet the
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production
volume fails to meet the phase-in requirements for a given model year,
you must make up the shortfall (in terms of number of engines) by the
end of the model year representing the final year of the phase-in
period. For example, if you plan in good faith to produce 50 percent of
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000
engines) in 2012 in compliance with the Tier 4 phase-in standards for
NOX and NMHC in Table 4 of this section, but produce 4,500
such engines of an actual 10,000

[[Page 384]]

engines, you must produce 500 engines in model year 2013 (i.e., the
final year of the phase-in for this power category) that meet the Tier 4
phase-in standards above and beyond the production otherwise needed to
meet the 50-percent phase-in requirement for model year 2013. If any
shortfall exceeds the applicable limit of paragraph (c)(3)(i) or (ii) of
this section, that number of phase-out engines will be considered not
covered by a certificate of conformity and in violation of Sec.
1068.101(a)(1). The shortfall allowed by this paragraph (c)(3) may not
exceed a certain number of engines, as follows:
(i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model
years prior to the final year of the phase-in, 5 percent of your actual
U.S.-directed production volume for that power category in that model
year.
(ii) For all other engine families, for model years prior to the
final year of the phase-in, 25 percent of your actual U.S.-directed
production volume for that power category in that model year.
(iii) No shortfall is allowed in the final year of the phase-in.
(4) Engines you introduce into commerce beyond the limits described
in paragraphs (c)(3) of this section will be considered not covered by a
certificate of conformity and in violation of Sec. 1068.101(a)(1).
(5) For the purposes of this part, the term ``phase-in'' means
relating to a standard that is identified in this section as a phase-in
standard and the term ``phase-out'' means relating to a standard that is
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr
NOX + NMHC standard in Table 6 of Sec. 1039.102 is a phase-
out engine.
(d) Banked credits and alternate phase-in for 56-130 kW engines. For
engines in the 56-130 kW power category, you may use only one of the
following additional provisions:
(1) For model years 2012 through 2014, you may use banked
NOX + NMHC credits from any Tier 2 engine at or above 37 kW
certified under the standards identified in appendix I of this part to
meet the NOX phase-in standards or the NOX + NMHC
phase-out standards under paragraphs (b) and (c) of this section,
subject to the additional ABT provisions in Sec. 1039.740.
(2) Instead of meeting the phase-in requirements of paragraph (c)(1)
of this section, you may certify engine families representing at least
25 percent of your U.S.-directed production volume for each model year
from 2012 through 2014 to the applicable phase-in standards in Tables 4
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of
this section. Any engines not certified to the phase-in standards must
be certified to the corresponding phase-out standards. Engines certified
under this paragraph (d)(2) may generate NOX emission credits
only for averaging within the same power category during the same model
year. For engines certified under this paragraph (d)(2), the 2014 model
year may not extend beyond December 30, 2014.
(e) Alternate NOX standards. For engines in 56-560 kW power
categories during the phase-in of Tier 4 standards, you may certify
engine families to the alternate NOX or NOX + NMHC
standards in this paragraph (e) instead of the phase-in and phase-out
NOX and NOX + NMHC standards described in Tables 4
through 6 of this section. Engines certified to an alternate
NOX standard under this section must be certified to an NMHC
standard of 0.19 g/kW-hr. Do not include engine families certified under
this paragraph (e) in determining whether you comply with the percentage
phase-in requirements of paragraphs (c) and (d)(2) of this section.
Except for the provisions for alternate FEL caps in Sec. 1039.104(g),
the NOX and NOX + NMHC standards and FEL caps
under this paragraph (e) are as follows:
(1) For engines in the 56-130 kW power category, apply the following
alternate NOX standards and FEL caps:
(i) If you use the provisions of paragraph (d)(1) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013.
Engines certified to this standard may not exceed a NOX FEL
cap of 3.0 g/kW-hr.

[[Page 385]]

(ii) If you use the provisions of paragraph (d)(2) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014.
Engines below 75 kW certified to this standard may not exceed a
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW
certified to this standard may not exceed a NOX FEL cap of
3.8 g/kW-hr.
(iii) If you do not use the provisions of paragraph (d) of this
section, you may apply the alternate NOX standard and the
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this
section.
(2) For engines in the 130-560 kW power category, the alternate
NOX standard is 2.0 g/kW-hr for model years 2011 through
2013. Engines certified to this standard may not exceed a NOX
FEL cap of 2.7 g/kW-hr.
(3) You use NOX + NMHC emission credits to certify an
engine family to the alternate NOX + NMHC standards in this
paragraph (e)(3) instead of the otherwise applicable alternate
NOX and NMHC standards. Calculate the alternate
NOX + NMHC standard by adding 0.1 g/kW-hr to the numerical
value of the applicable alternate NOX standard of paragraph
(e)(1) or (2) of this section. Engines certified to the NOX +
NMHC standards of this paragraph (e)(3) may not generate emission
credits. The FEL caps for engine families certified under this paragraph
(e)(3) are the previously applicable NOX + NMHC standards
identified in appendix I of this part (generally the Tier 3 standards).
(f) Split families. For generating or using credits for engines in
56-560 kW power categories during the phase-in of Tier 4 standards, you
may split an engine family into two subfamilies (for example, one that
uses credits and one that generates credits for the same pollutant).
(1) Identify any split engine families in your application for
certification. Your engines must comply with all the standards and
requirements applicable to Tier 4 engines, except as noted in this
paragraph (f). You may calculate emission credits relative to different
emission standards (i.e., phase-in and phase-out standards) for
different sets of engines within the engine family, but the engine
family must be certified to a single set of standards and FELs. To
calculate NOX + NMHC emission credits, add the NOX
FEL to the NMHC phase-in standard for comparison with the applicable
NOX + NMHC phase-out standard. Any engine family certified
under this paragraph (f) must meet the applicable phase-in standard for
NMHC. You may assign the number and configurations of engines within the
respective subfamilies any time before the due date for the final report
required in Sec. 1039.730. Apply the same label to each engine in the
family, including the NOX FEL to which it is certified.
(2) For example, a 10,000-unit engine family in the 75-130 kW power
category may be certified to meet the standards for PM, NMHC, and CO
that apply to phase-in engines, with a 0.8 g/kW-hr FEL for
NOX. When compared to the phase-out NOX + NMHC
standard, this engine family would generate positive NOX +
NMHC emission credits. When compared to the phase-in NOX
standard, this engine family would generate negative NOX
emission credits. You could create a subfamily with 2,500 engines (one-
quarter of the 10,000 engines) and identify them as phase-in engines.
You would count these 2,500, with their negative NOX credits,
in determining compliance with the 50-percent phase-in requirement in
paragraph (c)(1) of this section. You would calculate negative credits
relative to the 0.40 g/kW-hr NOX standard for these 2,500
engines. You would identify the other 7,500 engines in the family as
phase-out engines and calculate positive credits relative to the 4.0 g/
kW-hr NOX + NMHC standard.
(g) Other provisions. The provisions of Sec. 1039.101(d) through
(h) apply with respect to the standards of this section, with the
following exceptions and special provisions:
(1) NTE standards. Use the provisions of Sec. 1039.101(e)(3) to
calculate and apply the NTE standards, but base these calculated values
on the applicable standards in this section or the applicable FEL,
instead of the standards in Table 1 of Sec. 1039.101. All other
provisions of Sec. 1039.101(e) apply under this paragraph (g)(1). The
NTE standards do not apply

[[Page 386]]

for certain engines and certain pollutants, as follows:
(i) All engines below 37 kW for model years before 2013.
(ii) All engines certified under Option 1 of Table 3 of this
section. These are small-volume manufacturer engines certified to the
Option 1 standards for model years 2008 through 2015 under Sec.
1039.104(c), and other engines certified to the Option 1 standards for
model years 2008 through 2012.
(iii) All engines less than or equal to 560 kW that are certified to
an FEL under the alternate FEL program during the first four years of
the Tier 4 standards for the applicable power category, as described in
Sec. 1039.104(g). However, if you apply to meet transient emission
standards for these engines under Sec. 1039.102(a)(1)(iii), you must
also meet the NTE standards in this paragraph (g)(1).
(iv) Gaseous pollutants for phase-out engines that you certify to
the same numerical standards and FELs for gaseous pollutants to which
you certified under the Tier 3 requirements identified in appendix I of
this part. However, the NTE standards for PM apply to these engines.
(2) Interim FEL caps. As described in Sec. 1039.101(d), you may
participate in the ABT program in subpart H of this part by certifying
engines to FELs for PM, NOX, or NOX + NMHC instead
of the standards in Tables 1 through 7 of this section for the model
years shown. The FEL caps listed in the following table apply instead of
the FEL caps in Sec. 1039.101(d)(1), except as allowed by Sec.
1039.104(g):

[[Page 387]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.167

(3) Crankcase emissions. The crankcase emission requirements of
Sec. 1039.115(a) do not apply to engines using charge-air compression
that are certified to an FEL under the alternate FEL program in Sec.
1039.104(g) during the first four years of the Tier 4 standards for the
applicable power category.

[[Page 388]]

(4) Special provisions for 37-56 kW engines. For engines at or above
37 kW and below 56 kW from model years 2008 through 2012, you must add
information to the emission-related installation instructions to clarify
the equipment manufacturer's obligations under Sec. 1039.104(f).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007;
73 FR 59191, Oct. 8, 2008; 75 FR 68461, Nov. 8, 2010; 81 FR 74033, Oct.
25, 2016; 86 FR 34500, June 29, 2021]

Sec. 1039.104 Are there interim provisions that apply only for a
limited time?

The provisions in this section apply instead of other provisions in
this part. This section describes when these interim provisions apply.
(a) Incentives for early introduction. This paragraph (a) allows you
to reduce the number of engines subject to the applicable standards in
Sec. 1039.101 or Sec. 1039.102, when some of your engines are
certified to the specified levels earlier than otherwise required. The
engines that are certified early are considered offset-generating
engines. The provisions of this paragraph (a), which describe the
requirements applicable to offset-generating engines, apply beginning in
model year 2007. These offset generating engines may generate additional
allowances for equipment manufacturers under the incentive program
described in Sec. 1039.627; you may instead use these offsets under
paragraph (a)(2) of this section in some cases.
(1) For early-compliant engines to generate offsets for use either
under this paragraph (a) or under Sec. 1039.627, you must meet the
following general provisions:
(i) You may not generate offsets from engines below 19 kW.
(ii) You must begin actual production of engines covered by the
corresponding certificate by the following dates:
(A) For engines at or above 19 kW and below 37 kW: September 1,
2012.
(B) For engines at or above 37 kW and below 56 kW: September 1, 2012
if you choose Option 1 in Table 3 of Sec. 1039.102, or September 1,
2011 if you do not choose Option 1 in Table 3 of Sec. 1039.102.
(C) For engines in the 56-130 kW power category: September 1, 2011.
(D) For engines in the 130-560 kW power category: September 1, 2010.
(E) For engines above 560 kW: September 1, 2014.
(iii) Engines you produce after December 31 of the year shown in
paragraph (a)(1)(ii) of this section may not generate offsets.
(iv) You may not use ABT credits to certify offset-generating
engines.
(v) Offset-generating engines must be certified to the Tier 4
standards and requirements under this part 1039.
(2) If equipment manufacturers decline offsets for your offset-
generating engines under Sec. 1039.627, you may not generate ABT
credits with these engines, but you may reduce the number of engines
that are required to meet the standards in Sec. 1039.101 or Sec.
1039.102 as follows:

----------------------------------------------------------------------------------------------------------------
You may reduce the
That are number of engines
With maximum certified to the in the same power
For every . . . engine power . . applicable category that are In later model years
. standards in . . required to meet by . . .
. the . . .

----------------------------------------------------------------------------------------------------------------
(i) 2 engines................. 19 <=kW <37...... Table 2 of Sec. PM standard in 3 engines.
1039.102 \1\. Table 2 of Sec.
1039.102
applicable to
model year 2013
or 2014 engines
or the PM
standard in Table
1 of Sec.
1039.101.
(ii) 2 engines................ 56 <=kW <=560.... Table 4, 5, or 6 Phase-out 3 engines.
of Sec. standards in
1039.102 for Tables 4 through
Phase-out 6 of Sec.
engines. 1039.102.
(iii) 2 engines............... kW =19 Table 1 of Sec. Standards in 3 engines. \2\
1039.101. Tables 2 through
7 of Sec.
1039.102 or
standards in
Table 1 of Sec.
1039.101.
(iv) 1 engine................. kW =19 Table 1 of Sec. Standards in 2 engines. \2\
1039.101 + 0.20 Tables 2 through
g/kW-hr NOX 7 of Sec.
standard. 1039.102 or
standards in
Table 1 of Sec.
1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX + NMHC
and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
Offsets from engines for other applications may be used only for other applications besides generator sets.

[[Page 389]]

(3) Example: If you produce 100 engines in the 56-130 kW power
category in model year 2008 that are certified to the 56-130 kW
standards listed in Sec. 1039.101, and you produced 10,000 engines in
this power category in model year 2015, then only 9,850 of these model
year 2015 engines would need to comply with the standards listed in
Sec. 1039.101. The 100 offset-generating engines in model year 2008
could not use or generate ABT credits.
(4) Offset-using engines (that is, those not required to certify to
the standards of Sec. 1039.101 or Sec. 1039.102 under paragraph (a)(2)
of this section) are subject to the following provisions:
(i) If the offset is being used under paragraph (a)(2)(i) of this
section for an engine that would otherwise be certified to the model
year 2013 or 2014 standards in Table 2 of Sec. 1039.102 or the
standards in Table 1 of Sec. 1039.101, this engine must be certified to
the standards and requirements of this part 1039, except that the only
PM standard that applies is the steady-state PM standard that applies
for model year 2012. Such an engine may not generate ABT credits.
(ii) If the offset is being used under paragraph (a)(2)(ii) of this
section for an engine that would otherwise be certified to the phase-out
standards in Tables 4 through 6 of Sec. 1039.102, this engine must be
certified to the standards and requirements of this part 1039, except
that the PM standard is the Tier 3 PM standard that applies for this
engine's maximum power. Such an engine will be treated as a phase-out
engine for purposes of determining compliance with percentage phase-in
requirements. Such an engine may not generate ABT credits.
(iii) All other offset-using engines must meet the standards and
other provisions that apply in model year 2011 for engines in the 19-130
kW power categories, in model year 2010 for engines in the 130-560 kW
power category, or in model year 2014 for engines above 560 kW. Show
that engines meet these emission standards by meeting all the
requirements of Sec. 1068.265. You must meet the labeling requirements
in Sec. 1039.135, but add the following statement instead of the
compliance statement in Sec. 1039.135(c)(12): ``THIS ENGINE MEETS U.S.
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories
with a percentage phase-in, these engines should be treated as phase-in
engines for purposes of determining compliance with phase-in
requirements.
(5) If an equipment manufacturer claims offsets from your engine for
use under Sec. 1039.627, the engine generating the offset must comply
with the requirements of paragraph (a)(1) of this section. You may not
generate offsets for use under paragraphs (a)(2) and (5) of this section
for these engines. You may generate ABT credits from these engines as
follows:
(i) To generate emission credits for NOX, NOX
+ NMHC, and PM, the engine must be certified to FELs at or below the
standards in paragraph (a)(2) of this section.
(ii) Calculate credits according to Sec. 1039.705 but use as the
applicable standard the numerical value of the standard to which the
engine would have otherwise been subject if it had not been certified
under this paragraph (a).
(iii) For the production volume, use the number of engines certified
under this paragraph (a) for which you do not claim offsets under
paragraph (a)(2) of this section.
(6) You may include engines used to generate offsets under this
paragraph (a) and engines used to generate offsets under Sec. 1039.627
in the same engine family, subject to the provisions of Sec. 1039.230.
The engine must be certified to FELs, as specified in paragraph
(a)(5)(i) of this section. The FELs must be below the standard levels
specified in paragraph (a)(2) of this section and those specified in
Sec. 1039.627. In the reports required in Sec. 1039.730, include the
following information for each model year:
(i) The total number of engines that generate offsets under this
paragraph (a).
(ii) The number of engines used to generate offsets under paragraph
(a)(2) of this section.
(iii) The names of equipment manufacturers that intend to use your
offsets under Sec. 1039.627 and the number of offsets involved for each
equipment manufacturer.

[[Page 390]]

(b) In-use compliance limits. For purposes of determining compliance
after title or custody has transferred to the ultimate purchaser,
calculate the applicable in-use compliance limits by adjusting the
applicable standards or FELs. This applies only for engines at or above
19 kW. The NOX adjustment applies only for engines with a
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies
only for engines with a PM FEL no higher than the PM standard in Sec.
1039.101 for the appropriate power category. Add the following
adjustments to the otherwise applicable standards or FELs (steady-state,
transient, and NTE) for NOX and PM:

----------------------------------------------------------------------------------------------------------------
The PM
If your engine's maximum The NOX adjustment in g/kW- adjustment in
In model years . . . power is . . . hr is . . . g/kW-hr is . .
.
----------------------------------------------------------------------------------------------------------------
2013-2014............................ 19 <=kW <56................ not allowed................. 0.01
2012-2016............................ 56 <=kW <130............... 0.16 for operating hours 0.01
<=2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2015............................ 130 <=kW <560.............. 0.16 for operating hours 0.01
<=2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2016............................ kW 560.......... 0.16 for operating hours 0.01
<=2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
----------------------------------------------------------------------------------------------------------------

(c) Provisions for small-volume manufacturers. Special provisions
apply if you are a small-volume engine manufacturer subject to the
requirements of this part. You must notify us in writing before January
1, 2008 if you intend to use these provisions.
(1) You may delay complying with certain otherwise applicable Tier 4
emission standards and requirements as described in the following table:

----------------------------------------------------------------------------------------------------------------
Until model
If your engine's maximum power is . . You may delay meeting . . . year . . . Before that model year the
. engine must comply with . . .
----------------------------------------------------------------------------------------------------------------
(i) kW <19........................... The standards and 2011 The standards and
requirements of this part. requirements described in
appendix I of this part.
(ii) 19 <=kW <37..................... The Tier 4 standards and 2016 The Tier 4 standards and
requirements of this part requirements that apply for
that would otherwise be model year 2008.
applicable in model year
2013.
--------------------------------------------------------------------------
(iii) 37 <=kW <56.................... See paragraph (c)(2) of this section for special provisions that apply
for engines in this power category.
--------------------------------------------------------------------------
(iv) 56 <=kW <130.................... The standards and 2015 The standards and
requirements of this part. requirements described in
appendix I of this part.
----------------------------------------------------------------------------------------------------------------

(2) To use the provisions of this paragraph (c) for engines at or
above 37 kW and below 56 kW, choose one of the following:
(i) If you comply with the 0.30 g/kW-hr PM standard in Sec.
1039.102 in all model years from 2008 through 2012 without using PM
credits, you may continue meeting that standard through 2015.
(ii) If you do not choose to comply with paragraph (c)(2)(i) of this
section, you may continue to comply with the standards and requirements
described in appendix I of this part for model years through 2012, but
you must begin complying in 2013 with Tier 4 standards and requirements
specified in Table 3 of Sec. 1039.102 for model years 2013 and later.
(3) After the delays indicated in paragraph (c)(1) and (2) of this
section, you must comply with the same Tier 4 standards and requirements
as all other manufacturers.
(4) For engines not in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c), you must do all
the following things for the model years when

[[Page 391]]

you are delaying compliance with the otherwise applicable standards:
(i) Produce engines that meet all the emission standards identified
in appendix I of this part and other requirements in this part
applicable for that model year, except as noted in this paragraph (c).
(ii) Meet the labeling requirements in this part that apply for
certified engines but use the following alternative compliance
statement: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [CURRENT
MODEL YEAR] NONROAD COMPRESSION--IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(5) For engines in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c), you must do all
the following things for the model years when you are delaying
compliance with the otherwise applicable standards:
(i) Produce engines in those model years that meet all the emission
standards and other requirements that applied for your model year 2008
engines in the same power category.
(ii) Meet the labeling requirements in Sec. 1039.135, but use the
following compliance statement instead of the compliance statement in
Sec. 1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(iii) Notify the equipment manufacturer that the engines you produce
under this section are excluded from the production volumes associated
with the equipment-manufacturer allowance program in Sec. 1039.625.
(6) The provisions of this paragraph (c) may not be used to
circumvent the requirements of this part.
(d) Deficiencies for NTE standards. You may ask us to accept as
compliant an engine that does not fully meet specific requirements under
the applicable NTE standards. Such deficiencies are intended to allow
for minor deviations from the NTE standards under limited conditions. We
expect your engines to have functioning emission-control hardware that
allows you to comply with the NTE standards.
(1) Request our approval for specific deficiencies in your
application for certification, or before you submit your application. We
will not approve deficiencies retroactively to cover engines already
certified. In your request, identify the scope of each deficiency and
describe any auxiliary emission-control devices you will use to control
emissions to the lowest practical level, considering the deficiency you
are requesting.
(2) We will approve a deficiency only if compliance would be
infeasible or unreasonable considering such factors as the technical
feasibility of the given hardware and the applicable lead time and
production cycles--including schedules related to phase-in or phase-out
of engines. We may consider other relevant factors.
(3) Our approval applies only for a single model year and may be
limited to specific engine configurations. We may approve your request
for the same deficiency in the following model year if correcting the
deficiency would require unreasonable hardware or software modifications
and we determine that you have demonstrated an acceptable level of
effort toward complying.
(4) You may ask for any number of deficiencies in the first three
model years during which NTE standards apply for your engines. For the
next four model years, we may approve up to three deficiencies per
engine family. Deficiencies of the same type that apply similarly to
different power ratings within a family count as one deficiency per
family. We may condition approval of any such additional deficiencies
during these four years on any additional conditions we determine to be
appropriate. We will not approve deficiencies after the seven-year
period specified in this paragraph (d)(4).
(e) Diesel test fuels and corresponding labeling requirements. For
diesel-fueled engines in 2011 and later model years, the diesel test
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For
diesel-fueled engines in 2010 and earlier model years, use test fuels
and meet labeling requirements as follows:
(1) Use the following test fuels in 2010 and earlier model years:

[[Page 392]]

(i) Unless otherwise specified, the diesel test fuel is low-sulfur
diesel fuel specified in 40 CFR part 1065.
(ii) In model years 2007 through 2010, you may use ultra low-sulfur
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the
family will use diesel fuel with a sulfur concentration no greater than
15 ppm.
(iii) You may use ultra low-sulfur diesel fuel as the test fuel for
engine families in any power category below 56 kW, as long as none of
the engines in your engine family employ sulfur-sensitive technologies,
you ensure that ultimate purchasers of equipment using these engines are
informed that ultra low-sulfur diesel fuel is recommended, and you
recommend to equipment manufacturers that a label be applied at the fuel
inlet recommending 15 ppm fuel.
(iv) For the engines described in Sec. 1039.101(c) that are
certified to the 0.60 g/kW-hr PM standard in Table 1 of Sec. 1039.102
in the 2010 model year, you may test with the ultra low-sulfur fuel
specified in 40 CFR part 1065.
(2) Meet the labeling requirements of this paragraph (e)(2) (or
other labeling requirements we approve) to identify the applicable test
fuels specified in paragraph (e)(1) of this section. Provide
instructions to equipment manufacturers to ensure that they are aware of
these labeling requirements.
(i) For engines certified under the provisions of paragraph
(e)(1)(i) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
(ii) For engines certified under the provisions of paragraph
(e)(1)(ii) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
(iii) For engines certified under the provisions of paragraph
(e)(1)(iii) of this section, include the following statement on the
emission control information label specified in Sec. 1039.135: ``ULTRA
LOW SULFUR FUEL RECOMMENDED''.
(3) For model years 2010 and earlier, we will use the test fuel that
you use under paragraph (e)(1) of this section, subject to the
conditions of paragraph (e)(1) of this section.
(f) Requirements for equipment manufacturers. If you produce
equipment with engines certified to Tier 3 standards under Option 2 of
Table 3 of Sec. 1039.102 during model years from 2008 through 2011,
then a minimum number of pieces of equipment you produce using 2012
model year engines must have engines certified to the Option 2
standards, as follows:
(1) For equipment you produce with 2012 model year engines at or
above 37 kW and below 56 kW, determine the minimum number of these
engines that must be certified to the Option 2 standards in Table 3 of
Sec. 1039.102 as follows:
(i) If all the equipment you produce using 2008 through 2011 model
year engines use engines certified to Tier 3 standards under Option 2
of Table 3 of Sec. 1039.102, then all the 2012 model year engines you
install must be certified to the Option 2 standards of Table 3 of Sec.
1039.102.
(ii) If you produce equipment using 2008 through 2011 model year
engines with some engines certified to Option 1 standards of Table 3 of
Sec. 1039.102 and some engines certified to Tier 3 standards under
Option 2 standards of Table 3 of Sec. 1039.102, calculate the minimum
number of 2012 model year engines you must install that are certified to
the Option 2 standards of Table 3 of Sec. 1039.102 from the following
equation:

Minimum number = [(T-O1-F)/(T-F)-0.05] x P

Where:

T = The total number of 2008-2010 model year engines at or above 37 kW
and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years
certified under Option 1 of Table 3 of Sec. 1039.102 that
you use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce under the
flexibility provisions of Sec. 1039.625.

[[Page 393]]

P = The total number of 2012 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce.

(2) As needed for the calculation required by this paragraph (f),
keep records of all equipment you produce using 2008-2012 model year
engines at or above 37 kW and below 56 kW. If you fail to keep these
records, you may not use any 2012 model year engines certified to Option
1 standards in your equipment.
(3) If you fail to comply with the provisions of this paragraph (f),
then using 2012 model year engines certified under Option 1 of Table 3
of Sec. 1039.102 (or certified to less stringent standards) in such
equipment violates the prohibitions in Sec. 1068.101(a)(1).
(g) Alternate FEL caps. You may certify engines to the FEL caps in
Table 1 of this section instead of the otherwise applicable FEL caps in
Sec. 1039.101(d)(1), Sec. 1039.102(e), or Sec. 1039.102(g)(2) for the
indicated model years, subject to the following provisions:
(1) The provisions of this paragraph (g) apply for limited numbers
of engines as specified in this paragraph (g)(1). If you certify an
engine under an alternate FEL cap in this paragraph (g) for any
pollutant, count it toward the allowed percentage of engines certified
to the alternate FEL caps.
(i) Except as specified in paragraph (g)(1)(ii) of this section, the
number of engines certified to the FEL caps in Table 1 of this section
must not exceed 20 percent in any single model year in each power
category, and the sum of percentages over the 4-year period must not
exceed a total of 40 percent in each power category.
(ii) For the 19-56 kW power category, the number of engines
certified to the FEL caps in Table 1 of this section must not exceed 40
percent in any single model year, and the sum of percentages over the 4-
year period must not exceed a total of 80 percent.
(2) If your engine is not certified to transient emission standards
under the provisions of Sec. 1039.102(a)(1)(iii), you must adjust your
FEL upward by a temporary compliance adjustment factor (TCAF) before
calculating your negative emission credits under Sec. 1039.705, as
follows:
(i) The temporary compliance adjustment factor for NOX
and for NOX + NMHC is 1.1.
(ii) The temporary compliance adjustment factor for PM is 1.5.
(iii) The adjusted FEL (FELadj) for calculating emission
credits is determined from the steady-state FEL (FELss) using
the following equation:

FELadj = (FELss) x (TCAF)

(iv) The unadjusted FEL (FELss) applies for all purposes
other than credit calculation.
(3) These alternate FEL caps may not be used for phase-in engines.
(4) Do not apply TCAFs to gaseous emissions for phase-out engines
that you certify to the same numerical standards (and FELs if the
engines are certified using ABT) for gaseous pollutants as you certified
under the Tier 3 requirements identified in appendix I of this part.

Table 2 of Sec. 1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
Model years
Model years NOX FEL cap, g/ for the
Maximum engine power PM FEL cap, g/ for the kW-hr \a\ alternate NOX
kW-hr alternate PM FEL cap
FEL cap
----------------------------------------------------------------------------------------------------------------
19 <=kW <56..................................... 0.30 \b\ 2012-2015
56 <=kW <130 \c\................................ 0.30 2012-2015 3.8 \d\ 2012-2015
130 <=kW <=560.................................. 0.20 2011-2014 3.8 \e\ 2011-2014
kW 560 \f\........................... 0.10 2015-2018 3.5 2015-2018
----------------------------------------------------------------------------------------------------------------
\a\ The FEL cap for engines demonstrating compliance with a NOX + NMHC standard is equal to the previously
applicable NOX + NMHC standard specified in appendix I of this part (generally the Tier 3 standards).
\b\ For manufacturers certifying engines under Option 1 of Table 3 of Sec. 1039.102, these alternate FEL caps
apply to all 19-56 kW engines for model years from 2013 through 2016 instead of the years indicated in this
table. For manufacturers certifying engines under Option 2 of Table 3 of Sec. 1039.102, these alternate FEL
caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\c\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\d\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
instead of the alternate NOX standards of Sec. 1039.102(e)(1), the alternate NOX FEL cap in the table
applies only in the 2014-2015 model years if certifying under Sec. 1039.102(d)(1), and only in the 2015
model year if certifying under Sec. 1039.102(d)(2).
\e\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
instead of the alternate NOX standard of Sec. 1039.102(e)(2), the alternate NOX FEL cap in the table applies
only for the 2014 model year.
\f\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines.

[[Page 394]]

(5) You may certify engines under this paragraph (g) in any model
year provided for in Table 1 of this section without regard to whether
or not the engine family's FEL is at or below the otherwise applicable
FEL cap. For example, a 200 kW engine certified to the NOX +
NMHC standard of Sec. 1039.102(e)(3) with an FEL equal to the FEL cap
of 4.0 g/kW-hr may nevertheless be certified under this paragraph (g).
(6) For engines you produce under this paragraph (g) after the Tier
4 final standards take effect, you may certify based on a NOX
+ NMHC FEL as described in Table 1 of this section. Calculate emission
credits for these engines relative to the applicable NOX
standard in Sec. 1039.101 or Sec. 1039.102, plus 0.1 g/kW-hr.
(h) Delayed compliance with labeling requirements. Before the 2011
model year, you may omit the dates of manufacture from the emission
control information label as specified in Sec. 1039.135(c)(6) if you
keep those records and provide them to us upon request.
(i) Lead time for diagnostic controls. Model year 2017 and earlier
engines are not subject to the requirements for diagnostic controls as
specified in Sec. 1039.110.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
72 FR 53130, Sept. 18, 2007; 75 FR 22988, Apr. 30, 2010; 75 FR 68461,
Nov. 8, 2010; 79 FR 7083, Feb. 6, 2014; 81 FR 74133, Oct. 25, 2016; 86
FR 34504, June 29, 2021]

Sec. 1039.105 What smoke standards must my engines meet?

(a) The smoke standards in this section apply to all engines subject
to emission standards under this part, except for the following engines:
(1) Single-cylinder engines.
(2) Constant-speed engines.
(3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-
hr or lower.
(b) Measure smoke as specified in Sec. 1039.501(c). Smoke from your
engines may not exceed the following standards:
(1) 20 percent during the acceleration mode.
(2) 15 percent during the lugging mode.
(3) 50 percent during the peaks in either the acceleration or
lugging modes.

Sec. 1039.107 What evaporative emission standards and requirements apply?

There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas). If your engine uses a volatile liquid fuel, such
as methanol, you must meet the evaporative emission requirements of 40
CFR part 1048 that apply to spark-ignition engines, as follows:
(a) Follow the steps in 40 CFR 1048.245 to show that you meet the
requirements of 40 CFR 1048.105.
(b) Do the following things in your application for certification:
(1) Describe how your engines control evaporative emissions.
(2) Present test data to show that equipment using your engines
meets the evaporative emission standards we specify in this section if
you do not use design-based certification under 40 CFR 1048.245.

[69 FR 39213, June 29, 2004, as amended at 81 FR 74134, Oct. 25, 2016]

Sec. 1039.110 Recording reductant use and other diagnostic functions.

(a) Engines equipped with SCR systems using a reductant other than
the engine's fuel must have a diagnostic system that monitors 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 warning lamp or an audible alarm. You do not need to
separately monitor reductant quality if your system uses input from an
exhaust NOX sensor (or other sensor) to alert operators when
reductant quality is inadequate. However, tank level must be monitored
in all cases.
(b) You may equip your engine with other diagnostic features. If you
do, they must be designed to allow us to read and interpret the codes.
Note that Sec. 1039.205 requires you to provide us any information
needed to read, record, and interpret all the information broadcast by
an engine's onboard computers and electronic control units.

[81 FR 74134, Oct. 25, 2016]

[[Page 395]]

Sec. 1039.115 What other requirements apply?

Engines that are required to meet the emission standards of this
part must meet the following requirements, except as noted elsewhere in
this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Engines 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.
(2) If you take advantage of this exception, you must do the
following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
(ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
(3) 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)-(d) [Reserved]
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, selective enforcement
auditing, or in-use testing.
(f) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission-control device that
reduces the effectiveness of emission controls under conditions that the
engine may reasonably be expected to encounter during normal operation
and use. This does not apply to auxiliary-emission control devices you
identify in your certification application if any of the following is
true:
(1) The conditions of concern were substantially included in the
applicable test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
(4) The auxiliary emission control device applies only for engines
that will be installed in emergency equipment and the need is justified
in terms of preventing the equipment from losing speed or power due to
abnormal conditions of the emission control system, or in terms of
preventing such abnormal conditions from occurring, during operation
related to emergency response. Examples of such abnormal conditions may
include excessive exhaust backpressure from an overloaded particulate
trap, and running out of diesel exhaust fluid for engines that rely on
urea-based selective catalytic reduction. The emission standards do not
apply when any AECDs approved under this paragraph (g)(4) are active.
(5) The auxiliary emission control device operates only in emergency
situations as defined in Sec. 1039.665 and meets all of the
requirements of that section, and you meet all of the requirements of
that section.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007;
77 FR 34147, June 8, 2012]

Sec. 1039.120 What emission-related warranty requirements apply to me?

[[Page 396]]

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. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be shorter
than any basic mechanical warranty you provide without charge for the
engine. 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 an
engine has no hour meter, we base the warranty periods in this paragraph
(b) only on the engine's age (in years). The warranty period begins when
the engine is placed into service. The minimum warranty periods are
shown in the following table:

----------------------------------------------------------------------------------------------------------------
And its maximum power And its rated speed is Then its warranty
If your engine is certified as . . . is . . . . . . period is . . .
----------------------------------------------------------------------------------------------------------------
Variable speed or constant speed..... kW <19................. Any speed.............. 1,500 hours or two
years, whichever comes
first.
Constant speed....................... 19 <=kW <37............ 3,000 rpm or higher.... 1,500 hours or two
years, whichever comes
first.
Constant speed....................... 19 <=kW <37............ Less than 3,000 rpm.... 3,000 hours or five
years, whichever comes
first.
Variable speed....................... 19 <=kW <37............ Any speed.............. 3,000 hours or five
years, whichever comes
first.
Variable speed or constant speed..... kW =37...... Any speed.............. 3,000 hours or five
years, whichever comes
first.
----------------------------------------------------------------------------------------------------------------

(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including 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 these components even if
another company produces the component. Your emission-related warranty
does not need to cover components whose failure would not increase an
engine'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.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22989, Apr. 30, 2010; 81 FR 74134, Oct. 25, 2016]

Sec. 1039.125 What maintenance instructions must I give to buyers?

[[Page 397]]

that paragraphs (a)(1)(ii) and (iii) of this section do not apply for
DEF replenishment:
(i) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the engine's
performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) For engines below 130 kW, you may not schedule critical
emission-related maintenance more frequently than the following minimum
intervals, except as specified in paragraphs (a)(4), (b), and (c) of
this section:
(i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 3,000 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(iii) For SCR systems, the minimum interval for replenishing the
diesel exhaust fluid (DEF) is the number of engine operating hours
necessary to consume a full tank of fuel based on normal usage starting
from full fuel capacity for the equipment. Use good engineering judgment
to ensure that equipment manufacturers will meet this requirement for
worst-case operation by following your installation instructions. For
example, if your highest rate of DEF consumption (relative to fuel
consumption) will occur under a steady state operating conditions
characterized by one of the modes of the applicable steady-state
certification test (to the extent that continuous operation at such mode
is representative of real-world conditions), the DEF tank should be
large enough that a single tank of DEF would be enough to continue
proper operation of the SCR system for the expected operating range with
a single tank of fuel at that mode. For engine testing in a laboratory,
any size DEF tank and fuel tank may be used; however, for our testing of
engines, we may require you to provide us with a production-type DEF
tank, including any associated sensors.
(3) For engines at or above 130 kW, you may not schedule critical
emission-related maintenance more frequently than the following minimum
intervals, except as specified in paragraphs (a)(4), (b), and (c) of
this section:
(i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 4,500 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(iii) The provisions of paragraph (a)(2)(iii) of this section apply
for SCR systems.
(4) For particulate traps, trap oxidizers, and components related to
either of these, scheduled maintenance may include cleaning or repair at
the intervals specified in paragraph (a)(2)(ii) or (a)(3)(ii) of this
section, as applicable. Scheduled maintenance may include a shorter
interval for cleaning or repair and may also include adjustment or
replacement, but only if we approve it. We will approve your request if
you provide the maintenance free of charge and clearly state this in
your maintenance instructions, and you provide us additional information
as needed to convince us that the maintenance will occur.
(5) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) and (3) of this section under Sec.
1039.210, including emission-related components that were not in
widespread use with nonroad compression-ignition engines before 2011. In
your request you must describe the proposed maintenance step, recommend
the maximum feasible interval for this maintenance, include your

[[Page 398]]

rationale with supporting evidence to support the need for the
maintenance at the recommended interval, and demonstrate that the
maintenance will be done at the recommended interval on in-use engines.
In considering your request, we will evaluate the information you
provide and any other available information to establish alternate
specifications for maintenance intervals, if appropriate. We will
announce any decision we make under this paragraph (a)(5) in the Federal
Register. Anyone may request a hearing regarding such a decision (see
Sec. 1039.820).
(6) If your engine family has an alternate useful life under Sec.
1039.101(g) that is shorter than the period specified in paragraph
(a)(2) or (a)(3) of this section, you may not schedule critical
emission-related maintenance more frequently than the alternate useful
life, except as specified in paragraph (c) of this section.
(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 engines from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
You may also address maintenance of low-use engines (such as
recreational or stand-by engines) by specifying the maintenance interval
in terms of calendar months or years in addition to your specifications
in terms of engine operating hours. All special maintenance instructions
must be consistent with good engineering judgment. We may disapprove
your maintenance instructions if we determine that you have specified
special maintenance steps to address maintenance that is unlikely to
occur in use, or engine operation that is not atypical. For example,
this paragraph (c) does not allow you to design engines that require
special maintenance for a certain type of expected operation. 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 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 engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps during
service accumulation on your emission-data engines.
(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
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems or fuel-water separator
cartridges or elements, and adjusting idle speed, governor, engine bolt
torque, valve lash, or injector lash. You may not perform this
nonemission-related maintenance on emission-data engines more often than
the

[[Page 399]]

least frequent intervals that you recommend to the ultimate purchaser.
(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 engine 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 engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if the regulations require it or if
it meets all the following criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (6) of the
definition of new nonroad engine in Sec. 1039.801.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 22989,
Apr. 30, 2010; 79 FR 46373, Aug. 8, 2014; 81 FR 74134, Oct. 25, 2016]

Sec. 1039.130 What installation instructions must I give to equipment
manufacturers?

(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, 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 piece of nonroad equipment violates federal law
(40 CFR 1068.105(b)), subject to fines or other penalties as described
in the Clean Air Act.''.
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1039.205(u). Also describe how to properly
size the DEF tank consistent with the specifications in Sec.
1039.125(a), if applicable.
(4) Describe any necessary steps for installing the diagnostic
system described in Sec. 1039.110.
(5) Describe how your certification is limited for any type of
application. For example, if your engines are certified only for
constant-speed operation, tell equipment manufacturers not to install
the engines in variable-speed applications.
(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 equipment,
as described in 40 CFR 1068.105.''.
(8) Describe equipment-labeling requirements consistent with Sec.
1039.135. State whether you are providing the

[[Page 400]]

label for the fuel inlet or the equipment manufacturer must provide the
label.
(c) You do not need installation instructions for engines you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available website for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
79 FR 46373, Aug. 8, 2014; 81 FR 74134, Oct. 25, 2016]

Sec. 1039.135 How must I label and identify the engines I produce?

(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must meet the requirements of 40 CFR
1068.45.
(c) The label must--
(1) Include the heading ``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 engine family
(and subfamily, where applicable).
(4) State the power category or subcategory from Sec. 1039.101 or
Sec. 1039.102 that determines the applicable emission standards for the
engine family. For engines at or above 37 kW and below 56 kW from model
years 2008 through 2012, and for engines less than 8 kW utilizing the
provision at Sec. 1039.101(c), you must state the applicable PM
standard for the engine family.
(5) State the engine's displacement (in liters); however, you may
omit this from the label if all the engines in the engine family have
the same per-cylinder displacement and total displacement.
(6) State the date of manufacture [DAY (optional), MONTH, and YEAR];
however, you may omit this from the label if you stamp, engrave, or
otherwise permanently identify it elsewhere on the engine, in which case
you must also describe in your application for certification where you
will identify the date on the engine.
(7) State the FELs to which the engines are certified if
certification depends on the ABT provisions of subpart H of this part.
(8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(9) For diesel-fueled engines, unless otherwise specified in Sec.
1039.104(e)(2), state: ``ULTRA LOW SULFUR FUEL ONLY'.
(10) Identify any additional requirements for fuel and lubricants
that do not involve fuel-sulfur levels. You may omit this information
from the label if there is not enough room for it and you put it in the
owners manual instead.
(11) State the useful life for your engine family if we approve a
shortened useful life under Sec. 1039.101(g)(2).
(12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] NONROAD DIESEL ENGINES.''.
(13) For engines above 560 kW, include the following things:
(i) For engines certified to the emission standards for generator-
set engines, add the phrase ``FOR GENERATOR SETS AND OTHER
APPLICATIONS''.
(ii) For all other engines, add the phrase ``NOT FOR USE IN A
GENERATOR SET''.
(14) If your engines are certified only for constant-speed
operation, state ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
(15) For engines with one or more approved auxiliary emission
control devices for emergency equipment applications under Sec.
1039.115(g)(4), the statement: ``THIS ENGINE IS FOR INSTALLATION IN
EMERGENCY EQUIPMENT ONLY.'' Note that this label requirement does not
apply for engines that include emergency AECDs

[[Page 401]]

under Sec. 1039.665 rather than Sec. 1039.115(g)(4).
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as international standards), as long as this does
not cause you to omit any of the information described in paragraphs
(c)(5) through (10) of this section. You may add the information about
the other emission standards to the statement we specify, or you may
include it in a separate statement.
(2) You may add other information to ensure that the engine 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) For model year 2019 and earlier, create a separate label with
the statement: ``ULTRA LOW SULFUR FUEL ONLY''. Permanently attach this
label to the equipment near the fuel inlet or, if you do not manufacture
the equipment, take one of the following steps to ensure that the
equipment will be properly labeled:
(1) Provide the label to the equipment manufacturer and include the
appropriate information in the emission-related installation
instructions.
(2) Confirm that the equipment manufacturers install their own
complying labels.
(f) You may ask us to approve modified labeling requirements in this
part 1039 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.
(g) If you obscure the engine label while installing the engine in
the equipment such that the label cannot be read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures the
engine label, we require them to add a duplicate label on the equipment
(see 40 CFR 1068.105); in that case, give them the number of duplicate
labels they request and keep the following records for at least five
years:
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007;
73 FR 59191, Oct. 8, 2008; 75 FR 22989, Apr. 30, 2010; 77 FR 34147, June
8, 2012; 79 FR 46373, Aug. 8, 2014; 81 FR 74135, Oct. 25, 2016; 86 FR
34504, June 29, 2021]

Sec. 1039.140 What is my engine's maximum engine power?

(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for the
engine. This information may also be expressed by a torque curve that
relates maximum available engine torque with engine speed.
(c) The nominal power curve must be within the range of the actual
power curves of production engines considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production engines, we may
require you to amend your application for certification under Sec.
1039.225.
(d) Throughout this part, references to a specific power value or a
range of power values for an engine are based on maximum engine power.
For example, the group of engines with maximum engine power above 560 kW
may be referred to as engines above 560 kW.

[[Page 402]]

Subpart C_Certifying Engine Families

Sec. 1039.201 What are the general requirements for obtaining a certificate
of conformity?

(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 new 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. 1039.220 and 1039.225. You must renew your
certification annually for any engines 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. 1039.255).
(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. 1039.250.
(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. 1039.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test engines to a facility we
designate for our testing (see Sec. 1039.235(c)). Alternatively, you
may choose to deliver another engine that is identical in all material
respects to the test engine, or another engine that we determine can
appropriately serve as an emission-data engine for the engine family.
(h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec. 1039.801.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22990, Apr. 30, 2010;
81 FR 74135, Oct. 25, 2016]

Sec. 1039.205 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.
1039.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1039.140.
(b) Explain how the emission-control system operates. Describe in
detail all system components for controlling exhaust 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 (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the values).
Include equipment-based parameters and state whether you simulate them
during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.

[[Page 403]]

(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation for
each parameter, the relationship between the sensed parameters and the
controlled parameters and how the modulation achieves the AECD's stated
purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs sense
or modulate the same parameter. Describe whether the strategies interact
in a comparative or additive manner and identify which AECD takes
precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to
protect engines or equipment:
(i) Identify the engine and/or equipment design limits that make
protection necessary and describe any damage that would occur without
the AECD.
(ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating conditions that cause the
need for protection.
(iii) Describe the relationship between the design limits/parameters
being protected and the parameters sensed or calculated as surrogates
for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/or
equipment from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate only
during conditions related to the stated need to protect components and
only as needed to sufficiently protect those components in a way that
minimizes the emission impact.
(c) If your engines are equipped with an engine diagnostic system as
required under Sec. 1039.110, explain how it works, describing
especially the engine conditions (with the corresponding diagnostic
trouble codes) that cause the warning lamp to go on and the design
features that minimize the potential for operation without reductant.
Also identify the communication protocol (SAE J1939, SAE J1979, etc.)
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1039.501).
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1039.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a piece of nonroad
equipment (see Sec. 1039.130).
(k) Describe your emission control information label (see Sec.
1039.135).
(l) Identify the emission standards or FELs to which you are
certifying engines in the engine family. Identify the ambient operating
regions that will apply for NTE testing under Sec. 1039.101(e)(4).
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1039.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test

[[Page 404]]

fuels) to show you meet the requirements of this part.
(o) Present emission data for hydrocarbons (such as NMHC or THCE, as
applicable), NOX, PM, and CO on an emission-data engine to
show your engines meet the applicable duty-cycle emission standards we
specify in Sec. 1039.101. Show emission figures before and after
applying adjustment factors for regeneration and deterioration factors
for each engine. Include emission results for each mode if you do
discrete-mode testing under Sec. 1039.505. Present emission data to
show that you meet any applicable smoke standards we specify in Sec.
1039.105. If we specify more than one grade of any fuel type (for
example, high-sulfur and low-sulfur diesel fuel), you need to submit
test data only for one grade, unless the regulations of this part
specify otherwise for your engine. Note that Sec. 1039.235 allows you
to submit an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1039.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(q) For engines above 560 kW, include information showing how your
emission controls will function during normal in-use transient
operation. For example, this might include the following:
(1) Emission data from transient testing of engines using
measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient
emissions with that from engines for which you have emission data over
the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design
parameters for controlling transient emissions.
(r) Report test results as follows:
(1) Report all valid test results involving measurement of
pollutants for which emission standards apply. Also indicate whether
there are test results from invalid tests or from any other tests of the
emission-data engine, whether or not they were conducted according to
the test procedures of subpart F of this part. We may require you to
report these additional test results. We may ask you to send other
information to confirm that your tests were valid under the requirements
of this part and 40 CFR part 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1039.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(s) Describe all adjustable operating parameters (see Sec.
1039.115(e)), including production tolerances. 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 engines to settings outside your intended
physically adjustable ranges.
(t) Provide the information to read, record, and interpret all the
information broadcast by an engine'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. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in equipment and placed in service.
If this cannot be done by simply adding a 20-centimeter extension to the
exhaust pipe, show how to sample exhaust emissions in a way that
prevents diluting the exhaust sample with ambient air.

[[Page 405]]

(v) State whether your certification is intended to include engines
used in stationary applications. State whether your certification is
limited for certain engines. If this is the case, describe how you will
prevent use of these engines in applications for which they are not
certified. This applies for engines such as the following:
(1) Constant-speed engines.
(2) Engines used for transportation refrigeration units that you
certify under the provisions of Sec. 1039.645.
(3) Hand-startable engines certified under the provisions of Sec.
1039.101(c).
(4) Engines above 560 KW that are not certified to emission
standards for generator-set engines.
(w) 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.
(x) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes if
they are substantially different than actual production volumes in
earlier years for similar models.
(y) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1039.725 if you
participate in the ABT program.
(z) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(aa) 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.
(bb) 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.
(2) For engines below 560 kW, identify 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.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006;
72 FR 53131, Sept. 18, 2007; 74 FR 56508, Oct. 30, 2009; 81 FR 74135,
Oct. 25, 2016; 86 FR 34504, June 29, 2021]

Sec. 1039.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service
accumulation, maintenance, and NTE deficiencies and carve-outs.
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.

[72 FR 53131, Sept. 18, 2007]

Sec. 1039.220 How do I amend my maintenance instructions?

[[Page 406]]

(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 anytime
after you send your request. For example, this paragraph (b) would cover
adding instructions to increase the frequency of filter changes for
engines 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).

[75 FR 22990, Apr. 30, 2010; 81 FR 74135, Oct. 25, 2016]

Sec. 1039.225 How do I amend 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 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. 1039.230.
(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 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 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. 1039.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense

[[Page 407]]

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. The changed FEL may not apply to engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all engines produced after the change. You may ask
us to approve a change to your FEL in the following cases:
(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 engine, 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 engine family to calculate emission credits
under 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. The lower FEL applies only to engines 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.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53131, Sept. 18, 2007; 75 FR 22990, Apr. 30, 2010; 81 FR 74135,
Oct. 25, 2016]

Sec. 1039.230 How do I select engine families?

(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this section.
Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in
all the following aspects:
(1) The combustion cycle and fuel. However, you do not need to
separate dual-fuel and flexible-fuel engines into separate engine
families.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Method of air aspiration.
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
(5) Combustion chamber design.
(6) Bore and stroke.
(7) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
(8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(9) Power category.
(10) Numerical level of the emission standards that apply to the
engine.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine

[[Page 408]]

families if you show the expected emission characteristics are different
during the useful life.
(d) In unusual circumstances, you may group engines that are not
identical with respect to the things listed in paragraph (b) of this
section in the same engine family if you show that their emission
characteristics during the useful life will be similar.
(e) If you combine engines from different power categories into a
single engine family under paragraph (d) of this section, you must
certify the engine family to the more stringent set of standards from
the two power categories in that model year.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
75 FR 22990, Apr. 30, 2010; 81 FR 74135, Oct. 25, 2016]

Sec. 1039.235 What testing requirements apply for certification?

This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. 1039.101(a) and (b) or
Sec. 1039.102(a) and (b). See Sec. 1039.205(p) regarding emission
testing related to the NTE standards. See Sec. 1039.240, Sec.
1039.245, and 40 CFR part 1065, subpart E, regarding service
accumulation before emission testing.
(a) Select an emission-data engine from each engine family for
testing. Select the engine configuration with the highest volume of fuel
injected per cylinder per combustion cycle at the point of maximum
torque--unless good engineering judgment indicates that a different
engine configuration is more likely to exceed (or have emissions nearer
to) an applicable emission standard or FEL. If two or more engines have
the same fueling rate at maximum torque, select the one with the highest
fueling rate at rated speed. 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 engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that
best represents in-use operation or is most likely to have the highest
NOX emissions (or NOX+NMHC emissions for engines
subject to NOX+NMHC standards), 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 engines or other engines from the engine
family, as follows:
(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 one of your engines, the results of
that testing become the official emission results for the engine. Unless
we later invalidate these data, we may decide not to consider your data
in determining if your engine family meets applicable requirements.
(3) Before we test one of your engines, we may set its adjustable
parameters to any point within the physically adjustable ranges (see
Sec. 1039.115(e)).
(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. 1039.801) 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)

[[Page 409]]

in a way that keeps performance within the specified range.
(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. 1039.225(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 or
different configuration in addition to the engine tested under paragraph
(b) 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.
(g) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065 in
the 2011 and 2012 model years, respectively. Also measure N2O
with each low-hour certification test using the procedures specified in
40 CFR part 1065 starting in the 2013 model year for any engine family
that depends on NOx aftertreatment to meet emission standards. Small-
volume engine manufacturers may omit measurement of N2O and
CH4. These measurements are not required for NTE testing. Use
the same units and modal calculations as for your other results to
report a single weighted value for each constituent. Round the final
values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr.
(2) Round N2O to the nearest 0.001 g/kW-hr.
(3) Round CH4 to the nearest 0.001g/kW-hr.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
74 FR 56509, Oct. 30, 2009; 75 FR 22991, Apr. 30, 2010; 81 FR 74135,
Oct. 25, 2016]

Sec. 1039.240 How do I demonstrate that my engine family complies with
exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec. 1039.101(a) and (b),
Sec. 1039.102(a) and (b), Sec. 1039.104, and Sec. 1039.105 if all
emission-data engines representing that family have test results showing
official emission results and deteriorated emission levels at or below
these standards. This also applies for all test points for emission-data
engines within the family used to establish deterioration factors. Note
that your FELs are considered to be the applicable emission standards
with which you must comply if you participate in the ABT program in
subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data
engine 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. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies for
all test points for emission-data engines within the family used to
establish deterioration factors.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1039.245 specifies
how to test your engine to develop deterioration factors that represent
the deterioration expected in emissions over your engines' full useful
life. Your deterioration factors must take into account any available
data from in-use testing with similar engines. Small-volume engine
manufacturers may use assigned deterioration factors that we establish.
Apply deterioration factors as follows:

[[Page 410]]

(1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (c)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of the
useful life and exhaust emissions at the low-hour test point. In these
cases, adjust the official emission results for each tested engine at
the selected test point by adding the factor to the measured emissions.
If the factor is less than zero, use zero. Additive deterioration
factors must be specified to one more decimal place than the applicable
standard.
(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 engine at
the selected test point by multiplying the measured emissions by the
deterioration factor. If the factor is less than one, use one. A
multiplicative deterioration factor may not be appropriate in cases
where testing variability is significantly greater than engine-to-engine
variability. Multiplicative deterioration factors must be specified to
one more significant figure than the applicable standard.
(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 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 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) Deterioration factor for smoke. Deterioration factors for smoke
are always additive, as described in paragraph (c)(1) of this section.
(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.
(6) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel engines, apply deterioration factors separately for
each fuel type. 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) Determine the official emission result for each pollutant 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. In the case of NOX+NMHC standards, apply the
deterioration factor to each pollutant and then add the results before
rounding.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22991, Apr. 30, 2010; 81 FR 74136, Oct. 25, 2016]

[[Page 411]]

Sec. 1039.245 How do I determine deterioration factors from exhaust
durability testing?

This section describes how to determine deterioration factors,
either with an engineering analysis, with pre-existing test data, or
with new emission measurements. Apply these deterioration factors to
determine whether your engines will meet the duty-cycle emission
standards throughout the useful life as described in Sec. 1039.240.
(a) You may ask us to approve deterioration factors for an engine
family with established technology based on engineering analysis instead
of testing. Engines certified to a NOX + NMHC standard or FEL
greater than the Tier 3 NOX + NMHC standard described in
appendix I of this part are considered to rely on established technology
for gaseous emission control, except that this does not include any
engines that use exhaust-gas recirculation or aftertreatment. In most
cases, technologies used to meet the Tier 1 and Tier 2 emission
standards would be considered to be established technology.
(b) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar highway or nonroad
engines if you have already given us these data for certifying the other
engines in the same or earlier model years. Use good engineering
judgment to decide whether the two engines are similar. We will approve
your request if you show us that the emission measurements from other
engines reasonably represent in-use deterioration for the engine family
for which you have not yet determined deterioration factors.
(c) If you are unable to determine deterioration factors for an
engine family under paragraph (a) or (b) of this section, select
engines, subsystems, or components for testing. Determine deterioration
factors based on service accumulation and related testing to represent
the deterioration expected from in-use engines over the full useful
life. You must measure emissions from the emission-data engine at least
three times with evenly spaced intervals of service accumulation. You
may use extrapolation to determine deterioration factors once you have
established a trend of changing emissions with age for each pollutant.
You may use an engine installed in nonroad equipment to accumulate
service hours instead of running the engine only in the laboratory. You
may perform maintenance on emission-data engines as described in Sec.
1039.125 and 40 CFR part 1065, subpart E. Use good engineering judgment
for all aspects of the effort to establish deterioration factors under
this paragraph (c).
(d) Include the following information in your application for
certification:
(1) If you use 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.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
75 FR 22991, Apr. 30, 2010; 86 FR 34505, June 29, 2021]

Sec. 1039.250 What records must I keep and what reports must I send
to EPA?

(a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about engines you produced during the model year:
(1) Report the total number of engines you produced in each engine
family by maximum engine power, total displacement, and the type of fuel
system.
(2) If you produced exempted engines under the provisions of Sec.
1039.625, report the number of exempted engines you produced for each
engine model and identify the buyer or shipping destination for each
exempted engine.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send
us.

[[Page 412]]

(2) Any of the information we specify in Sec. 1039.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine 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, including the date and purpose of each
test and documentation of test parameters as specified in part 40 CFR
part 1065.
(v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
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.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22991, Apr. 30, 2010;
81 FR 74136, Oct. 25, 2016]

Sec. 1039.255 What decisions may EPA make regarding a certificate of
conformity?

[[Page 413]]

(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1039.820).

[86 FR 34505, June 29, 2021]

Subpart D [Reserved]

Subpart E_In-Use Testing

Sec. 1039.401 General provisions.

We may perform in-use testing of any engine subject to the standards
of this part. However, we will limit recall testing to the first 75
percent of each engine's useful life as specified in Sec. 1039.101(g).

Subpart F_Test Procedures

Sec. 1039.501 How do I run a valid emission test?

(a) Use the equipment and procedures for compression-ignition
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in subpart B of this part. Measure the
emissions of all the exhaust constituents subject to emission standards
as specified in 40 CFR part 1065. Measure CO2,
N2O, and CH4 as described in Sec. 1039.235. Use
the applicable duty cycles specified in Sec. Sec. 1039.505 and
1039.510.
(b) Section 1039.515 describes the supplemental procedures for
evaluating whether engines meet the not-to-exceed emission standards in
subpart B of this part.
(c) Measure smoke using the procedures in 40 CFR part 86, subpart I,
for evaluating whether engines meet the smoke standards in Sec.
1039.105, except that you may test two-cylinder engines with an exhaust
muffler like those installed on in-use engines.
(d) Use the fuels specified in Sec. 1039.104(e) and 40 CFR part
1065 to perform valid tests.
(1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
(2) For diesel-fueled engines, use the appropriate diesel fuel
specified in 40 CFR part 1065 for emission testing. Unless we specify
otherwise, the appropriate diesel test fuel is the ultra low-sulfur
diesel fuel. If we allow you to use a test fuel with higher sulfur
levels, identify the test fuel in your application for certification and
ensure that the emission control information label is consistent with
your selection of the test fuel (see Sec. 1039.135(c)(9)). For example,
do not test with ultra low-sulfur diesel fuel if you intend to label
your engines to allow use of diesel fuel with sulfur concentrations up
to 500 ppm.
(e) The following provisions apply for engines 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. 1039.525.
(2) If your engine family includes engines with one or more
emergency AECDs approved under Sec. 1039.115(g)(4) or (5), do not
consider additional regenerations resulting from those AECDs when
developing adjustments to measured values under this paragraph (e).
(3) Invalidate a smoke test if active regeneration starts to occur
during the test.
(f) You may disable any AECDs that have been approved solely for
emergency equipment applications under Sec. 1039.115(g)(4). Note that
the emission standards do not apply when any of these AECDs are active.
(g) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(h) 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.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 74 FR 56509, Oct. 30, 2009; 77 FR 34147,
June 8, 2012; 79 FR 46373, Aug. 8, 2014; 81 FR 74137, Oct. 25, 2016]

Sec. 1039.505 How do I test engines using steady-state duty cycles,
including ramped-modal testing?

[[Page 414]]

duty cycle you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will use the duty cycle
you select for your own testing. If you submit certification test data
using more than one duty cycle, any of the selected duty cycles may be
used for any subsequent testing. We may also perform other testing as
allowed by the Clean Air Act.
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles as described in 40 CFR part 1065.
(b) Measure emissions by testing the engine on a dynamometer with
one of the following duty cycles to determine whether it meets the
steady-state emission standards in Sec. 1039.101(b):
(1) Use the 5-mode duty cycle or the corresponding ramped-modal
cycle described in paragraph (a) of Appendix II of this part for
constant-speed engines. Note that these cycles do not apply to all
engines used in constant-speed applications, as described in Sec.
1039.801.
(2) Use the 6-mode duty cycle or the corresponding ramped-modal
cycle described in paragraph (b) of Appendix II of this part for
variable-speed engines below 19 kW. You may instead use the 8-mode duty
cycle or the corresponding ramped-modal cycle described in paragraph (c)
of Appendix II of this part if some engines from your engine family will
be used in applications that do not involve governing to maintain engine
operation around rated speed.
(3) Use the 8-mode duty cycle or the corresponding ramped-modal
cycle described in paragraph (c) of Appendix II of this part for
variable-speed engines at or above 19 kW.
(c) For constant-speed engines whose design prevents full-load
operation for extended periods, you may ask for approval under 40 CFR
1065.10(c) to replace full-load operation with the maximum load for
which the engine is designed to operate for extended periods.
(d) To allow non-motoring dynamometers on cycles with idle, you may
omit additional points from the duty-cycle regression as follows:
(1) For variable-speed engines with low-speed governors, you may
omit speed, torque, and power points from the duty-cycle regression
statistics if the following are met:
(i) The engine operator demand is at its minimum.
(ii) The dynamometer demand is at its minimum.
(iii) It is an idle point fnref = 0% (idle) and
Tref = 0% (idle).
(iv) Tref < T <=5% [middot] Tmaxmapped.
(2) For variable-speed engines without low-speed governors, you may
omit torque and power points from the duty-cycle regression statistics
if the following are met:
(i) The dynamometer demand is at its minimum.
(ii) It is an idle point fnref = 0% (idle) and
Tref = 0% (idle).
(iii) fnref - (2% [middot] fntest) <
fn < fnref + (2% [middot] fntest).
(iv) Tref < T <=5% [middot] Tmaxmapped.

[79 FR 23750, Apr. 28, 2014, as amended at 81 FR 74137, Oct. 25, 2016]

Sec. 1039.510 Which duty cycles do I use for transient testing?

(a) Measure emissions by testing the engine on a dynamometer with
one of the following transient duty cycles to determine whether it meets
the transient emission standards in Sec. 1039.101(a):
(1) For variable-speed engines, use the transient duty cycle
described in appendix VI of this part.
(2) [Reserved]
(b) The transient test sequence consists of an initial run through
the transient duty cycle from a cold start, 20 minutes with no engine
operation, then a final run through the same transient duty cycle.
Calculate the official transient emission result from the following
equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.002

[[Page 415]]

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22991, Apr. 30, 2010; 76 FR 57437, Sept. 15, 2011; 79 FR 23751,
Apr. 28, 2014]

Sec. 1039.515 What are the test procedures related to not-to-exceed
standards?

(a) General provisions. The provisions in 40 CFR 86.1370 apply for
determining whether an engine meets the not-to-exceed emission standards
in Sec. 1039.101(e), except as noted in this section. Interpret
references to vehicles and vehicle operation to mean equipment and
equipment operation.
(b) Special PM zone. For engines certified to a PM standard or FEL
above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions
only. The speeds and loads to be excluded are determined based on speeds
B and C, determined according to the provisions of 40 CFR 86.1360-
2007(c). One of the following provisions applies:
(1) If the C speed is below 2400 rpm, exclude the speed and load
points to the right of or below the line formed by connecting the
following two points on a plot of speed-vs.-power:
(i) 30% of maximum power at the B speed; however, use the power
value corresponding to the engine operation at 30% of maximum torque at
the B speed if this is greater than 30% of maximum power at the B speed.
(ii) 70% of maximum power at 100% speed.
(2) If the C speed is at or above 2400 rpm, exclude the speed and
load points to the right of the line formed by connecting the two points
in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50%
torque/power points) and below the line formed by connecting the two
points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and
70% torque/power points). The 30%, 50%, and 70% torque/power points are
defined as follows:
(i) 30% of maximum power at the B speed; however, use the power
value corresponding to the engine operation at 30% of maximum torque at
the B speed if this is greater than 30% of maximum power at the B speed.
(ii) 50% of maximum power at 2400 rpm.
(iii) 70% of maximum power at 100% speed.

[69 FR 39213, June 29, 2004, as amended at 81 FR 74137, Oct. 25, 2016]

Sec. 1039.520 What testing must I perform to establish deterioration
factors?

Sections 1039.240 and 1039.245 describe the method for testing that
must be performed to establish deterioration factors for an engine
family.

Sec. 1039.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?

For engines 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. 1039.235,
consistent with good engineering judgment.
(3) For engines that are required to certify to both transient and
steady-state duty cycles, calculate a separate adjustment factor for
steady-state and transient operation.
(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.

[[Page 416]]

(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
engines must meet emission standards for all testing, without regard to
regeneration.

[81 FR 74137, Oct. 25, 2016]

Subpart G_Special Compliance Provisions

Sec. 1039.601 What compliance provisions apply?

(a) Engine and equipment manufacturers, as well as owners,
operators, and rebuilders of engines subject to the requirements of this
part, and all other persons, must observe the provisions of this part,
the requirements and prohibitions in 40 CFR part 1068, and the
provisions of the Act.
(b) 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.

[81 FR 74137, Oct. 25, 2016, as amended at 86 FR 34505, June 29, 2021]

Sec. 1039.605 What provisions apply to engines certified under the
motor-vehicle program?

[[Page 417]]

apply to these new engines and equipment; however, we consider the
certificate issued under 40 CFR part 86 for each engine to also be a
valid certificate of conformity under this part 1039 for its model year.
If we make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are an engine manufacturer or
equipment manufacturer and meet all the following criteria and
requirements regarding your new nonroad engine, the engine is eligible
for an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity
issued under 40 CFR part 86.
(2) You must not make any changes to the certified engine that could
reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following
changes to one of these engines, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which company
manufactures the vehicle or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
equipment. In the supplemental label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) 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.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''
(iv) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the equipment or, if the equipment
obscures the engine's emission control information label, the equipment
manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) You must make sure that nonroad equipment produced under this
section will have the fueling label we specify in Sec.
1039.135(c)(9)(i).
(8) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we tell
you), send the Designated Compliance Officer a signed letter with all
the following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or equipment models for which you used this
exemption in the previous year and describe

[[Page 418]]

your basis for meeting the sales restrictions of paragraph (d)(3) of
this section.
(iii) State: ``We prepared each listed [engine or equipment] model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1039.605.''
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1039 and the
certificate issued under 40 CFR part 86 will not be deemed to also be a
certificate issued under this part 1039. Introducing these engines into
commerce without a valid exemption or certificate of conformity under
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines adapted
for nonroad use under this section may not generate or use emission
credits under this part 1039. These engines may generate credits under
the ABT provisions in 40 CFR part 86. These engines must use emission
credits under 40 CFR part 86 if they are certified to an FEL that
exceeds an applicable standard under 40 CFR part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74138,
Oct. 25, 2016]

Sec. 1039.610 What provisions apply to vehicles certified under the
motor-vehicle program?

(a) General provisions. If you are a motor-vehicle manufacturer,
this section allows you to introduce new nonroad engines or equipment
into commerce if the vehicle is already certified to the requirements
that apply under 40 CFR parts 85 and 86 for the appropriate model year.
If you comply with all of the provisions of this section, we consider
the certificate issued under 40 CFR part 86 for each motor vehicle to
also be a valid certificate of conformity for the engine under this part
1039 for its model year, without a separate application for
certification under the requirements of this part 1039. See Sec.
1039.605 for similar provisions that apply to motor-vehicle engines
produced for nonroad equipment.
(b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor
vehicles under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. You must also add
the fuel-inlet label we specify in Sec. 1039.135(e). If you modify the
motor vehicle or its engine in any of the ways described in paragraph
(d)(2) of this section, we will consider you a manufacturer of a new
nonroad engine. Such modifications prevent you from using the provisions
of this section.
(c) Liability. Engines, vehicles, and equipment for which you meet
the requirements of this section are exempt from all the requirements
and prohibitions of this part, except for those specified in this
section. Engines exempted under this section must meet all the
applicable requirements from 40 CFR parts 85 and 86. This applies to
engine manufacturers, equipment manufacturers, and all other persons as
if the nonroad equipment were motor vehicles. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we
consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the engine
under this part 1039 for its model year. If we make a determination that
these engines, vehicles, or equipment do not conform to the regulations
during their useful life, we may require you to recall them under 40 CFR
part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
nonroad equipment and its engine, the engine is eligible for an
exemption under this section:
(1) Your equipment must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could

[[Page 419]]

reasonably expect to increase its exhaust emissions for any pollutant,
or its evaporative emissions if it is subject to evaporative-emission
standards. For example, if you make any of the following changes, you do
not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The equipment must have the vehicle emission control information
and fuel labels we require under 40 CFR 86.007-35.
(5) You must add a permanent supplemental label to the equipment in
a position where it will remain clearly visible. In the supplemental
label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) 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.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled equipment.
(7) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we tell
you), send the Designated Compliance Officer a signed letter with all
the following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the equipment models for which you used this exemption in
the previous year and describe your basis for meeting the sales
restrictions of paragraph (d)(3) of this section.
(iii) State: ``We prepared each listed engine or equipment model for
nonroad application without making any changes that could increase its
certified emission levels, as described in 40 CFR 1039.610.''
(e) Failure to comply. If your engines, vehicles, or equipment do
not meet the criteria listed in paragraph (d) of this section, the
engines will be subject to the standards, requirements, and prohibitions
of this part 1039, and the certificate issued under 40 CFR part 86 will
not be deemed to also be a certificate issued under this part 1039.
Introducing these engines into commerce without a valid exemption or
certificate of conformity under this part violates the prohibitions in
40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may not generate or use
emission credits under this part 1039. These vehicles may generate
credits under the ABT provisions in 40 CFR part 86. These vehicles must
be included in the calculation of the

[[Page 420]]

applicable fleet average in 40 CFR part 86.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74138,
Oct. 25, 2016]

Sec. 1039.615 What special provisions apply to engines using noncommercial
fuels?

In Sec. 1039.115(e), we generally require that engines meet
emission standards for any adjustment within the full range of any
adjustable parameters. For engines that use noncommercial fuels
significantly different than the specified test fuel of the same type,
you may ask to use the parameter-adjustment provisions of this section
instead of those in Sec. 1039.115(e). Engines certified under this
section must be in a separate engine family.
(a) If we approve your request, the following provisions apply:
(1) You must certify the engine using the test fuel specified in
Sec. 1039.501.
(2) You may produce the engine without limits or stops that keep the
engine adjusted within the certified range.
(3) You must specify in-use adjustments different than the
adjustable settings appropriate for the specified test fuel, consistent
with the provisions of paragraph (b)(1) of this section.
(b) To produce engines under this section, you must do the
following:
(1) Specify in-use adjustments needed so the engine's level of
emission control for each regulated pollutant is equivalent to that from
the certified configuration.
(2) Add the following information to the emission control
information label specified in Sec. 1039.135:
(i) Include instructions describing how to adjust the engine to
operate in a way that maintains the effectiveness of the emission-
control system.
(ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(3) Keep records to document the destinations and quantities of
engines produced under this section.

Sec. 1039.620 What are the provisions for exempting engines used solely
for competition?

The provisions of this section apply for new engines built on or
after January 1, 2006.
(a) Equipment manufacturers may use uncertified engines if the
vehicles or equipment in which they are installed will be used solely
for competition.
(b) The definition of nonroad engine in 40 CFR 1068.30 excludes
engines used solely for competition. These engines are not required to
comply with this part, but 40 CFR 1068.101 prohibits the use of
competition engines for noncompetition purposes.
(c) We consider a vehicle or piece of equipment to be one that will
be used solely for competition if it has features that are not easily
removed that would make its use other than in competition unsafe,
impractical, or highly unlikely.
(d) As an engine manufacturer, your engine is exempt without our
prior approval if you have a written request for an exempted engine from
the equipment manufacturer showing the basis for believing that the
equipment will be used solely for competition. You must permanently
label engines exempted under this section to clearly indicate that they
are to be used solely for competition. Failure to properly label an
engine will void the exemption.
(e) We may discontinue an exemption under this section if we find
that engines are not used solely for competition.

[69 FR 39213, June 29, 2004, as amended at 86 FR 34505, June 29, 2021]

Sec. 1039.625 What requirements apply under the program for equipment
-manufacturer flexibility?

The provisions of this section allow equipment manufacturers to
produce equipment with engines that are subject to less stringent
emission standards after the Tier 4 emission standards begin to apply.
To be eligible to use the provisions of this section, you must follow
all the instructions in this section. See Sec. 1039.626 for
requirements that apply specifically to companies that manufacture
equipment outside the United States and to companies

[[Page 421]]

that import such equipment without manufacturing it. Engines and
equipment you produce under this section are exempt from the
prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of this
section.
(a) General. If you are an equipment manufacturer, you may introduce
into commerce in the United States limited numbers of nonroad equipment
with engines exempted under this section. You may use the exemptions in
this section only if you have primary responsibility for designing and
manufacturing equipment and your manufacturing procedures include
installing some engines in this equipment. Consider all U.S.-directed
equipment sales in showing that you meet the requirements of this
section, including those from any parent or subsidiary companies and
those from any other companies you license to produce equipment for you.
If you produce a type of equipment that has more than one engine, count
each engine separately. These provisions are available over the
following periods:
(1) These provisions are available for the years shown in the
following table, except as provided in paragraph (a)(2) of this section:

Table 1 of Sec. 1039.625--General Availability of Allowances
------------------------------------------------------------------------
Power category Calendar years
------------------------------------------------------------------------
kW <19................................................ 2008-2014
19 <=kW <56........................................... 2008-2014
56 <=kW <130.......................................... 2012-2018
130 <=kW <=560........................................ 2011-2017
kW 560..................................... 2011-2017
------------------------------------------------------------------------

(2) If you do not use any allowances in a power category before the
earliest dates shown in the following table, you may delay the start of
the seven-year period for using allowances under this section as
follows:

Table 2 of Sec. 1039.625--Availability of Delayed Allowances
------------------------------------------------------------------------
Power category Calendar years
------------------------------------------------------------------------
kW <19................................................ ................
19 <=kW <56........................................... 2012-2018
56 <=kW <130.......................................... 2014-2020
130 <=kW <=560........................................ 2014-2020
kW 560..................................... 2015-2021
------------------------------------------------------------------------

(b) Allowances. You may choose one of the following options for each
power category to produce equipment with exempted engines under this
section, except as allowed under Sec. 1039.627:
(1) Percent-of-production allowances. You may produce a certain
number of units with exempted engines calculated using a percentage of
your total sales within a power category relative to your total U.S.-
directed production volume. The sum of these percentages within a power
category during the seven-year period specified in paragraph (a) of this
section may not exceed 80 percent, except as allowed under paragraph
(b)(2) or (m) of this section.
(2) Small-volume allowances. You may determine an alternate
allowance for a specific number of exempted engines under this section
using one of the following approaches for your U.S.-directed production
volumes:
(i) You may produce up to 700 units with exempted engines within a
power category during the seven-year period specified in paragraph (a)
of this section, with no more than 200 units in any single year within a
power category, except as provided in paragraph (m) of this section.
Engines within a power category that are exempted under this section
must be from a single engine family within a given year.
(ii) For engines below 130 kW, you may produce up to 525 units with
exempted engines within a power category during the seven-year period
specified in paragraph (a) of this section, with no more than 150 units
in any single year within a power category, except as provided in
paragraph (m) of this section. For engines at or above 130 kW, you may
produce up to 350 units with exempted engines within a power category
during the seven-year period, with no more than 100 units in any single
year within a power category. Exemptions under this paragraph (b)(2)(ii)
may apply to engines from multiple engine families in a given year.
(iii) In each power category at or above 56 kW, you may apply the
provisions of paragraph (b)(2)(i) of this section in the first two model
years for which Tier 4 standards apply, regardless of the number of
engine families you use in your equipment, provided

[[Page 422]]

you exceed the single engine family restriction of that paragraph
primarily due to production of equipment intended specifically to travel
on snow and to commonly operate at more than 9,000 feet above sea level.
After the first two Tier 4 model years in a power category, you may
continue to apply the provisions of paragraph (b)(2)(i) of this section,
subject to the single engine family restriction.
(c) Percentage calculation. Calculate for each calendar year the
percentage of equipment with exempted engines from your total U.S.-
directed production within a power category if you need to show that you
meet the percent-of-production allowances in paragraph (b)(1) of this
section.
(d) Inclusion of engines not subject to Tier 4 standards. The
following provisions apply to engines that are not subject to Tier 4
standards:
(1) If you use the provisions of 40 CFR 1068.105(a) to use up your
inventories of engines not certified to new emission standards, do not
include these units in your count of equipment with exempted engines
under paragraph (b) of this section. However, you may include these
units in your count of total equipment you produce for the given year
for the percentage calculation in paragraph (b)(1) of this section.
(2) If you install engines that are exempted from the Tier 4
standards for any reason, other than for equipment-manufacturer
allowances under this section, do not include these units in your count
of exempted engines under paragraph (b) of this section. However, you
may include these units in your count of total equipment you produce for
the given year for the percentage calculation in paragraph (b)(1) of
this section. For example, if we grant a hardship exemption for the
engine manufacturer, you may count these as compliant engines under this
section. This paragraph (d)(2) applies only if the engine has a
permanent label describing why it is exempted from the Tier 4 standards.
(3) Do not include equipment using model year 2008 or 2009 engines
certified under the provisions of Sec. 1039.101(c) in your count of
equipment using exempted engines. However, you may include these units
in your count of total equipment you produce for the given year for the
percentage calculation in paragraph (b)(1) of this section.
(4) You may start using the allowances under this section for
engines that are not yet subject to Tier 4 standards, as long as the
seven-year period for using allowances under the Tier 2 or Tier 3
program has expired. Table 3 of this section shows the years for which
this paragraph (d)(4) applies. To use these early allowances, you must
use engines that meet the emission standards described in paragraph (e)
of this section. You must also count these units or calculate these
percentages as described in paragraph (c) of this section and apply them
toward the total number or percentage of equipment with exempted engines
we allow for the Tier 4 standards as described in paragraph (b) of this
section. The maximum number of cumulative early allowances under this
paragraph (d)(4) is 10 percent under the percent-of-production allowance
or 100 units under the small-volume allowance. For example, if you
produce 5 percent of your equipment with engines between 130 and 560 kW
that use allowances under this paragraph (d)(4) in 2009, you may use up
to an additional 5 percent of your allowances in 2010. If you use
allowances for 5 percent of your equipment in both 2009 and 2010, your
80 percent allowance for 2011-2017 in the 130-560 kW power category
decreases to 70 percent. Manufacturers using allowances under this
paragraph (d)(4) must comply with the notification and reporting
requirements specified in paragraph (g) of this section.

Table 3 of Sec. 1039.625--Years for Early Allowances
------------------------------------------------------------------------
Maximum engine power Calendar years
------------------------------------------------------------------------
kW <19................................................ 2007
19 <=kW <37........................................... 2006-2011
37 <=kW <56........................................... 2011
56 <=kW <75........................................... 2011
75 <=kW <130.......................................... 2010-2011
130 <=kW <225......................................... 2010
225 <=kW <450......................................... 2008-2010
450 <=kW <=560........................................ 2009-2010
KW 560..................................... ................
------------------------------------------------------------------------

(e) Standards. If you produce equipment with exempted engines under
this

[[Page 423]]

section, the engines must meet emission standards specified in this
paragraph (e), or more stringent standards. Note that we consider
engines to be meeting emission standards even if they are certified with
a family emission limit that is higher than the emission standard that
would otherwise apply.
(1) If you are using the provisions of paragraph (d)(4) of this
section, engines must meet the applicable Tier 1 or Tier 2 emission
standards described in appendix I of this part.
(2) If you are using the provisions of paragraph (a)(2) of this
section, engines must be identical in all material respects to engines
certified under this part 1039 as follows:

------------------------------------------------------------------------
Must meet all standards and
Engines in the following power category. . requirements that applied in
. the following model year. .
.
------------------------------------------------------------------------
(i) 19 <=kW <56........................... 2008 (Option 1, where
applicable).
(ii) 56 <=kW <130......................... 2012 (Phase-out).
(iii) 130 <=kW <=560...................... 2011 (Phase-out).
(iv) kW 560.................... 2011.
------------------------------------------------------------------------

(3) In all other cases, engines at or above 56 kW and at or below
560 kW must meet the appropriate Tier 3 standards described in appendix
I of this part. Engines below 56 kW and engines above 560 kW must meet
the appropriate Tier 2 standards described in appendix I of this part.
(f) Equipment labeling. You must add a permanent label, written
legibly in English, to the engine or another readily visible part of
each piece of equipment you produce with exempted engines under this
section. This label, which supplements the engine manufacturer's
emission control information label, must include at least the following
items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) The calendar year in which the equipment is manufactured.
(4) An e-mail address and phone number to contact for further
information, or a Web site that includes this contact information.
(5) The following statement:

THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE
THAT MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.

(g) Notification and reporting. You must notify us of your intent to
use the provisions of this section and send us an annual report to
verify that you are not exceeding the allowances, as follows:
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
(i) Your company's name and address, and your parent company's name
and address, if applicable.
(ii) The name, phone number and e-mail address of a person to
contact for more information.
(iii) The calendar years in which you expect to use the exemption
provisions of this section.
(iv) The name and address of each company you expect to produce
engines for the equipment you manufacture under this section.
(v) Your best estimate of the number of units in each power category
you will produce under this section and whether you intend to comply
under paragraph (b)(1) or (b)(2) of this section.
(vi) The number of units in each power category you have sold in
years for which the Tier 2 and Tier 3 standards apply.
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Identify the following things in your report:
(i) The total count of units you sold in the preceding year for each
power category, based on actual U.S.-directed production information.
(ii) The percentages of U.S.-directed production that correspond to
the number of units in each power category and the cumulative numbers
and percentages of units for all the units you have sold under this
section for each power category. You may omit the percentage figures if
you include in the report a statement that you will not be using the
percent-of-production allowances in paragraph (b)(1) of this section.
(iii) The manufacturer of the engine installed in the equipment you
produce

[[Page 424]]

under this section if this is different than you specified under
paragraph (g)(1)(iv) of this section.
(h) Recordkeeping. Keep the following records of all equipment with
exempted engines you produce under this section for at least five full
years after the final year in which allowances are available for each
power category:
(1) The model number, serial number, and the date of manufacture for
each engine and piece of equipment.
(2) The maximum power of each engine.
(3) The total number or percentage of equipment with exempted
engines, as described in paragraph (b) of this section and all
documentation supporting your calculation.
(4) The notifications and reports we require under paragraph (g) of
this section.
(i) Enforcement. Producing more exempted engines or equipment than
we allow under this section or installing engines that do not meet the
emission standards of paragraph (e) of this section violates the
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we
require under this section if we ask for them (see 40 CFR
1068.101(a)(2)).
(j) Provisions for engine manufacturers. As an engine manufacturer,
you may produce exempted engines as needed under this section. You do
not have to request this exemption for your engines, but you must have
written assurance from equipment manufacturers that they need a certain
number of exempted engines under this section. Send us an annual report
of the engines you produce under this section, as described in Sec.
1039.250(a). Exempt engines must meet the emission standards in
paragraph (e) of this section and you must meet all the requirements of
40 CFR 1068.265, except that engines produced under the provisions of
paragraph (a)(2) of this section must be identical in all material
respects to engines previously certified under this part 1039. If you
show under 40 CFR 1068.265(c) that the engines are identical in all
material respects to engines that you have previously certified to one
or more FELs above the standards specified in paragraph (e) of this
section, you must supply sufficient credits for these engines. Calculate
these credits under subpart H of this part using the previously
certified FELs and the alternate standards. You must meet the labeling
requirements in Sec. 1039.135, as applicable, with the following
exceptions:
(1) Add the following statement instead of the compliance statement
in Sec. 1039.135(c)(12):

THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE
EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(2) You may omit the family emission limits if they are below the
emission standards.
(k) Other exemptions. See 40 CFR 1068.255 for exemptions based on
hardship for equipment manufacturers and secondary engine manufacturers.
(l) [Reserved]
(m) Additional exemptions for technical or engineering hardship. You
may request additional engine allowances under paragraph (b) of this
section; however, you may use these extra allowances only for those
equipment models for which you, or an affiliated company, do not also
produce the engine. Additional allowances under this paragraph (m) must
be used within the specified seven-year period. After considering the
circumstances, we may permit you to introduce into U.S. commerce
equipment with such engines that do not comply with Tier 4 emission
standards, as follows:
(1) We may approve additional exemptions if extreme and unusual
circumstances that are clearly outside your control and that could not
have been avoided with reasonable discretion have resulted in technical
or engineering problems that prevent you from meeting the requirements
of this part. You must show that you exercised prudent planning and have
taken all reasonable steps to minimize the scope of your request for
additional allowances.
(2) To apply for exemptions under this paragraph (m), send the
Designated Compliance Officer a written request as soon as possible
before you

[[Page 425]]

are in violation. In your request, include the following information:
(i) Describe your process for designing equipment.
(ii) Describe how you normally work cooperatively or concurrently
with your engine supplier to design products.
(iii) Describe the engineering or technical problems causing you to
request the exemption and explain why you have not been able to solve
them. Describe the extreme and unusual circumstances that led to these
problems and explain how they were unavoidable.
(iv) Describe any information or products you received from your
engine supplier related to equipment design--such as written
specifications, performance data, or prototype engines--and when you
received it.
(v) Compare the design processes of the equipment model for which
you need additional exemptions and that for other models for which you
do not need additional exemptions. Explain the technical differences
that justify your request.
(vi) Describe your efforts to find and use other compliant engines,
or otherwise explain why none is available.
(vii) Describe the steps you have taken to minimize the scope of
your request.
(viii) Include other relevant information. You must give us other
relevant information if we ask for it.
(ix) Estimate the increased percent of production you need for each
equipment model covered by your request, as described in paragraph
(m)(3) of this section. Estimate the increased number of allowances you
need for each equipment model covered by your request, as described in
paragraph (m)(4) of this section.
(3) We may approve your request to increase the allowances under
paragraph (b)(1) of this section, subject to the following limitations:
(i) You must use up the allowances under paragraph (b)(1) of this
section before using any additional allowances under this paragraph (m).
(ii) The additional allowances under this paragraph (m)(3) may not
exceed 200 percent for each power category.
(iii) You may use these additional allowances only for the specific
equipment models covered by your request.
(4) We may approve your request to increase the small-volume
allowances under paragraph (b)(2) of this section, subject to the
following limitations:
(i) You are eligible for additional allowances under this paragraph
(m)(4) only if you do not use the provisions of paragraph (m)(3) of this
section to obtain additional allowances within a given power category.
(ii) You must use up the allowances under paragraph (b)(2) of this
section before using any additional allowances under this paragraph (m).
(iii) The additional allowances under this paragraph (m)(4) may not
exceed 2,000 units.
(iv) We may approve additional allowances in the form of waiving the
annual limits specified in paragraph (b)(2) of this section instead of
or in addition to increasing the total number of allowances under this
paragraph (m)(4).
(v) If we increase the total number of allowances, you may use these
allowances only for the specific equipment models covered by your
request.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005;
72 FR 53133, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 68461,
Nov. 8, 2010; 78 FR 49966, Aug. 16, 2013; 79 FR 7084, Feb. 6, 2014; 86
FR 34505, June 29, 2021]

Sec. 1039.626 What special provisions apply to equipment imported under
the equipment-manufacturer flexibility program?

This section describes requirements that apply to equipment
manufacturers using the provisions of Sec. 1039.625 for equipment
produced outside the United States. Note that Sec. 1039.625 limits
these provisions to equipment manufacturers that install some engines
and have primary responsibility for designing and manufacturing
equipment. Companies that import equipment into the United States
without meeting these criteria are not eligible for these allowances.
Such importers may import equipment with exempted engines only as
described in paragraph (b) of this section.
(a) As a foreign equipment manufacturer, you or someone else may
import equipment with exempted engines under this section if you comply
with

[[Page 426]]

the provisions in Sec. 1039.625 and commit to the following:
(1) Give any EPA inspector or auditor complete and immediate access
to inspect and audit, as follows:
(i) Inspections and audits may be announced or unannounced.
(ii) Inspections and audits may be by EPA employees or EPA
contractors.
(iii) You must provide access to any location where--
(A) Any nonroad engine, equipment, or vehicle is produced or stored.
(B) Documents related to manufacturer operations are kept.
(C) Equipment, engines, or vehicles are tested or stored for
testing.
(iv) You must provide any documents requested by an EPA inspector or
auditor that are related to matters covered by the inspections or audit.
(v) EPA inspections and audits may include review and copying of any
documents related to demonstrating compliance with the exemptions in
Sec. 1039.625.
(vi) EPA inspections and audits may include inspection and
evaluation of complete or incomplete equipment, engines, or vehicles,
and interviewing employees.
(vii) You must make any of your employees available for interview by
the EPA inspector or auditor, on request, within a reasonable time
period.
(viii) You must provide English language translations of any
documents to an EPA inspector or auditor, on request, within 10 working
days.
(ix) You must provide English-language interpreters to accompany EPA
inspectors and auditors, on request.
(2) 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.
(3) The forum for any civil or criminal enforcement action related
to the provisions of this section for violations of the Clean Air Act or
regulations promulgated thereunder shall be governed by the Clean Air
Act.
(4) The substantive and procedural laws of the United States shall
apply to any civil or criminal enforcement action against you or any of
your officers or employees related to the provisions of this section.
(5) Provide the notification required by Sec. 1039.625(g). Include
in the notice of intent in Sec. 1039.625(g)(1) a commitment to comply
with the requirements and obligations of Sec. 1039.625 and this
section. This commitment must be signed by the owner or president.
(6) You, your agents, officers, and employees must not seek to
detain or to impose civil or criminal remedies against EPA inspectors or
auditors, whether EPA employees or EPA contractors, for actions
performed within the scope of EPA employment related to the provisions
of this section.
(7) By submitting notification of your intent to use the provisions
of Sec. 1039.625, producing and exporting for resale to the United
States nonroad equipment under this section, or taking other actions to
comply with the requirements of this part, you, your agents, officers,
and employees, without exception, become subject to the full operation
of the administrative and judicial enforcement powers and provisions of
the United States as described in 28 U.S.C. 1605(a)(2), without
limitation based on sovereign immunity, for conduct that violates the
requirements applicable to you under this part 1039--including such
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other
applicable provisions of the Clean Air Act--with respect to actions
instituted against you and your agents, officers, and employees in any
court or other tribunal in the United States.
(8) Any report or other document you submit to us must be in the
English language, or include a complete translation in English.
(9) You must post a bond to cover any potential enforcement actions
under the Clean Air Act before you or anyone else imports your equipment
under this section, as follows:
(i) The value of the bond is based on the per-engine bond values
shown in Table 1 of this section and on the highest number of engines in
each power category you produce in any single calendar year under the
provisions of Sec. 1039.625. For example, if you have projected U.S.-
directed production volumes of 100 exempt engines in the 19-56

[[Page 427]]

kW power category and 300 exempt engines in the 56-130 kW power category
in 2013, the appropriate bond amount is $180,000. If your estimated or
actual engine imports increase beyond the level appropriate for your
current bond payment, you must post additional bond to reflect the
increased sales within 90 days after you change your estimate or
determine the actual sales. You may not decrease your bond.
(ii) You may meet the bond requirements of this section with any of
the following methods:
(A) Get a bond from a third-party surety that is cited in the U.S.
Department of Treasury Circular 570, ``Companies Holding Certificates of
Authority as Acceptable Sureties on Federal Bonds and as Acceptable
Reinsuring Companies.'' Maintain this bond for five years after the
applicable allowance period expires, or five years after you use up all
the available allowances under Sec. 1039.625, whichever comes first.
(B) Get us to approve a waiver from the bonding requirement if you
can show that you meet the asset thresholds described in 40 CFR
1054.690.
(iii) If you forfeit some or all of your bond in an enforcement
action, you must post any appropriate bond for continuing importation
within 90 days after you forfeit the bond amount.

Table 1 of Sec. 1039.626--Per-Engine Bond Values
------------------------------------------------------------------------
The per-engine
For engines with maximum engine power falling in the bond value is
following ranges . . . . . .
------------------------------------------------------------------------
kW <19.................................................. $150
19 <=kW <56............................................. 300
56 <=kW <130............................................ 500
130 <=kW <225........................................... 1,000
225 <=kW <450........................................... 3,000
kW =450...................................... 8,000
------------------------------------------------------------------------

(iv) You will forfeit the proceeds of the bond posted under this
section if you need to satisfy any U.S. administrative settlement
agreement, administrative final order or judicial judgment against you
arising from your violation of this chapter, or violation of 18 U.S.C.
1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean
Air Act.
(b) The provisions of this paragraph (b) apply to importers that do
not install engines into equipment and do not have primary
responsibility for designing and manufacturing equipment. Such importers
may import equipment with engines exempted under Sec. 1039.625 only if
each engine is exempted under an allowance provided to an equipment
manufacturer meeting the requirements of Sec. 1039.625 and this
section. You must notify us of your intent to use the provisions of this
section and send us an annual report, as follows:
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
(i) Your company's name and address, and your parent company's name
and address, if applicable.
(ii) The name and address of the companies that produce the
equipment and engines you will be importing under this section.
(iii) Your best estimate of the number of units in each power
category you will import under this section in the upcoming calendar
year, broken down by equipment manufacturer and power category.
(iv) The number of units in each power category you have imported in
years for which the Tier 2 and Tier 3 standards apply.
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Include in your report the total number of engines you
imported under this section in the preceding calendar year, broken down
by engine manufacturer and by equipment manufacturer.

[69 FR 39213, June 29, 2004, as amended at 73 FR 59192, Oct. 8, 2008; 86
FR 34506, June 29, 2021]

Sec. 1039.627 What are the incentives for equipment manufacturers to use cleaner engines?

This section allows equipment manufacturers to generate additional
allowances under the provisions of Sec. 1039.625 by producing equipment
using engines at or above 19 kW certified to specified levels earlier
than otherwise required.
(a) For early-compliant engines to generate offsets for use under
this section, the following general provisions apply:
(1) The engine manufacturer must comply with the provisions of

[[Page 428]]

Sec. 1039.104(a)(1) for the offset-generating engines.
(2) Engines you install in your equipment after December 31 of the
years specified in Sec. 1039.104(a)(1) do not generate allowances under
this section, even if the engine manufacturer generated offsets for that
engine under Sec. 1039.104(a).
(3) Offset-generating engines must be certified to the following
standards under this part 1039:

----------------------------------------------------------------------------------------------------------------
You may reduce the
number of engines in
If the engine's maximum And you install . . Certified early to the same power In later model years
power is . . . . the . . . category that are by . . .
required to meet the
. . .
----------------------------------------------------------------------------------------------------------------
(i) kW =19.. One engine.......... Emissions standards Standards in Tables One engine.
in Sec. 1039.101. 2 through 7 of Sec.
1039.102 or in
Sec. 1039.101.
(ii) 56 <=kW <130...... Two engines......... NOX standards in Standards in Tables One engine.
Sec. 2 through 7 of Sec.
1039.102(e)(1), and 1039.102 or in
NMHC standard of Sec. 1039.101.
0.19 g/kW-hr, a PM
standard of 0.02 g/
kW-hr, and a CO
standard of 5.0 g/
kW-hr.
(iii) 130 <=kW <560.... Two engines......... NOX standards in Standards in Tables One engine.
Sec. 2 through 7 of Sec.
1039.102(e)(2), an 1039.102 or in
NMHC standard of Sec. 1039.101.
0.19 g/kW-hr, a PM
standard of 0.02 g/
kW-hr, and a CO
standard of 3.5 g/
kW-hr.
----------------------------------------------------------------------------------------------------------------

(b) Using engine offsets. (1) You may use engine offsets generated
under paragraph (a) of this section to generate additional allowances
under Sec. 1039.625, as follows:
(i) For each engine offset, you may increase the number of available
allowances under Sec. 1039.625(b) for that power category by one engine
for the years indicated.
(ii) For engines in 56-560 kW power categories, you may transfer
engine offsets across power categories within this power range.
Calculate the number of additional allowances by scaling the number of
generated engine offsets according to the ratio of engine power for
offset and allowance engines. Make this calculation for all your offset
engines for which you will transfer offsets under this paragraph
(b)(1)(ii), then round the result to determine the total number of
available power-weighted allowances. For example, if you generate engine
offsets for 75 500-kW engines, you may generate up to 37,500 kW-engines
of power-weighted allowances. You may apply this to 375 100-kW engines
or any other combination that totals 37,500 kW-engines.
(2) You may decline to use the offsets. If you decline, the engine
manufacturer may use the provisions of Sec. 1039.104(a)(1).
(c) Limitation on offsets for engines above 560 kW. For engines
above 560 kW, you must track how many engines you install in generator
sets and how many you install in other applications under the provisions
of this section. Offsets from generator-set engines may be used only for
generator-set engines. Offsets from engines for other applications may
be used only for other applications besides generator sets.
(d) Reporting. When you submit your first annual report under Sec.
1039.625(g), include the following additional information related to the
engines you use to generate offsets under this section:
(1) The name of each engine family involved.
(2) The number of engines from each power category.
(3) The maximum engine power of each engine.
(4) For engines above 560 kW, whether you use engines certified to
the standards for generator-set engines.
(e) In-use fuel. If the engine manufacturer certifies using ultra
low-sulfur diesel fuel, you must take steps to ensure that the in-use
engines in the family will use diesel fuel with a sulfur concentration
no greater than 15 ppm. For example, selling equipment only into
applications where the operator commits to a central-fueling facility
with ultra low-sulfur diesel fuel

[[Page 429]]

throughout its lifetime would meet this requirement.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]

Sec. 1039.630 What are the economic hardship provisions for equipment
manufacturers?

If you qualify for the economic hardship provisions specified in 40
CFR 1068.255, we may approve your hardship application subject to the
following additional conditions:
(a) You must show that you have used up the allowances to produce
equipment with exempted engines under Sec. 1039.625.
(b) You may produce equipment under this section for up to 12 months
total (or 24 months total for small-volume manufacturers).

Sec. 1039.635 What are the hardship provisions for engine manufacturers?

If you qualify for the hardship provisions specified in 40 CFR
1068.245, we may approve a period of delayed compliance for up to one
model year total (or two model years total for small-volume
manufacturers). If you qualify for the hardship provisions specified in
40 CFR 1068.250 for small-volume manufacturers, we may approve a period
of delayed compliance for up to two model years total.

Sec. 1039.645 What special provisions apply to engines used for
transportation refrigeration units?

Manufacturers may choose to use the provisions of this section for
engines used in transportation refrigeration units (TRUs). The operating
restrictions and characteristics in paragraph (f) of this section define
engines that are not used in TRUs. All provisions of this part apply for
TRU engines, except as specified in this section.
(a) You may certify engines under this section with the following
special provisions:
(1) The engines are not subject to the transient emission standards
of subpart B of this part.
(2) The steady-state emission standards in subpart B of this part
apply for emissions measured over the steady-state test cycle described
in paragraph (b) of this section instead of the otherwise applicable
duty cycle described in Sec. 1039.505.
(b) Measure steady-state emissions using the procedures specified in
Sec. 1039.505, except for the duty cycles, as follows:
(1) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1039.645--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
Torque Weighting
Mode number Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1.......................................... Maximum test speed................. 75 0.25
2.......................................... Maximum test speed................. 50 0.25
3.......................................... Intermediate test speed............ 75 0.25
4.......................................... Intermediate test speed............ 50 0.25
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

(2) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1039.645--Ramped-Modal Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 290 Intermediate Speed..... 75.
1b Transition....................... 20 Intermediate Speed..... Linear Transition.
2a Steady-state..................... 280 Intermediate Speed..... 50.
2b Transition....................... 20 Linear Transition...... Linear Transition.
3a Steady-state..................... 280 Maximum Test Speed..... 75.
3b Transition....................... 20 Maximum Test Speed..... Linear Transition.
4 Steady-state...................... 290 Maximum Test Speed..... 50
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.

[[Page 430]]

\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(c) Engines certified under this section must be certified in a
separate engine family that contains only TRU engines.
(d) You must do the following for each engine certified under this
section:
(1) State on the emission control information label: ``THIS ENGINE
IS CERTIFIED TO OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS.
INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(2) State in the emission-related installation instructions all
steps necessary to ensure that the engine will operate only in the modes
covered by the test cycle described in this section.
(3) Keep records to document the destinations and quantities of
engines produced under this section.
(e) All engines certified under this section must comply with NTE
standards, as described in Sec. 1039.101 or Sec. 1039.102 for the
applicable model year, except that the NTE standards are not limited
with respect to operating speeds and loads. In your application for
certification, certify that all the engines in the engine family comply
with the not-to-exceed emission standards for all normal operation and
use. The deficiency provisions of Sec. 1039.104(d) do not apply to
these engines. This paragraph (e) applies whether or not the engine
would otherwise be subject to NTE standards.
(f) An engine is not considered to be used in a TRU if any of the
following is true:
(1) The engine is installed in any equipment other than
refrigeration units for railcars, truck trailers, or other freight
vehicles.
(2) The engine operates in any mode not covered by the test cycle
described in this section, except as follows:
(i) The engine may operate briefly at idle. Note, however, that TRU
engines must meet NTE emission standards under any type of operation,
including idle, as described in paragraph (e) of this section.
(ii) The engine may have a minimal amount of transitional operation
between two allowable modes. As an example, a thirty-second transition
period would clearly not be considered minimal.
(iii) The engine as installed may experience up to a 2-percent
decrease in load at a given setpoint over any 10-minute period, and up
to a 15-percent decrease in load at a given setpoint over any 60-minute
period.
(3) The engine is sold in a configuration that allows the engine to
operate in any mode not covered by the test cycle described in this
section. For example, this section does not apply to an engine sold
without a governor limiting operation only to those modes covered by the
test cycle described in this section.
(4) The engine is subject to Tier 3 or earlier standards, or phase-
out Tier 4 standards.

[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]

Sec. 1039.650 [Reserved]

Sec. 1039.655 What special provisions apply to engines sold in Guam,
American Samoa, or the Commonwealth of the Northern Mariana Islands?

(a) The prohibitions in Sec. 1068.101(a)(1) do not apply to an
engine if the following conditions are met:
(1) The engine is intended for use and will be used in Guam,
American Samoa, or the Commonwealth of the Northern Mariana Islands.
(2) The engine meets the latest applicable emission standards in
appendix I of this part.
(3) You meet all the requirements of 40 CFR 1068.265.
(b) If you introduce an engine into commerce in the United States
under this section, you must meet the labeling requirements in Sec.
1039.135, but add the following statement instead of the compliance
statement in Sec. 1039.135(c)(12):

[[Page 431]]

THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION
REQUIREMENTS. IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY
TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE
COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(c) Introducing into commerce an engine exempted under this section
in any state or territory of the United States other than Guam, American
Samoa, or the Commonwealth of the Northern Mariana Islands, throughout
its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless
it is exempt under a different provision.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005;
86 FR 34506, June 29, 2021]

Sec. 1039.665 Special provisions for use of engines in emergency
situations.

This section specifies provisions that allow for temporarily
disabling emission controls during qualified emergency situations. For
purposes of this section, a qualified emergency situation is one in
which the condition of an engine's emission controls poses a significant
direct or indirect risk to human life. An example of a direct risk would
be an emission control condition that inhibits the performance of an
engine being used to rescue a person from a life-threatening situation.
An example of an indirect risk would be an emission control condition
that inhibits the performance of an engine being used to provide
electrical power to a data center that routes ``911'' emergency response
telecommunications.
(a) Scope. To facilitate temporarily disabling emission controls
during a qualified emergency situation, manufacturers may apply for
approval of auxiliary emission control devices (AECDs) under this
section. Once activated, an AECD approved under this section may disable
any emission controls as necessary to address a qualified emergency
situation, subject to the limitations in this section. For the purposes
of this section, automatically limiting engine performance to induce an
operator to perform emission-related maintenance--such as refilling a
DEF tank--is considered an emission control. AECDs approved under this
section are not defeat devices, and their proper use during a qualified
emergency situation is not prohibited under Clean Air Act section 203
(42 U.S.C. 7522). Manufacturers may apply for AECD approval at any time;
however, we encourage manufacturers to obtain preliminary approval
before submitting an application for certification. We may allow
manufacturers to apply an approved AECD to engines and equipment that
have already been placed into service.
(b) AECD approval criteria. We will approve an AECD where we
determine that the following criteria have been met:
(1) The AECD's design must be consistent with good engineering
judgment and the manufacturer must show that the AECD deactivates
emission controls only to the extent necessary to address the expected
emergency situation.
(2) Manufacturers must discourage improper activation of the AECD by
displaying information where it is clearly visible to the equipment
operator when the operator is in a position to activate the AECD. Unless
we approve alternate language, state the following: ``EMERGENCY USE
ONLY. SEE OWNERS MANUAL. PENALTIES APPLY FOR MISUSE.''
(3) Manufacturers may design and produce their engines with the AECD
initially armed to allow operators to activate the AECD one time per
engine without any further input or permission from the manufacturer.
The AECD may be subsequently reset as specified in paragraph (b)(8) of
this section.
(4) Except as allowed by paragraph (b)(3) of this section, AECD
activation must require either input of a temporary code,
reconfiguration of the engine's electronic control module by a qualified
service technician, or an equivalent security feature that is unique to
each engine.
(5) The engine controls must be configured to record the total
number of AECD activations in that engine's nonvolatile electronic
memory.
(6) The engine controls must include an operator-activated switch or
other element of design to allow the operator to manually deactivate the
AECD once

[[Page 432]]

a qualified emergency situation has ended. This manual control may
include a ``confirm-delete'' function, as needed, to prevent
unintentionally deactivating the AECD. This control may allow for manual
reactivation of the AECD provided that the AECD's automatic deactivation
limits in paragraph (b)(7) of this section have not yet been reached,
but such reactivation by operators would be allowed only under emergency
situations. This manual deactivation control must not deactivate
operator inducements required by paragraph (b)(9) of this section.
(7) The AECD must automatically deactivate within a cumulative
engine run time of 120 hours after the AECD was initially activated
(excluding any time the AECD was deactivated). The AECD may be
subsequently reset as specified in paragraph (b)(8) of this section. For
emission controls that involve a sequence of increasingly severe engine
performance limits to induce operators to perform emission-related
maintenance, the emission controls may be reset to the initial point of
that sequence when the AECD is deactivated.
(8) The manufacturer must ensure that resetting the AECD cannot
occur without the manufacturer's specific permission, and that resetting
the AECD requires either input of a temporary code, reconfiguration of
the engine's electronic control module by a qualified service
technician, or an equivalent security feature that is unique to each
engine. AECD resets may not occur unless either the manufacturer has
evidence that the emergency situation is continuing or the operator
provides the information required in paragraph (e) of this section, in
writing or by any other means.
(9) The manufacturer must take appropriate additional steps to
induce operators to report AECD activation and request resetting the
AECD. We recommend including one or more persistent visible and/or
audible alarms that are active from the point when the AECD is activated
to the point when it is reset.
(c) Required information. Manufacturers producing engines equipped
with an AECD approved under this section must communicate at least the
following information in writing to the operator:
(1) Instructions for activating, deactivating, and reactivating the
AECD; reporting AECD use; and requesting AECD resets.
(2) A warning that federal regulations prohibit activating the
emergency AECD for something other than a qualified emergency situation,
failing to disable the emergency AECD after a qualified emergency
situation ends, and failing to notify the manufacturer and send reports
as required under paragraph (e) of this section. The warning must also
identify the maximum civil penalty for such violations as described in
40 CFR 1068.101.
(3) Notification that the manufacturer will send the information
from the operator's report under paragraph (e) of this section to EPA
and that federal regulation separately prohibits submitting false
information.
(d) Resetting AECDs. The operator (or other person responsible for
the engine/equipment) may request resetting the AECD at any time. The
manufacturer may reset the AECD only if the manufacturer has evidence
that the emergency situation is continuing, or after the operator
provides the information required in paragraph (e) of this section, in
writing or by any other means.
(e) Operator reporting of AECD use. The operator (or other person
responsible for the engine/equipment) must send a written report to the
manufacturer within 60 calendar days after activating an AECD approved
under this section. The report must include the following:
(1) Contact name, mail and email addresses, and telephone number for
the responsible company or entity.
(2) A description of the emergency situation, the location of the
engine during the emergency, and the contact information for an official
who can verify the emergency situation (such as a county sheriff, fire
marshal, or hospital administrator).
(3) The reason for AECD activation during the emergency situation,
such as the lack of DEF, or the failure of an emission-related sensor
when the engine was needed to respond to an emergency situation.

[[Page 433]]

(4) The engine's serial number (or equivalent).
(5) A description of the extent and duration of the engine operation
while the AECD was active, including a statement describing whether or
not the AECD was manually deactivated after the emergency situation
ended.
(f) Operator failure to report. If the operator fails to submit the
report required by paragraph (e) of this section to the manufacturer
within 60 days of activating an AECD approved under this section, the
manufacturer, to the extent it has been made aware of the AECD
activation, must send written notification to the operator that failure
to meet the submission requirements may subject the operator to
penalties under 40 CFR 1068.101.
(g) Prohibited acts. The following actions by the operator are
improper use of the AECD and are prohibited under Clean Air Act section
203 (42 U.S.C. 7522):
(1) Activating the emergency AECD for any use other than a qualified
emergency situation where the emission control strategy would curtail
engine performance.
(2) Failing to disable the emergency AECD after a qualified
emergency situation has ended.
(3) Failing to disable the emergency AECD after the problem causing
the emission control strategy to interfere with engine performance has
been or can reasonably be fixed.
(4) Failing to provide the information required under paragraph (e)
of this section within 60 days of AECD activation.
(h) Manufacturer reporting to EPA. Within 90 days after each
calendar year, the manufacturer must send an annual report to the
Designated Compliance Officer describing the use of AECDs approved under
this section. A manufacturer may request an extension if it is
impractical to meet this deadline as the result of an emergency
situation occurring late in a given calendar year. The annual report
must include a description of each emergency situation leading to each
AECD activation and copies of the reports submitted by operators (or
statements that an operator did not submit a report, to the extent of
the manufacturer's knowledge).
(i) Submissions to EPA. Notifications and reports submitted to
comply with this section are deemed to be submissions to EPA.
(j) Recordkeeping. The manufacturer must keep records to document
the use of AECDs approved under this section until the end of the
calendar year five years after the onset of the relevant emergency
situation. We may approve alternate recordkeeping and reporting
requirements.
(k) Anti-circumvention. We may set other reasonable conditions to
ensure that the provisions in this section are not used to circumvent
the emission standards of this part.

[79 FR 46373, Aug. 8, 2014]

Sec. 1039.670 Approval of an emergency equipment field modification
(EEFM).

This section describes how you may implement design changes for
emergency equipment that has already been placed into service to ensure
that the equipment will perform properly in emergency situations.
(a) You must notify us in writing of your intent to install or
distribute an emergency equipment field modification (EEFM). In some
cases you may install or distribute an EEFM only with our advance
approval, as specified in this section.
(b) Include in your notification a full description of the EEFM and
any documentation to support your determination that the EEFM is
necessary to prevent the equipment from losing speed, torque, or power
due to abnormal conditions of its emission control system during
operation related to emergency response, or to prevent such abnormal
conditions from occurring during operation related to emergency
response. Examples of such abnormal conditions may include excessive
exhaust backpressure from an overloaded particulate trap, or running out
of diesel exhaust fluid (DEF) for engines that rely on urea-based
selective catalytic reduction. Your determination must be based on an
engineering evaluation or testing or both.
(c) You may need our advance approval for your EEFM, as follows:

[[Page 434]]

(1) Where the proposed EEFM is identical to an AECD we approved
under this part for an engine family currently in production, no
approval of the proposed EEFM is necessary.
(2) Where the proposed EEFM is for an engine family currently in
production but the applicable demonstration is based on an AECD we
approved under this part for an engine family no longer in production,
you must describe to us how your proposed EEFM differs from the approved
AECD. Unless we say otherwise, your proposed EEFM is deemed approved 30
days after you notify us.
(3) If we have not approved an EEFM comparable to the one you are
proposing, you must get our approval before installing or distributing
it. In this case, we may request additional information to support your
determination under paragraph (b) of this section, as follows:
(i) If we request additional information and you do not provide it
within 30 days after we ask, we may deem that you have retracted your
request for our approval; however, we may extend this deadline for
submitting the additional information.
(ii) We will deny your request if we determine that the EEFM is not
necessary to prevent the equipment from losing speed, torque, or power
due to abnormal conditions of the emission control system during
operation related to emergency response, or to prevent such abnormal
conditions from occurring during operation related to emergency
response.
(iii) Unless we say otherwise, your proposed EEFM is deemed approved
30 days after we acknowledge that you have provided us with all the
additional information we have specified.
(4) If your proposed EEFM is deemed to be approved under paragraph
(c)(2) or (3) of this section and we find later that your EEFM in fact
does not meet the requirements of this section, we may require you to no
longer install or distribute it.

[77 FR 34147, June 8, 2012, as amended at 79 FR 46375, Aug. 8, 2014]

Sec. 1039.699 Emission standards and certification requirements for
auxiliary power units for highway tractors.

(a) This section describes emission standards and certification
requirements for auxiliary power units (APU) installed on highway
tractors subject to standards under 40 CFR 1037.106 starting in model
year 2024.
(b) You may apply for a certificate of conformity under this section
if you manufacture APUs, or if you install emission control hardware to
meet the standard in this section.
(c) Exhaust emissions may not exceed a PM standard of 0.02 g/kW-hr
when tested using the steady-state test procedures described in subpart
F of this part for the duty cycles specified in Sec. 1039.505(b)(1).
Your APUs must meet the exhaust emission standards of this section over
the engine's useful life as specified in Sec. 1039.101(g). These
emission standards also apply for testing with production and in-use
APUs.
(d) The APU is deemed to have a valid certificate of conformity
under this section if the engine manufacturer certifies the engine under
40 CFR part 1039 with a family emission limit of 0.02 g/kW-hr or less.
(e) The APU may draw power from the installed engine to regenerate a
particulate filter, but you must not make any other changes to the
certified engine that could reasonably be expected to increase its
emissions of any pollutant.
(f) Sections 1039.115, 1039.120, 1039.125, and 1039.130 apply for
APUs as written. You must exercise due diligence in ensuring that your
system will not adversely affect safety or otherwise violate the
prohibition of Sec. 1039.115(f).
(g) All your APUs are considered to be part of a single emission
family; however, you may subdivide your APUs into multiple emission
families if you show the expected emission characteristics are different
during the useful life.
(h) Testing requirements apply for certification as follows:
(1) Select an emission-data APU representing a worst-case condition
for PM emissions. Measure emissions from the test engine with the APU
installed according to your specifications.

[[Page 435]]

(2) 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.
(3) Collect emission data and round to the nearest 0.01 g/kW-hr for
comparing to the standard. Calculate full-life emissions as described in
Sec. 1039.240(d) if you need to apply a deterioration factor.
(4) You may ask to use emission data from a previous production
period instead of doing new tests as described in Sec. 1039.235(d).
(5) Additional testing provisions apply as described in Sec.
1039.235(c), (e), and (f).
(i) Your APU certificate is valid for any engine certified under
this part 1039, as long as the engine has a maximum engine power no more
than 10 percent greater than the maximum engine power of the engine used
for certification testing under this section.
(j) The following provisions apply for determining whether your APU
complies with the requirements of this section:
(1) For purposes of certification, your emission family is
considered in compliance with the emission standards of this section if
all emission-data APUs representing that family have test results
showing compliance with the standards.
(2) Your engine family is deemed not to comply if any emission-data
APU representing that family for certification has test results showing
a full-life emission level above the PM standard.
(k) At the time of manufacture, affix a permanent and legible label
identifying each APU. This applies even if the engine manufacturer
certifies a compliant engine as described in paragraph (d) of this
section. The label must meet the specifications described in 40 CFR
1068.45(a). The label must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark.
(3) State: ``THIS APU ENGINE COMPLIES WITH 40 CFR 1039.699.''
(l) [Reserved]
(m) See Sec. Sec. 1039.201, 1039.210, 1039.220, 1039.225, 1039.250,
and 1039.255 for general requirements related to obtaining a certificate
of conformity. A certificate issued under this section may apply for a
production period lasting up to five years. Include the following
information in your application for certification, unless we ask you to
include less information:
(1) Describe the emission family's specifications and other basic
parameters of the APU's design and emission controls. List each
distinguishable configuration in the emission family. For each APU
configuration, list the maximum engine power for which the APU is
designed to operate.
(2) Explain how the emission control system operates. Identify the
part number of each component you describe.
(3) Describe the engines you selected for testing and the reasons
for selecting them.
(4) Describe the test equipment and procedures that you used. Also
describe any special or alternate test procedures you used.
(5) Describe how you operated the emission-data APU before testing,
including any operation to break in the APU or otherwise stabilize
emission levels. Describe any scheduled maintenance you did.
(6) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(7) Include the maintenance and warranty instructions you will
provide (see Sec. Sec. 1039.120 and 1039.125).
(8) Describe your emission control information label.
(9) Identify the emission family's deterioration factors and
describe how you developed them, or summarize your analysis describing
why you don't expect performance of emission controls to deteriorate.
Present any emission test data you used for this.
(10) State that you operated your emission-data APU as described in
the

[[Page 436]]

application (including the test procedures, test parameters, and test
fuels) to show you meet the requirements of this part.
(11) Present emission data for PM.
(12) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. We may ask you to send other information to
confirm that your tests were valid under the requirements of this part
and 40 CFR part 1065.
(13) Describe any adjustable operating parameters as described in
Sec. 1039.205(s).
(14) Unconditionally certify that all the APUs in the emission
family comply with the requirements of this part, other referenced parts
of the CFR, and the Clean Air Act.
(15) Provide additional information if we say we need it to evaluate
your application.
(16) 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.
(n) If a highway tractor manufacturer violates 40 CFR 1037.106(g) by
installing an APU from you that is not properly certified and labeled,
you are presumed to have caused the violation (see 40 CFR 1068.101(c)).

[81 FR 74138, Oct. 25, 2016]

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1039.701 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 1039.740 restricts the use of emission credits to
certain averaging sets.
(c) The definitions of Subpart I 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) Averaging set means a set of engines in which emission credits
may be exchanged only with other engines in the same averaging set.
(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.
(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 an engine 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. 1039.225. The
new FEL may apply only to engines you have not already introduced into
commerce. Each engine's emission control information label must include
the applicable FELs.
(h) You may use either of the following approaches to retire or
forego emission credits:

[[Page 437]]

(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.
1039.730. 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 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.

[69 FR 39213, June 29, 2004, as amended at 81 FR 74139, Oct. 25, 2016]

Sec. 1039.705 How do I generate and calculate emission credits?

The provisions of this section apply separately for calculating
emission credits for NOX, NOX + NMHC, or PM.
(a) [Reserved]
(b) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg), using consistent units throughout the following
equation:

Emission credits (kg) = (Std-FEL) [ltarr8] (Volume) [ltarr8] (AvgPR)
[ltarr8] (UL) [ltarr8] (10^-3)

Where:

Std = the emission standard, in grams per kilowatt-hour, that applies
under subpart B of this part for engines not participating in
the ABT program of this subpart (the ``otherwise applicable
standard'').
FEL = the family emission limit for the engine family, in grams per
kilowatt-hour.
Volume = the number of 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.
AvgPR = the average value of maximum engine power values for the engine
configurations within an engine family, calculated on a sales-
weighted basis, in kilowatts.
UL = the useful life for the given engine family, in hours.
(c) As described in Sec. 1039.730, compliance with the requirements
of this subpart is determined at the end of the model year based on
actual U.S.-directed production volumes. Do not include any of the
following engines to calculate emission credits:
(1) Engines with a permanent exemption 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. 1039.5.
(4) Engines in families that include only stationary engines, except
for engines in families certified to standards that are identical to
standards applicable under this part 1039 to nonroad engines of the same
type for the same model year.
(5) Any other engines, where we indicate elsewhere in this part 1039
that they are not to be included in the calculations of this subpart.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006;
72 FR 53133, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74139,
Oct. 25, 2016]

Sec. 1039.710 How do I average emission credits?

(a) Averaging is the exchange of emission credits among your engine
families. You may average emission credits only within the same
averaging set.
(b) You may certify one or more engine families to an FEL above the
applicable 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 standard, you must obtain enough emission credits
to offset the engine family's deficit by the due date

[[Page 438]]

for the final report required in Sec. 1039.730. 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.

[69 FR 39213, June 29, 2004, as amended at 81 FR 74140, Oct. 25, 2016]

Sec. 1039.715 How do I bank emission credits?

(a) Banking is the retention of 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. 1039.730 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.

[75 FR 22992, Apr. 30, 2010]

Sec. 1039.720 How do I trade emission credits?

(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 may be
used only within 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. 1039.255(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. 1039.745.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]

Sec. 1039.725 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
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 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.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010;
81 FR 74140, Oct. 25, 2016]

Sec. 1039.730 What ABT reports must I send to EPA?

[[Page 439]]

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 set.
(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. 1039.225.
(4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual U.S.-directed production volume associated with each FEL.
(5) Maximum engine power for each engine configuration, and the
average engine 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 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.
(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) 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.
(f) 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 (f)(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.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007;
75 FR 22992, Apr. 30, 2010; 81 FR 74140, Oct. 25, 2016]

[[Page 440]]

Sec. 1039.735 What records must I keep?

(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.
(c) Keep a copy of the reports we require in Sec. 1039.725 and
Sec. 1039.730.
(d) Keep records of the engine identification 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 FEL and the range of engine identification numbers associated with
each FEL. 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.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53133, Sept. 18, 2007;
75 FR 22993, Apr. 30, 2010; 81 FR 74140, Oct. 25, 2016]

Sec. 1039.740 What restrictions apply for using emission credits?

The following restrictions apply for using emission credits:
(a) Averaging sets. Emission credits may be exchanged only within an
averaging set. For emission credits generated by Tier 4 engines, there
are two averaging sets--one for engines at or below 560 kW and another
for engines above 560 kW.
(b) Emission credits from earlier tiers of standards. (1) For
purposes of ABT under this subpart, you may not use emission credits
generated from engines subject to emission standards identified in
appendix I of this part, except as specified in Sec. 1039.102(d)(1) or
as follows:

------------------------------------------------------------------------
And it was
certified to the Then you may use
If the maximum power of the following those banked
credit-generating engine is * * standards credits for the
* identified in following Tier 4
appendix I of this engines * * *
part * * *
------------------------------------------------------------------------
(i) kW < 19..................... Tier 2............ kW < 19.
(ii) 19 <= kW < 37.............. Tier 2............ kW =
19.
(iii) 37 <= kW <= 560........... Tier 3............ kW =
19.
(iv) kW 560......... Tier 2............ kW =
19.
------------------------------------------------------------------------

(2) Emission credits generated from marine engines certified to the
standards identified in appendix I of this part for land-based engines
may not be used under this part.
(c) NOX and NOX + NMHC emission credits. You may use NOX
emission credits without adjustment to show compliance with
NOX + NMHC standards. You may use NOX + NMHC
emission credits to show compliance with NOX standards, but
you must adjust the NOX + NMHC emission credits downward by
twenty percent when you use them, as shown in the following equation:

NOX emission credits = (0.8) x (NOX + NMHC
emission credits).

(d) Other restrictions. Other sections of this part specify
additional restrictions for using emission credits under certain special
provisions.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005;
81 FR 74140, Oct. 25, 2016; 86 FR 34506, June 29, 2021]

Sec. 1039.745 What can happen if I do not comply with the provisions
of this subpart?

[[Page 441]]

(b) You may certify your engine family to an FEL above an applicable
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. 1039.820).

Subpart I_Definitions and Other Reference Information

Sec. 1039.801 What definitions apply to this part?

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 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 engine 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 that is difficult to access if it
cannot be adjusted to affect emissions without significantly degrading
engine performance, or if you otherwise 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
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 means 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.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
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.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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. 1039.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient or
steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Constant-speed engine means an engine whose certification is limited
to constant-speed operation. Engines whose constant-speed governor
function is removed or disabled are no longer constant-speed engines.
Constant-speed operation has the meaning given in 40 CFR 1065.1001.

[[Page 442]]

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.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
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 engine.
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.
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.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1039.505.
Dual-fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels (see
Sec. 1039.601(b)). 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.
Emergency equipment means any of the following types of equipment
that is not a motor vehicle:
(1) Specialized vehicles used to perform aircraft rescue and/or
fire-fighting functions at airports, with particular emphasis on saving
lives and reducing injuries coincident with aircraft fires following
impact, or aircraft ground fires.
(2) Wildland firefighting equipment designed primarily to support
wildland fire suppression operations. For example, a bulldozer designed
with special features for fighting wildfires would be a piece of
emergency equipment.
(3) Any other equipment that we have determined will likely be used
in emergency situations where emission control function or malfunction
may cause a significant risk to human life. For example, we would
consider nonroad equipment that is certain to be retrofitted with a
slip-on firefighting module to be emergency equipment, irrespective of
the equipment manufacturer's original design. In making this
determination, we may consider any factor that has an effect on the
totality of the actual risk to human life. For example, we may consider
how frequently the equipment will be used in emergency situations or how
likely it is that the emission controls will cause a significant risk to
human life when the equipment is used in emergency situations. We will
consider to what extent the flexibility provisions of Sec. 1039.665
already address the risk. In the example above, we would not consider
equipment to be emergency equipment if there is merely a possibility
(rather than a certainty) that the equipment will be retrofitted with a
slip-on firefighting module.
Emission-control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.

[[Page 443]]

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 within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
Engine family has the meaning given in Sec. 1039.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Engine used in a locomotive means either an engine placed in the
locomotive to move other equipment, freight, or passenger traffic; or an
engine mounted on the locomotive to provide auxiliary power.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer. (Note: In Sec. 1039.626, the term ``equipment
manufacturer'' has a narrower meaning, which applies only to that
section.)
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1039.5, is not
subject to this part 1039.
Exempted has the meaning we give 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 emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places as
the emission standard it replaces. The family emission limit serves as
the emission standard for the engine family with respect to all required
testing.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels (see Sec. 1039.601(b)).
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.
Generator-set engine means an engine used primarily to operate an
electrical generator or alternator to produce electric power for other
applications.
Good engineering judgment has the meaning we give in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate good
engineering judgment.
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 we give in
40 CFR part 1065.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type. For alcohol-fueled engines, HC
means total hydrocarbon equivalent (THCE). 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

[[Page 444]]

particular engine from other similar engines.
Intermediate test speed has the meaning given in 40 CFR 1065.1001.
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 300 hours of operation for engines with NOX
aftertreatment and 125 hours of operation for other engines.
Low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
with a maximum sulfur concentration of 500 parts per million.
(2) For testing, low-sulfur diesel fuel has the meaning we give in
40 CFR part 1065.
Manufacture means the physical and engineering process of designing,
constructing, and assembling a nonroad engine or a piece of nonroad
equipment.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, or piece of equipment for sale in the United States or
otherwise introduces a new nonroad engine into commerce in the United
States. This includes importers who import engines, equipment, or
vehicles for resale. (Note: In Sec. 1039.626, the term ``equipment
manufacturer'' has a narrower meaning, which applies only to that
section.)
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1039.140. Note
that Sec. 1039.230 generally disallows grouping engines from different
power categories in the same engine family.
Maximum test speed has the meaning we give in 40 CFR 1065.1001.
Maximum test torque has the meaning we give in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured equipment and engines (see definition
of ``new nonroad engine,'' paragraph (1)), model year means one of the
following:
(i) Calendar year of production.
(ii) Your annual new model production period if it is different than
the calendar year. This must include January 1 of the calendar year for
which the model year is named. It may not begin before January 2 of the
previous calendar year and it must end by December 31 of the named
calendar year.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad engine,''
paragraph (2).)
(3) For a nonroad engine excluded under Sec. 1039.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced (see
definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.

[[Page 445]]

(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine'' in this section, model year means
the calendar year in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar year
in which the engine is first assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
Motor vehicle has the meaning we give in 40 CFR 85.1703(a).
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced until
the ultimate purchaser receives the title or the product is placed into
service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or a
stationary engine that is later used or intended to be used in a piece
of nonroad equipment. In this case, the engine is no longer a motor
vehicle or stationary engine and becomes a ``new nonroad engine.'' The
engine is no longer new when it is placed into nonroad service. This
paragraph (2) applies if a motor vehicle engine or a stationary engine
is installed in nonroad equipment, or if a motor vehicle or a piece of
stationary equipment is modified (or moved) to become nonroad equipment.
(3) A nonroad engine that has been previously placed into service in
an application we exclude under Sec. 1039.5, when that engine is
installed in a piece of equipment that is covered by this part 1039. The
engine is no longer new when it is placed into nonroad service covered
by this part 1039. For example, this would apply to marine diesel engine
that is no longer used in a marine vessel but is instead installed in a
piece of nonroad equipment subject to the provisions of this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a title
for the equipment or the product is placed into service, whichever comes
first.
(5) An imported nonroad engine, subject to the following provisions:
(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or more
of paragraphs (1) through (4) of this definition, where the original
engine manufacturer holds the certificate, is new as defined by those
applicable paragraphs.
(ii) An imported engine covered by a certificate of conformity
issued under this part, where someone other than the original engine
manufacturer holds the certificate (such as when the engine is modified
after its initial assembly), is a new nonroad engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new, but only if it was produced on or after the dates
shown in the following table. This addresses uncertified engines and
equipment initially placed into service that someone seeks to import
into the United States. Importation of this kind of engine (or equipment
containing such an engine) is generally prohibited by 40 CFR part 1068.
However, the importation of such an engine is not prohibited if the
engine has an earlier model year than that identified in the following
table:

Applicability of Emission Standards for Nonroad Diesel Engines
------------------------------------------------------------------------
Initial date of emission
Maximum engine power standards
------------------------------------------------------------------------
kW <19................................. January 1, 2000.
19 <=kW <37............................ January 1, 1999.
37 <=kW <75............................ January 1, 1998.
75 <=kW <130........................... January 1, 1997.
130 <=kW <=560......................... January 1, 1996.
kW 560...................... January 1, 2000.
------------------------------------------------------------------------

New nonroad equipment means either of the following things:

[[Page 446]]

(1) A nonroad piece of equipment for which the ultimate purchaser
has never received the equitable or legal title. The product is no
longer new when the ultimate purchaser receives this title or the
product is placed into service, whichever comes first.
(2) An imported nonroad piece of equipment with an engine not
covered by a certificate of conformity issued under this part at the
time of importation and manufactured after the requirements of this part
start to apply (see Sec. 1039.1).
Noncommercial fuel means a combustible product that is not marketed
as a commercial fuel, but is used as a fuel for nonroad engines. For
example, this includes methane that is produced and released from
landfills or oil wells, or similar unprocessed fuels that are not
intended to meet any otherwise applicable fuel specifications. See Sec.
1039.615 for provisions related to engines designed to burn
noncommercial fuels.
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.
Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon
species except methane. Refer to 40 CFR 1065.660 for NMHC determination.
Nonroad means relating to nonroad engines or equipment that includes
nonroad engines.
Nonroad engine has the meaning we give in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft. This part does not apply to all nonroad engines (see Sec.
1039.5).
Nonroad equipment means a piece of equipment that is powered by one
or more nonroad engines.
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 regeneration
adjustment 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. 1039.501.
Owners manual means a document or collection of documents prepared
by the engine 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.
Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
Piece of equipment means any vehicle, vessel, or other type of
equipment using engines to which this part applies.
Placed into service means put into initial use for its intended
purpose. Engines and equipment do not qualify as being ``placed into
service'' based on incidental use by a manufacturer or dealer.
Power category means a specific range of maximum engine power that
defines the applicability of standards. For example, references to the
56-130 kW power category and 56 <=kW <130 include all engines with
maximum engine power at or above 56 kW but below 130 kW. Also references
to 56-560 kW power categories or 56 <=kW <=560 include all engines with
maximum engine power at or above 56 kW but at or below 560 kW, even
though these engines span multiple power categories. Note that in some
cases, FEL caps are based on a subset of a power category. The power
categories are defined as follows:
(1) Engines with maximum power below 19 kW.
(2) Engines with maximum power at or above 19 kW but below 56 kW.
(3) Engines with maximum power at or above 56 kW but below 130 kW.
(4) Engines with maximum power at or above 130 kW but at or below
560 kW.
(5) Engines with maximum power above 560 kW.

[[Page 447]]

Ramped-modal means relating to the ramped-modal type of steady-state
test described in Sec. 1039.505.
Rated speed means the maximum full-load governed speed for governed
engines and the speed of maximum power for ungoverned engines.
Revoke has the meaning we give 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-volume engine manufacturer means an engine manufacturer with
1,000 or fewer employees that has had annual U.S.-directed production
volume of no more than 2,500 units. For manufacturers owned by a parent
company, these limits apply to the total number of employees and
production volume from the parent company and all its subsidiaries.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating 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.
Sulfur-sensitive technology means an emission control technology
that experiences a significant drop in emission control performance or
emission-system durability when an engine is operated on low-sulfur
diesel fuel (i.e., 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 we give 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.
Tier 1 means relating to the Tier 1 emission standards identified in
appendix I of this part.
Tier 2 means relating to the Tier 2 emission standards identified in
appendix I of this part.
Tier 3 means relating to the Tier 3 emission standards identified in
appendix I of this part.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1039.101 and Sec. 1039.102. This includes the emission standards
that are shown in Sec. 1039.101 and Sec. 1039.102 that are unchanged
from Tier 2 or Tier 3 emission standards.
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 hydrocarbons, alcohols and aldehydes, or other organic
compounds that are measured separately as contained in a gas sample,
expressed as exhaust hydrocarbon from petroleum-fueled engines. The
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases such
new nonroad equipment or new nonroad engine 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 with a maximum sulfur concentration of 15 parts per million.
(2) For testing, ultra low-sulfur diesel fuel has the meaning we
give in 40 CFR part 1065.

[[Page 448]]

United States has the meaning we give in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
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.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
nonroad engine is required to comply with all applicable emission
standards. See Sec. 1039.101(g).
Variable-speed engine means an engine that is not a constant-speed
engine.
Void has the meaning we give in 40 CFR 1068.30.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005;
72 FR 53133, Sept. 18, 2007; 73 FR 59192, Oct. 8, 2008; 75 FR 22993,
Apr. 30, 2010; 77 FR 34147, June 8, 2012; 79 FR 46375, Aug. 8, 2014; 81
FR 74140, Oct. 25, 2016; 86 FR 34506, June 29, 2021]

Sec. 1039.805 What symbols, acronyms, and abbreviations does this part use?

The following symbols, acronyms, and abbreviations apply to this
part:

CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
DEF Diesel exhaust fluid.
EEFM Emergency equipment field modification.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization (see www.iso.org).
kW kilowatts.
N2O nitrous oxide.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
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.
TRU transportation refrigeration unit.
U.S.C. United States Code.

[69 FR 39213, June 29, 2004, as amended at 74 FR 56509, Oct. 30, 2009;
77 FR 34148, June 8, 2012]

Sec. 1039.815 What provisions apply to confidential information?

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

[81 FR 74141, Oct. 25, 2016]

Sec. 1039.820 How do I request a hearing?

Sec. 1039.825 What reporting and recordkeeping requirements apply
under this part?

[[Page 449]]

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. 1039.255, 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. 1039.801).
(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.
(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
equipment regulated under this part:
(1) We specify the following requirements related to engine
certification in this part 1039:
(i) In Sec. 1039.20 we require engine manufacturers to label
stationary engines that do not meet the standards in this part.
(ii) In Sec. 1039.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
(iii) [Reserved]
(iv) In subpart C of this part we identify a wide range of
information required to certify engines.
(v) [Reserved]
(vi) 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. For example, equipment
manufacturers must submit reports and keep records related to the
flexibility provisions in Sec. 1039.625.
(vii) In Sec. 1039.725, 1039.730, and 1039.735 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 equipment 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.

[[Page 450]]

(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.

[81 FR 74141, Oct. 25, 2016]

Sec. Appendix I to Part 1039--Summary of Previous Emission Standards

The following standards, which EPA originally adopted under 40 CFR
part 89, apply to nonroad compression-ignition engines produced before
the model years specified in Sec. 1039.1:
(a) Tier 1 standards apply as summarized in the following table:

Table 1 to Appendix I--Tier 1 Emission Standards
[g/kW-hr]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Starting model
Rated power (kW) year NOX HC NOX+NMHC CO PM
--------------------------------------------------------------------------------------------------------------------------------------------------------
kW < 8.................................................. 2000 .............. .............. 10.5 8.0 1.0
8 <= kW < 19............................................ 2000 .............. .............. 9.5 6.6 0.80
19 <= kW < 37........................................... 1999 .............. .............. 9.5 5.5 0.80
37 <= kW < 75........................................... 1998 9.2
75 <= kW < 130.......................................... 1997
130 <= kW <= 560........................................ 1996 9.2 1.3 11.4 0.54
kW 560...................................... 2000
--------------------------------------------------------------------------------------------------------------------------------------------------------

(b) Tier 2 standards apply as summarized in the following table:

Table 2 to Appendix I--Tier 2 Emission Standards
[g/kW-hr]
----------------------------------------------------------------------------------------------------------------
Starting model
Rated power (kW) year NOX+NMHC CO PM
----------------------------------------------------------------------------------------------------------------
kW < 8.......................................... 2005 7.5 8.0 0.80
8 <= kW < 19.................................... 2005 7.5 6.6 0.80
19 <= kW < 37................................... 2004 7.5 5.5 0.60
37 <= kW < 75................................... 2004 7.5 5.0 0.40
75 <= kW < 130.................................. 2003 6.6 5.0 0.30
130 <= kW < 225................................. 2003 6.6 3.5 0.20
225 <= kW < 450................................. 2001 6.4 3.5 0.20
450 <= kW <= 560................................ 2002
kW 560.............................. 2006
----------------------------------------------------------------------------------------------------------------

Table 3 to Appendix I--Tier 3 Emission Standards
[g/kW-hr]
----------------------------------------------------------------------------------------------------------------
Starting model
Rated power (kW) year NOX+NMHC CO PM
----------------------------------------------------------------------------------------------------------------
37 <= kW < 75................................... 2008 4.7 5.0 0.40
75 <= kW < 130.................................. 2007 4.0 5.0 0.30
130 <= kW <= 560................................ 2006 4.0 3.5 0.20
----------------------------------------------------------------------------------------------------------------

(d) Tier 1 through Tier 3 standards applied only for discrete-mode
steady-state testing. There were no not-to-exceed standards or transient
testing.

[86 FR 34507, June 29, 2021]

Appendix II to Part 1039--Steady-State Duty Cycles

(a) The following duty cycles apply for constant-speed engines:
(1) The following duty cycle applies for discrete-mode testing:

[[Page 451]]

----------------------------------------------------------------------------------------------------------------
Torque Weighting
D2 mode number Engine speed (percent) \1\ factors
----------------------------------------------------------------------------------------------------------------
1.......................................... Engine governed.................... 100 0.05
2.......................................... Engine governed.................... 75 0.25
3.......................................... Engine governed.................... 50 0.30
4.......................................... Engine governed.................... 25 0.30
5.......................................... Engine governed.................... 10 0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed Torque (percent) \1 2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 53 Engine governed............ 100.
1b Transition...................... 20 Engine governed............ Linear transition.
2a Steady-state.................... 101 Engine governed............ 10.
2b Transition...................... 20 Engine governed............ Linear transition.
3a Steady-state.................... 277 Engine governed............ 75.
3b Transition...................... 20 Engine governed............ Linear transition.
4a Steady-state.................... 339 Engine governed............ 25.
4b Transition...................... 20 Engine governed............ Linear transition.
5 Steady-state..................... 350 Engine governed............ 50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

(b) The following duty cycles apply for variable-speed engines with
maximum engine power below 19 kW:
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
G2 mode number Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1.......................................... Maximum test speed................. 100 0.09
2.......................................... Maximum test speed................. 75 0.20
3.......................................... Maximum test speed................. 50 0.29
4.......................................... Maximum test speed................. 25 0.30
5.......................................... Maximum test speed................. 10 0.07
6.......................................... Warm idle.......................... 0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1 3\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 41 Warm idle.................. 0.
1b Transition...................... 20 Linear transition.......... Linear transition.
2a Steady-state.................... 135 Maximum test speed......... 100.
2b Transition...................... 20 Maximum test speed......... Linear transition.
3a Steady-state.................... 112 Maximum test speed......... 10.
3b Transition...................... 20 Maximum test speed......... Linear transition.
4a Steady-state.................... 337 Maximum test speed......... 75.
4b Transition...................... 20 Maximum test speed......... Linear transition.
5a Steady-state.................... 518 Maximum test speed......... 25.
5b Transition...................... 20 Maximum test speed......... Linear transition.
6a Steady-state.................... 494 Maximum test speed......... 50.
6b Transition...................... 20 Linear transition.......... Linear transition.
7 Steady-state..................... 43 Warm idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(c) The following duty cycles apply for variable-speed engines with
maximum engine power at or above 19 kW:
(1) The following duty cycle applies for discrete-mode testing:

[[Page 452]]

----------------------------------------------------------------------------------------------------------------
Torque Weighting
C1 mode number Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1.......................................... Maximum test speed................. 100 0.15
2.......................................... Maximum test speed................. 75 0.15
3.......................................... Maximum test speed................. 50 0.15
4.......................................... Maximum test speed................. 10 0.10
5.......................................... Intermediate test speed............ 100 0.10
6.......................................... Intermediate test speed............ 75 0.10
7.......................................... Intermediate test speed............ 50 0.10
8.......................................... Warm idle.......................... 0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1 3\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 126 Warm Idle.................. 0.
1b Transition...................... 20 Linear Transition.......... Linear Transition.
2a Steady-state.................... 159 Intermediate Speed......... 100.
2b Transition...................... 20 Intermediate Speed......... Linear Transition.
3a Steady-state.................... 160 Intermediate Speed......... 50.
3b Transition...................... 20 Intermediate Speed......... Linear Transition.
4a Steady-state.................... 162 Intermediate Speed......... 75.
4b Transition...................... 20 Linear Transition.......... Linear Transition.
5a Steady-state.................... 246 Maximum Test Speed......... 100.
5b Transition...................... 20 Maximum Test Speed......... Linear Transition.
6a Steady-state.................... 164 Maximum Test Speed......... 10.
6b Transition...................... 20 Maximum Test Speed......... Linear Transition.
7a Steady-state.................... 248 Maximum Test Speed......... 75.
7b Transition...................... 20 Maximum Test Speed......... Linear Transition.
8a Steady-state.................... 247 Maximum Test Speed......... 50.
8b Transition...................... 20 Linear Transition.......... Linear Transition.
9 Steady-state..................... 128 Warm Idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]

Sec. Appendix V to Part 1039 [Reserved]

Sec. Appendix VI to Part 1039--Nonroad Compression-ignition Composite
Transient Cycle

------------------------------------------------------------------------
Normalized
Normalized torque
Time(s) speed (percent)
(percent) \1\
------------------------------------------------------------------------
1............................................. 0 0
2............................................. 0 0
3............................................. 0 0
4............................................. 0 0
5............................................. 0 0
6............................................. 0 0
7............................................. 0 0
8............................................. 0 0
9............................................. 0 0
10............................................ 0 0
11............................................ 0 0
12............................................ 0 0
13............................................ 0 0
14............................................ 0 0
15............................................ 0 0
16............................................ 0 0
17............................................ 0 0
18............................................ 0 0
19............................................ 0 0
20............................................ 0 0
21............................................ 0 0
22............................................ 0 0
23............................................ 0 0
24............................................ 1 3
25............................................ 1 3
26............................................ 1 3
27............................................ 1 3
28............................................ 1 3
29............................................ 1 3
30............................................ 1 6
31............................................ 1 6
32............................................ 2 1
33............................................ 4 13
34............................................ 7 18
35............................................ 9 21
36............................................ 17 20
37............................................ 33 42
38............................................ 57 46
39............................................ 44 33
40............................................ 31 0
41............................................ 22 27
42............................................ 33 43
43............................................ 80 49
44............................................ 105 47
45............................................ 98 70

[[Page 453]]

46............................................ 104 36
47............................................ 104 65
48............................................ 96 71
49............................................ 101 62
50............................................ 102 51
51............................................ 102 50
52............................................ 102 46
53............................................ 102 41
54............................................ 102 31
55............................................ 89 2
56............................................ 82 0
57............................................ 47 1
58............................................ 23 1
59............................................ 1 3
60............................................ 1 8
61............................................ 1 3
62............................................ 1 5
63............................................ 1 6
64............................................ 1 4
65............................................ 1 4
66............................................ 0 6
67............................................ 1 4
68............................................ 9 21
69............................................ 25 56
70............................................ 64 26
71............................................ 60 31
72............................................ 63 20
73............................................ 62 24
74............................................ 64 8
75............................................ 58 44
76............................................ 65 10
77............................................ 65 12
78............................................ 68 23
79............................................ 69 30
80............................................ 71 30
81............................................ 74 15
82............................................ 71 23
83............................................ 73 20
84............................................ 73 21
85............................................ 73 19
86............................................ 70 33
87............................................ 70 34
88............................................ 65 47
89............................................ 66 47
90............................................ 64 53
91............................................ 65 45
92............................................ 66 38
93............................................ 67 49
94............................................ 69 39
95............................................ 69 39
96............................................ 66 42
97............................................ 71 29
98............................................ 75 29
99............................................ 72 23
100........................................... 74 22
101........................................... 75 24
102........................................... 73 30
103........................................... 74 24
104........................................... 77 6
105........................................... 76 12
106........................................... 74 39
107........................................... 72 30
108........................................... 75 22
109........................................... 78 64
110........................................... 102 34
111........................................... 103 28
112........................................... 103 28
113........................................... 103 19
114........................................... 103 32
115........................................... 104 25
116........................................... 103 38
117........................................... 103 39
118........................................... 103 34
119........................................... 102 44
120........................................... 103 38
121........................................... 102 43
122........................................... 103 34
123........................................... 102 41
124........................................... 103 44
125........................................... 103 37
126........................................... 103 27
127........................................... 104 13
128........................................... 104 30
129........................................... 104 19
130........................................... 103 28
131........................................... 104 40
132........................................... 104 32
133........................................... 101 63
134........................................... 102 54
135........................................... 102 52
136........................................... 102 51
137........................................... 103 40
138........................................... 104 34
139........................................... 102 36
140........................................... 104 44
141........................................... 103 44
142........................................... 104 33
143........................................... 102 27
144........................................... 103 26
145........................................... 79 53
146........................................... 51 37
147........................................... 24 23
148........................................... 13 33
149........................................... 19 55
150........................................... 45 30
151........................................... 34 7
152........................................... 14 4
153........................................... 8 16
154........................................... 15 6
155........................................... 39 47
156........................................... 39 4
157........................................... 35 26
158........................................... 27 38
159........................................... 43 40
160........................................... 14 23
161........................................... 10 10
162........................................... 15 33
163........................................... 35 72
164........................................... 60 39
165........................................... 55 31
166........................................... 47 30
167........................................... 16 7
168........................................... 0 6
169........................................... 0 8
170........................................... 0 8
171........................................... 0 2
172........................................... 2 17
173........................................... 10 28
174........................................... 28 31
175........................................... 33 30
176........................................... 36 0
177........................................... 19 10
178........................................... 1 18
179........................................... 0 16
180........................................... 1 3
181........................................... 1 4
182........................................... 1 5
183........................................... 1 6
184........................................... 1 5
185........................................... 1 3
186........................................... 1 4
187........................................... 1 4
188........................................... 1 6
189........................................... 8 18

[[Page 454]]

190........................................... 20 51
191........................................... 49 19
192........................................... 41 13
193........................................... 31 16
194........................................... 28 21
195........................................... 21 17
196........................................... 31 21
197........................................... 21 8
198........................................... 0 14
199........................................... 0 12
200........................................... 3 8
201........................................... 3 22
202........................................... 12 20
203........................................... 14 20
204........................................... 16 17
205........................................... 20 18
206........................................... 27 34
207........................................... 32 33
208........................................... 41 31
209........................................... 43 31
210........................................... 37 33
211........................................... 26 18
212........................................... 18 29
213........................................... 14 51
214........................................... 13 11
215........................................... 12 9
216........................................... 15 33
217........................................... 20 25
218........................................... 25 17
219........................................... 31 29
220........................................... 36 66
221........................................... 66 40
222........................................... 50 13
223........................................... 16 24
224........................................... 26 50
225........................................... 64 23
226........................................... 81 20
227........................................... 83 11
228........................................... 79 23
229........................................... 76 31
230........................................... 68 24
231........................................... 59 33
232........................................... 59 3
233........................................... 25 7
234........................................... 21 10
235........................................... 20 19
236........................................... 4 10
237........................................... 5 7
238........................................... 4 5
239........................................... 4 6
240........................................... 4 6
241........................................... 4 5
242........................................... 7 5
243........................................... 16 28
244........................................... 28 25
245........................................... 52 53
246........................................... 50 8
247........................................... 26 40
248........................................... 48 29
249........................................... 54 39
250........................................... 60 42
251........................................... 48 18
252........................................... 54 51
253........................................... 88 90
254........................................... 103 84
255........................................... 103 85
256........................................... 102 84
257........................................... 58 66
258........................................... 64 97
259........................................... 56 80
260........................................... 51 67
261........................................... 52 96
262........................................... 63 62
263........................................... 71 6
264........................................... 33 16
265........................................... 47 45
266........................................... 43 56
267........................................... 42 27
268........................................... 42 64
269........................................... 75 74
270........................................... 68 96
271........................................... 86 61
272........................................... 66 0
273........................................... 37 0
274........................................... 45 37
275........................................... 68 96
276........................................... 80 97
277........................................... 92 96
278........................................... 90 97
279........................................... 82 96
280........................................... 94 81
281........................................... 90 85
282........................................... 96 65
283........................................... 70 96
284........................................... 55 95
285........................................... 70 96
286........................................... 79 96
287........................................... 81 71
288........................................... 71 60
289........................................... 92 65
290........................................... 82 63
291........................................... 61 47
292........................................... 52 37
293........................................... 24 0
294........................................... 20 7
295........................................... 39 48
296........................................... 39 54
297........................................... 63 58
298........................................... 53 31
299........................................... 51 24
300........................................... 48 40
301........................................... 39 0
302........................................... 35 18
303........................................... 36 16
304........................................... 29 17
305........................................... 28 21
306........................................... 31 15
307........................................... 31 10
308........................................... 43 19
309........................................... 49 63
310........................................... 78 61
311........................................... 78 46
312........................................... 66 65
313........................................... 78 97
314........................................... 84 63
315........................................... 57 26
316........................................... 36 22
317........................................... 20 34
318........................................... 19 8
319........................................... 9 10
320........................................... 5 5
321........................................... 7 11
322........................................... 15 15
323........................................... 12 9
324........................................... 13 27
325........................................... 15 28
326........................................... 16 28
327........................................... 16 31
328........................................... 15 20
329........................................... 17 0
330........................................... 20 34
331........................................... 21 25
332........................................... 20 0
333........................................... 23 25

[[Page 455]]

334........................................... 30 58
335........................................... 63 96
336........................................... 83 60
337........................................... 61 0
338........................................... 26 0
339........................................... 29 44
340........................................... 68 97
341........................................... 80 97
342........................................... 88 97
343........................................... 99 88
344........................................... 102 86
345........................................... 100 82
346........................................... 74 79
347........................................... 57 79
348........................................... 76 97
349........................................... 84 97
350........................................... 86 97
351........................................... 81 98
352........................................... 83 83
353........................................... 65 96
354........................................... 93 72
355........................................... 63 60
356........................................... 72 49
357........................................... 56 27
358........................................... 29 0
359........................................... 18 13
360........................................... 25 11
361........................................... 28 24
362........................................... 34 53
363........................................... 65 83
364........................................... 80 44
365........................................... 77 46
366........................................... 76 50
367........................................... 45 52
368........................................... 61 98
369........................................... 61 69
370........................................... 63 49
371........................................... 32 0
372........................................... 10 8
373........................................... 17 7
374........................................... 16 13
375........................................... 11 6
376........................................... 9 5
377........................................... 9 12
378........................................... 12 46
379........................................... 15 30
380........................................... 26 28
381........................................... 13 9
382........................................... 16 21
383........................................... 24 4
384........................................... 36 43
385........................................... 65 85
386........................................... 78 66
387........................................... 63 39
388........................................... 32 34
389........................................... 46 55
390........................................... 47 42
391........................................... 42 39
392........................................... 27 0
393........................................... 14 5
394........................................... 14 14
395........................................... 24 54
396........................................... 60 90
397........................................... 53 66
398........................................... 70 48
399........................................... 77 93
400........................................... 79 67
401........................................... 46 65
402........................................... 69 98
403........................................... 80 97
404........................................... 74 97
405........................................... 75 98
406........................................... 56 61
407........................................... 42 0
408........................................... 36 32
409........................................... 34 43
410........................................... 68 83
411........................................... 102 48
412........................................... 62 0
413........................................... 41 39
414........................................... 71 86
415........................................... 91 52
416........................................... 89 55
417........................................... 89 56
418........................................... 88 58
419........................................... 78 69
420........................................... 98 39
421........................................... 64 61
422........................................... 90 34
423........................................... 88 38
424........................................... 97 62
425........................................... 100 53
426........................................... 81 58
427........................................... 74 51
428........................................... 76 57
429........................................... 76 72
430........................................... 85 72
431........................................... 84 60
432........................................... 83 72
433........................................... 83 72
434........................................... 86 72
435........................................... 89 72
436........................................... 86 72
437........................................... 87 72
438........................................... 88 72
439........................................... 88 71
440........................................... 87 72
441........................................... 85 71
442........................................... 88 72
443........................................... 88 72
444........................................... 84 72
445........................................... 83 73
446........................................... 77 73
447........................................... 74 73
448........................................... 76 72
449........................................... 46 77
450........................................... 78 62
451........................................... 79 35
452........................................... 82 38
453........................................... 81 41
454........................................... 79 37
455........................................... 78 35
456........................................... 78 38
457........................................... 78 46
458........................................... 75 49
459........................................... 73 50
460........................................... 79 58
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1210.......................................... 54 50
1211.......................................... 41 37
1212.......................................... 27 25
1213.......................................... 14 12
1214.......................................... 0 0
1215.......................................... 0 0
1216.......................................... 0 0
1217.......................................... 0 0
1218.......................................... 0 0
1219.......................................... 0 0
1220.......................................... 0 0
1221.......................................... 0 0
1222.......................................... 0 0
1223.......................................... 0 0
1224.......................................... 0 0
1225.......................................... 0 0
1226.......................................... 0 0
1227.......................................... 0 0
1228.......................................... 0 0
1229.......................................... 0 0
1230.......................................... 0 0
1231.......................................... 0 0
1232.......................................... 0 0
1233.......................................... 0 0
1234.......................................... 0 0
1235.......................................... 0 0
1236.......................................... 0 0
1237.......................................... 0 0
1238.......................................... 0 0
------------------------------------------------------------------------
\1\ The percent torque is relative to maximum torque at the commanded
engine speed.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40465, July 13, 2005]

PART 1042_CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE COMPRESSION-
IGNITION ENGINES AND VESSELS--Table of Contents

Subpart A_Overview and Applicability

Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
1042.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1042.101 Exhaust emission standards for Category 1 and Category 2
engines.
1042.104 Exhaust emission standards for Category 3 engines.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, power density, and maximum
in-use engine speed.
1042.145 Interim provisions.

Subpart C_Certifying Engine Families

1042.201 General requirements for obtaining a certificate of conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing related to certification.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.

Subpart D_Testing Production-Line Engines

1042.301 General provisions.
1042.302 Applicability of this subpart for Category 3 engines.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection for Category 1 and Category 2 engines.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to meet
emission standards?
1042.325 What happens if an engine family fails the production-line
testing requirements?
1042.330 Selling engines from an engine family with a suspended
certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and how
may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.

Subpart E_In-Use Testing

1042.401 General Provisions.

[[Page 462]]

Subpart F_Test Procedures

1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty
cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration factors?
1042.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?

Subpart G_Special Compliance Provisions

1042.601. General compliance provisions for marine engines and vessels.
1042.605 Dressing engines already certified to other standards for
nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based standards.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.650 Exemptions for migratory vessels and auxiliary engines on
Category 3 vessels.
1042.655 Special certification provisions for Category 3 engines with
aftertreatment.
1042.660 Requirements for vessel manufacturers, owners, and operators.
1042.670 Special provisions for gas turbine engines.

Subpart H_Averaging, Banking, and Trading for Certification

1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.

Subpart I_Special Provisions for Remanufactured Marine Engines

1042.801 General provisions.
1042.810 Requirements for owner/operators and installers during
remanufacture.
1042.815 Demonstrating availability.
1042.820 Emission standards and required emission reductions for
remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.

Subpart J_Definitions and Other Reference Information

1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Incorporation by reference.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 Reporting and recordkeeping requirements.

Appendix I to Part 1042--Summary of Previous Emission Standards
Appendix II to Part 1042--Steady-State Duty Cycles
Appendix III to Part 1042--Not-to-Exceed Zones

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

Source: 73 FR 37243, June 30, 2008, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1042.1 Applicability.

Except as provided in this section and Sec. 1042.5, the regulations
in this part 1042 apply for all new compression-ignition marine engines
(including new engines deemed to be compression-ignition engines under
this section) and vessels containing such engines. See Sec. 1042.901
for the definitions of engines and vessels considered to be new.
(a) The emission standards of this part 1042 for freshly
manufactured engines apply for new marine engines starting with the
model years noted in the following table:

Table 1 to Sec. 1042.1--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
Displacement (L/cyl) or
Engine category Maximum engine power \a\ application Model year
----------------------------------------------------------------------------------------------------------------
Category 1.......................... kW < 75..................... disp.< 0.9.................. \b\ 2009
75 <= kW <= 3700............ disp.< 0.9.................. 2012
0.9 <= disp. < 1.2.......... 2013

[[Page 463]]

1.2 <= disp. < 2.5.......... 2014
2.5 <= disp. < 3.5.......... 2013
3.5 <= disp. < 7.0.......... 2012
kW 3700......... All......................... 2014
----------------------------------------------------------------------------------------------------------------
Category 2.......................... kW <= 3700.................. 7.0 <= disp. < 15.0......... 2013
kW 3700......... 7.0 <= disp. < 15.0......... 2014
All......................... 15 <= disp. < 30............ 2014
----------------------------------------------------------------------------------------------------------------
Category 3.......................... All......................... disp. = 30....... 2011
----------------------------------------------------------------------------------------------------------------
\a\ See Sec. 1042.140, which describes how to determine maximum engine power.
\b\ See Table 1 of Sec. 1042.101 for the first model year in which this part 1042 applies for engines with
maximum engine power below 75 kW and displacement at or above 0.9 L/cyl.

(b) New engines with maximum engine power below 37 kW and originally
manufactured and certified before the model years identified in Table 1
to this section are subject to emission standards as specified in
appendix I of this part. The provisions of this part do not apply for
such engines, except as follows beginning June 29, 2010:
(1) The allowances of this part apply.
(2) The definitions of ``new marine engine'' and ``model year''
apply.
(c) Marine engines originally meeting Tier 1 or Tier 2 standards as
specified in appendix I of this part remain subject to those standards.
This includes uncertified engines that meet standards under 40 CFR
1068.265. Those engines remain subject to recall provisions as specified
in 40 CFR part 1068, subpart F, throughout the useful life corresponding
to the original certification. Also, tampering and defeat-device
prohibitions continue to apply for those engines as specified in 40 CFR
1068.101. The remanufacturing provisions in subpart I of this part may
apply for remanufactured engines originally manufactured in model years
before the model years identified in Table 1 to this section.
(d) [Reserved]
(e) The requirements of subpart I of this part apply to
remanufactured Category 1 and Category 2 engines beginning July 7, 2008.
(f) The marine engines listed in this paragraph (f) are subject to
all the requirements of this part even if they do not meet the
definition of ``compression-ignition'' in Sec. 1042.901. The following
engines are deemed to be compression-ignition engines for purposes of
this part:
(1) Marine engines powered by natural gas or other gaseous fuels
with maximum engine power at or above 250 kW. Note that gaseous-fueled
engines with maximum engine power below 250 kW may or may not meet the
definition of ``compression-ignition'' in Sec. 1042.901.
(2) Marine gas turbine engines.
(3) Other marine internal combustion engines that do not meet the
definition of ``spark-ignition'' in Sec. 1042.901.
(g) Some of the provisions of this part may apply for other engines
as specified in 40 CFR part 1043.
(h) Starting with the model years noted in Table 1 of this section,
all of the subparts of this part, except subpart I, apply as specified
in 40 CFR part 60, subpart IIII, to freshly manufactured stationary
compression-ignition engines subject to the standards of 40 CFR part 60,
subpart IIII, that have a per-cylinder displacement at or above 10
liters and below 30 liters per cylinder. Such engines are considered
Category 2 engines for purposes of this part 1042.

[75 FR 22994, Apr. 30, 2010, as amended at 76 FR 37977, June 28, 2011;
81 FR 74142, Oct. 25, 2016; 86 FR 34507, June 29, 2021]

Sec. 1042.2 Who is responsible for compliance?

The regulations in this part 1042 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part, other than those of subpart I of this part, are generally
addressed to the engine manufacturer for freshly manufactured marine
engines or other certificate holders. The term ``you'' generally means

[[Page 464]]

the engine manufacturer, as defined in Sec. 1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.). Note that for engines that become new after being
placed into service (such as engines converted from highway or
stationary use, or engines installed on vessels that are reflagged to
become U.S. vessels), the requirements that normally apply for
manufacturers of freshly manufactured engines apply to the importer or
any other entity we allow to obtain a certificate of conformity.

[81 FR 74142, Oct. 25, 2016]

Sec. 1042.5 Exclusions.

This part does not apply to the following marine engines:
(a) Foreign vessels. The requirements and prohibitions of this part
do not apply to engines installed on foreign vessels, as defined in
Sec. 1042.901. Note however, that the requirements and prohibitions of
this part do apply to engines installed on any formerly foreign vessels
that are reflagged as U.S.-flagged vessels.
(b) Hobby engines. Engines installed in reduced-scale models of
vessels that are not capable of transporting a person are not subject to
the provisions of this part 1042.
(c) Recreational gas turbine engines. The requirements and
prohibitions of this part do not apply to gas turbine engines installed
on recreational vessels, as defined in Sec. 1042.901.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 75
FR 22995, Apr. 30, 2010]

Sec. 1042.10 Organization of this part.

This part 1042 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1042 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 engines under this part.
Note that Sec. 1042.145 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
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part and 40 CFR 1065 describe how to test your
engines.
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, vessel 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 describes how these regulations apply for
remanufactured engines.
(j) Subpart J of this part contains definitions and other reference
information.

Sec. 1042.15 Do any other regulation parts apply to me?

(a) Part 1043 of this chapter describes requirements related to
international pollution prevention that apply for some of the engines
subject to this part.
(b) The evaporative emission requirements of part 1060 of this
chapter apply to vessels that include installed engines fueled with a
volatile liquid fuel as specified in Sec. 1042.107. (Note: Conventional
diesel fuel is not considered to be a volatile liquid fuel.)
(c) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1042 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) The 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 engines subject to this part
1042, or vessels containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:

[[Page 465]]

(1) Prohibited acts and penalties for engine manufacturers, vessel
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) Defect reporting and recall.
(7) Procedures for hearings.
(e) Other parts of this chapter apply if referenced in this part.

[75 FR 22995, Apr. 30, 2010]

Sec. 1042.30 Submission of information.

Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1042.901). See
Sec. 1042.925 for additional reporting and recordkeeping provisions.

[81 FR 74142, Oct. 25, 2016]

Subpart B_Emission Standards and Related Requirements

Sec. 1042.101 Exhaust emission standards for Category 1 and Category 2
engines.

(a) Duty-cycle standards. Exhaust emissions from your engines may
not exceed emission standards, as follows:
(1) Measure emissions using the test procedures described in subpart
F of this part.
(2) The following CO emission standards in this paragraph (a)(2)
apply starting with the applicable model year identified in Sec.
1042.1:
(i) 8.0 g/kW-hr for engines below 8 kW.
(ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
(iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
(iv) 5.0 g/kW-hr for engines at or above 37 kW.
(3) Except as described in paragraphs (a)(4) and (5) of this
section, the Tier 3 standards for PM and NOX+HC emissions are
described in the following tables:

Table 1 to Sec. 1042.101--Tier 3 Standards for Category 1 Engines Below 3700 kW \a\
--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX+HC (g/kW-
Power density and application Displacement (L/cyl) Maximum engine power Model year PM (g/kW-hr) hr) \b\
--------------------------------------------------------------------------------------------------------------------------------------------------------
All...................................... disp. < 0.9...................... kW < 19................... 2009+ 0.40 7.5
19 <= kW < 75............. 2009-2013 0.30 7.5
2014+ 0.30 \c\ 4.7 \c\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial engines with kW/L <= 35....... disp. < 0.9...................... kW = 75........ 2012+ 0.14 5.4
0.9 <= disp. < 1.2............... all....................... 2013+ 0.12 5.4
1.2 <= disp. < 2.5............... kW < 600.................. 2014-2017 0.11 5.6
2018+ 0.10 5.6
kW = 600....... 2014+ 0.11 5.6
2.5 <= disp. < 3.5............... kW < 600.................. 2013-2017 0.11 5.6
2018+ 0.10 5.6
kW = 600....... 2013+ 0.11 5.6
3.5 <= disp. < 7.0............... kW < 600.................. 2012-2017 0.11 5.8
2018+ 0.10 5.8
kW = 600....... 2012+ 0.11 5.8
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial engines with kW/L disp. < 0.9...................... kW = 75........ 2012+ 0.15 5.8
35, and all recreational engines = 75 kW.
0.9 <= disp. < 1.2............... all....................... 2013+ 0.14 5.8
1.2 <= disp. < 2.5 2014+ 0.12 5.8
2.5 <= disp. < 3.5 2013+ 0.12 5.8
3.5 <= disp. < 7.0 2012+ 0.11 5.8
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ No Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See Sec. 1042.1(c) and paragraph (a)(7) of this section for the
standards that apply for these engines.
\b\ The applicable NOX+HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the values noted in the table
for commercial engines at or above 2000 kW. FELs for these engines may not be higher than the Tier 1 NOX standard specified in Appendix I of this
part.
\c\ See paragraph (a)(4) of this section for alternative PM and NOX+HC standards for engines at or above 19 kW and below 75 kW with displacement below
0.9 L/cyl.

[[Page 466]]

Table 2 to Sec. 1042.101-- Tier 3 Standards for Category 2 Engines Below 3700 kW \a\
----------------------------------------------------------------------------------------------------------------
NOX+HC (g/kW-
Displacement (L/cyl) Maximum engine power Model year PM (g/kW-hr) hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0................... kW < 2000............... 2013+ 0.14 6.2
2000 <= kW <= 3700...... 2013+ 0.14 7.8 \b\
15.0 <= disp. < 20.0 \c\.............. kW < 2000............... 2014+ 0.34 7.0
20.0 <= disp. < 25.0 \c\.............. kW < 2000............... 2014+ 0.27 9.8
25.0 <= disp. < 30.0 \c\.............. kW < 2000............... 2014+ 0.27 11.0
----------------------------------------------------------------------------------------------------------------
\a\ The Tier 3 standards in this table do not apply for Category 2 engines at or above 2000 kW with per-cylinder
displacement at or above 15.0 liters, or for any Category 2 engines at or above 3700 kW. See Sec. 1042.1(c)
and paragraphs (a)(6) through (8) of this section for the standards that apply for these engines.
\b\ For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standards
specified in Appendix I of this part.
\c\ There are no Tier 3 standards for Category 2 engines with per-cylinder displacement at or above 15 and 20
liters with maximum engine power at or above 2000 kW. See paragraphs (a)(6) and (7) of this section for the
Tier 4 standards that apply for these engines starting with the 2014 model year.

(4) For Tier 3 engines at or above 19 kW and below 75 kW with
displacement below 0.9 L/cyl, you may alternatively certify some or all
of your engine families to a PM emission standard of 0.20 g/kW-hr and a
NOX+HC emission standard of 5.8 g/kW-hr for 2014 and later
model years.
(5) Starting with the 2014 model year, recreational marine engines
at or above 3700 kW (with any displacement) must be certified under this
part 1042 to the Tier 3 standards specified in this section for 3.5 to
7.0 L/cyl recreational marine engines.
(6) Interim Tier 4 PM standards apply for 2014 and 2015 model year
engines between 2000 and 3700 kW as specified in this paragraph (a)(6).
These engines are considered Tier 4 engines.
(i) For Category 1 engines, the Tier 3 PM standards from Table 1 to
this section continue to apply. PM FELs for these engines may not be
higher than the applicable Tier 2 PM standards specified in appendix I
of this part.
(ii) For Category 2 engines with per-cylinder displacement below
15.0 liters, the Tier 3 PM standards from Table 2 to this section
continue to apply. PM FELs for these engines may not be higher than 0.27
g/kW-hr.
(iii) For Category 2 engines with per-cylinder displacement at or
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or
above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or
above 3300 kW and below 3700 kW. PM FELs for these engines may not be
higher than 0.50 g/kW-hr.
(7) Except as described in paragraph (a)(8) of this section, the
Tier 4 standards for PM, NOX, and HC emissions are described
in the following table:

Table 3 to Sec. 1042.101--Tier 4 Standards for Category 2 and Commercial Category 1 Engines at or Above 600 kW
----------------------------------------------------------------------------------------------------------------
Displacement (L/
Maximum engine power cyl) Model year PM (g/kW-hr) NOX (g/kW-hr) HC (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
600 <= kW < 1400.............. all............. 2017+ 0.04 1.8 0.19
1400 <= kW < 2000............. all............. 2016+ 0.04 1.8 0.19
2000 <= kW <= 3700 \a\........ all............. 2014+ 0.04 1.8 0.19
kW 3700........... disp. < 15.0.... 2014-2015 0.12 1.8 0.19
15.0 <= disp. < 2014-2015 0.25 1.8 0.19
30.0.
all............. 2016+ 0.06 1.8 0.19
----------------------------------------------------------------------------------------------------------------
\a\ See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for
engines between 2000 and 3700 kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is
7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below
3700 kW is 0.34 g/kW-hr.

(8) The following optional provisions apply for complying with the
Tier 3 and Tier 4 standards specified in paragraphs (a)(3) through (7)
of this section:
(i) You may use NOX credits accumulated through the ABT
program to certify Tier 4 engines to a NOX+HC emission
standard of 1.9 g/kW-hr instead of the NOX and HC standards
that would otherwise apply by certifying your family to a
NOX+HC FEL. Calculate the NOX credits needed as
specified in

[[Page 467]]

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.
(ii) For engines below 1000 kW, you may delay complying with the
Tier 4 standards in the 2017 model year for up to nine months, but you
must comply no later than October 1, 2017.
(iii) For engines at or above 3700 kW, you may delay complying with
the Tier 4 standards in the 2016 model year for up to twelve months, but
you must comply no later than December 31, 2016.
(iv) For Category 2 engines at or above 1400 kW, you may
alternatively comply with the Tier 3 and Tier 4 standards specified in
Table 4 of this section instead of the NOX, HC,
NOX+HC, and PM standards specified in paragraphs (a)(3)
through (7) of this section. The CO standards specified in paragraph
(a)(2) of this section apply without regard to whether you choose this
option. If you choose this option, you must do so for all engines at or
above 1400 kW in the same displacement category (that is, 7-15, 15-20,
20-25, or 25-30 liters per cylinder) in model years 2012 through 2015.

Table 4 to Sec. 1042.101--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tier Maximum engine power Model year PM (g/kW-hr) NOX (g/kW-hr) HC (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tier 3......................................... kW = 1400................... 2012-2014 0.14 7.8 NOX+HC
Tier 4......................................... 1400 <= kW <= 3700..................... 2015 0.04 1.8 0.19
kW 3700.................... 2015 0.06 1.8 0.19
--------------------------------------------------------------------------------------------------------------------------------------------------------

(b) 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 for demonstrating compliance with
NOX, NOX+HC, and PM emission standards for
Category 1 and Category 2 engines. You may also use NOX or
NOX+HC emission credits to comply with the alternate
NOX+HC standard in paragraph (a)(8)(i) 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 paragraph (a) of this section. The FELs determine
the not-to-exceed standards for your engine family, as specified in
paragraph (c) of this section. Unless otherwise specified, the following
FEL caps apply:
(1) FELs for Tier 3 engines may not be higher than the applicable
Tier 2 standards specified in Appendix I of this part.
(2) FELs for Tier 4 engines may not be higher than the applicable
Tier 3 standards specified in paragraph (a)(3) of this section.
(3) The following FEL caps apply for engines at or above 3700 kW
that are not subject to Tier 3 standards under paragraph (a)(3) of this
section:
(i) FELs may not be higher than the applicable Tier 1 NOX
standards specified in Appendix I of this part before the Tier 4
standards start to apply.
(ii) FELs may not be higher than the applicable Tier 2
NOX+THC standards specified in Appendix I of this part after
the Tier 4 standards start to apply.
(c) Not-to-exceed standards. Except as noted in Sec. 1042.145(e),
exhaust emissions from all engines subject to the requirements of this
part may not exceed the not-to-exceed (NTE) standards as follows:
(1) Use the following equation to determine the NTE standards:

(i) NTE standard for each pollutant = STD x M.

Where:

STD = The standard specified for that pollutant in this section if you
certify without

[[Page 468]]

using ABT for that pollutant; or the FEL for that pollutant if
you certify using ABT.
M = The NTE multiplier for that pollutant.

(ii) Round each NTE standard to the same number of decimal places as
the emission standard.
(2) Determine the applicable NTE zone and subzones as described in
Sec. 1042.515. Determine NTE multipliers for specific zones and
subzones and pollutants as follows:
(i) For marine engines certified using the duty cycle specified in
Sec. 1042.505(b)(1), except for variable-speed propulsion marine
engines used with controllable-pitch propellers or with electrically
coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO
standards.
(C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
(D) Subzone 2: 1.9 for PM and CO standards.
(ii) For recreational marine engines certified using the duty cycle
specified in Sec. 1042.505(b)(2), except for variable-speed marine
engines used with controllable-pitch propellers or with electrically
coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
(B) Subzone 1: 1.5 for Tier 3 PM and CO standards.
(C) Subzones 2 and 3: 1.5 for Tier 3 NOX+HC standards.
(D) Subzones 2 and 3: 1.9 for PM and CO standards.
(iii) For variable-speed marine engines used with controllable-pitch
propellers or with electrically coupled propellers that are certified
using the duty cycle specified in Sec. 1042.505(b)(1), (2), or (3),
apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO
standards.
(C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE
standard in Subzone 2b for PM emissions if the engine family's
applicable standard for PM is at or above 0.07 g/kW-hr.
(iv) For constant-speed engines certified using a duty cycle
specified in Sec. 1042.505(b)(3) or (4), apply the following NTE
multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO
standards.
(C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE
standard for PM emissions if the engine family's applicable standard for
PM is at or above 0.07 g/kW-hr.
(v) For variable-speed auxiliary marine engines certified using the
duty cycle specified in Sec. 1042.505(b)(5)(ii) or (iii):
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO
standards.
(C) Subzone 2: 1.2 for Tier 3 NOX+HC standards.
(D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO
standards. However, there is no NTE standard for PM emissions if the
engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(3) The NTE standards apply to your engines whenever they operate
within the NTE zone for an NTE sampling period of at least thirty
seconds, during which only a single operator demand set point may be
selected. Engine operation during a change in operator demand is
excluded from any NTE sampling period. There is no maximum NTE sampling
period.
(4) Collect emission data for determining compliance with the NTE
standards using the procedures described in subpart F of this part.
(5) You may ask us to accept as compliant an engine that does not
fully meet specific requirements under the applicable NTE standards
where such deficiencies are necessary for safety.
(d) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the

[[Page 469]]

engines in the engine family are designed to operate.
(1) You must meet the numerical emission standards for hydrocarbons
in this section based on the following types of hydrocarbon emissions
for engines powered by the following fuels:
(i) Alcohol-fueled engines must comply with Tier 3 HC standards
based on THCE emissions and with Tier 4 standards based on NMHCE
emissions.
(ii) Gaseous-fueled engines must comply with HC standards based on
nonmethane-nonethane hydrocarbon emissions.
(iii) Diesel-fueled and all other engines not described in paragraph
(d)(1)(i) or (ii) of this section must comply with Tier 3 HC standards
based on THC emissions and with Tier 4 standards based on NMHC
emissions.
(2) Tier 3 and later engines must comply with the exhaust emission
standards when tested using test fuels containing 15 ppm or less sulfur
(ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel
fuel (without request) to certify an engine otherwise requiring an ultra
low-sulfur test fuel; however, emissions may not be corrected to account
for the effects of using higher sulfur fuel.
(3) Engines designed to operate using residual fuel must comply with
the standards and requirements of this part when operated using residual
fuel in addition to complying with the requirements of this part when
operated using diesel fuel.
(e) Useful life. Your engines must meet the exhaust emission
standards of this section over their full useful life, expressed as a
period in years or hours of engine operation, whichever comes first.
(1) The minimum useful life values are as follows, except as
specified by paragraph (e)(2) or (3) of this section:
(i) 10 years or 1,000 hours of operation for recreational Category 1
engines
(ii) 5 years or 3,000 hours of operation for commercial engines
below 19 kW.
(iii) 7 years or 5,000 hours of operation for commercial engines at
or above 19 kW and below 37kW.
(iv) 10 years or 10,000 hours of operation for commercial Category 1
engines at or above 37 kW.
(v) 10 years or 20,000 hours of operation for Category 2 engines.
(2) Specify a longer useful life in hours for an engine family under
either of two conditions:
(i) If you design your engine to operate longer than the minimum
useful life. Indicators of design life include your recommended overhaul
interval and may also include your advertising and marketing materials.
(ii) If your basic mechanical warranty is longer than the minimum
useful life.
(3) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have 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. The useful life value may not be
shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1042.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 74
FR 8425, Feb. 24, 2009; 75 FR 22996, Apr. 30, 2010; 81 FR 74142, Oct.
25, 2016; 86 FR 34508, June 29, 2021]

[[Page 470]]

Sec. 1042.104 Exhaust emission standards for Category 3 engines.

(a) Duty-cycle standards. Exhaust emissions from your engines may
not exceed emission standards, as follows:
(1) Measure emissions using the test procedures described in subpart
F of this part. Note that while no PM standards apply for Category 3
engines, PM emissions must be measured for certification testing and
reported under Sec. 1042.205. Note also that you are not required to
measure PM emissions for other testing.
(2) NOX standards apply based on the engine's model year
and maximum in-use engine speed as shown in the following table:

Table 1 to Sec. 1042.104--NOX Emission Standards for Category 3 Engines
[g/kW-hr]
----------------------------------------------------------------------------------------------------------------
Maximum in-use engine speed
-----------------------------------------------
Emission standards Model year Less than 130 130-2000 RPM
RPM \a\ Over 2000 RPM
----------------------------------------------------------------------------------------------------------------
Tier 1.......................................... 2004-2010 17.0 45.0[middot]n(- 9.8
0.20)
Tier 2.......................................... 2011-2015 14.4 44.0[middot]n(- 7.7
0.23)
Tier 3 \b\...................................... 2016 and later 3.4 9.0[middot]n(- 2.0
0.20)
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
1042.140). Round the standards to one decimal place.
\b\ For engines designed with on-off controls as specified in Sec. 1042.115(g), the Tier 2 standards continue
to apply any time the engine has disabled its Tier 3 NOX emission controls.

(3) The HC standard for Tier 2 and later engines is 2.0 g/kW-hr.
This standard applies as follows:
(i) Alcohol-fueled engines must comply with HC standards based on
THCE emissions.
(ii) Natural gas-fueled engines must comply with HC standards based
on NMHC emissions.
(iii) Diesel-fueled and all other engines not described in paragraph
(a)(3)(i) or (ii) of this section must comply with HC standards based on
THC emissions.
(4) The CO standard for Tier 2 and later engines is 5.0 g/kW-hr.
(b) Averaging, banking, and trading. Category 3 engines are not
eligible for participation in the averaging, banking, and trading (ABT)
program as described in subpart H of this part.
(c) Mode caps. Measured NOX emissions from Tier 3 engines
may not exceed the cap specified in this paragraph (c) for any
applicable duty-cycle test modes with power greater than 10 percent
maximum engine power. Calculate the mode cap by multiplying the
applicable Tier 3 NOX standard by 1.5 and rounding to the
nearest 0.1 g/kW-hr. Note that mode caps do not apply for pollutants
other than NOX and do not apply for any modes of operation
outside of the applicable duty cycles in Sec. 1042.505. Category 3
engines are not subject to not-to-exceed standards.
(d) Useful life. Your engines must meet the exhaust emission
standards of this section over their full useful life, expressed as a
period in years or hours of engine operation, whichever comes first.
(1) The minimum useful life value is 3 years or 10,000 hours of
operation.
(2) Specify a longer useful life in hours for an engine family under
either of two conditions:
(i) If you design, advertise, or market your engine to operate
longer than the minimum useful life (your recommended hours until
rebuild indicates a longer design life).
(ii) If your basic mechanical warranty is longer than the minimum
useful life.
(e) Applicability for testing. The duty-cycle emission standards in
this section apply to all testing performed according to the procedures
in Sec. 1042.505, including certification, production-line, and in-use
testing. See paragraph (g) of this section for standards that apply for
certain other test procedures, such as some production-line testing.
(f) Domestic engines. Engines installed on vessels excluded from 40
CFR part 1043 because they operate only domestically may not be
certified for use with residual fuels.

[[Page 471]]

(g) Alternate installed-engine standards. NOX emissions
may not exceed the standard specified in this paragraph (g) for test of
engines installed on vessels when you are unable to operate the engine
at the test points for the specified duty cycle, and you approximate
these points consistent with the specifications of section 6 of Appendix
8 to the NOX Technical Code (incorporated by reference in
Sec. 1042.910). Calculate the alternate installed-engine standard by
multiplying the applicable NOX standard by 1.1 and rounding
to the nearest 0.1 g/kW-hr.

[75 FR 22997, Apr. 30, 2010; 81 FR 74145, Oct. 25, 2016; 86 FR 34508,
June 29, 2021]

Sec. 1042.107 Evaporative emission standards.

(a) There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas).
(b) If an engine uses a volatile liquid fuel, such as methanol, the
engine's fuel system and the vessel in which the engine is installed
must meet the evaporative emission requirements of 40 CFR part 1045 that
apply with respect to spark-ignition engines. Manufacturers subject to
evaporative emission standards must meet the requirements of 40 CFR
1045.112 as described in 40 CFR part 1060 and do all the following
things in the application for certification:
(1) Describe how evaporative emissions are controlled.
(2) Present test data to show that fuel systems and vessels meet the
evaporative emission standards we specify in this section if you do not
use design-based certification under 40 CFR 1060.240. Show these figures
before and after applying deterioration factors, where applicable.

[73 FR 59193, Oct. 8, 2008]

Sec. 1042.110 Recording reductant use and other diagnostic functions.

(a) Engines equipped with SCR systems using a reductant other than
the engine's fuel must meet the following requirements:
(1) 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) and an audible alarm. You do not need
to separately monitor reductant quality if your system uses input from
an exhaust NOX sensor (or other sensor) to alert operators
when reductant quality is inadequate. However, tank level must be
monitored in all cases.
(2) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with inadequate reductant
injection or reductant quality. Use good engineering judgment to ensure
that the operator can readily access the information to submit the
report required by Sec. 1042.660. For example, you may meet this
requirement by documenting the incident in a text file that can be
downloaded or printed by the operator.
(3) SCR systems must also conform to the provisions of paragraph (d)
of this section if they are equipped with on-off controls as allowed
under Sec. 1042.115(g).
(b) [Reserved]
(c) You may equip your engine with other diagnostic features. If you
do, they must be designed to allow us to read and interpret the codes.
Note that Sec. Sec. 1042.115 and 1042.205 require that you provide us
any information needed to read, record, and interpret all the
information broadcast by an engine's onboard computers and electronic
control units.
(d) For Category 3 engines equipped with on-off NOX
controls (as allowed by Sec. 1042.115(g)), you must also equip your
engine to continuously monitor NOX concentrations in the
exhaust. See Sec. 1042.650 to determine if this requirement applies for
a given Category 1 or Category 2 engine. For measurement technologies
involving discrete sampling events, measurements are considered
continuous if they repeat at least once every 60 seconds; we may approve
a longer sampling period if it is necessary or appropriate for
sufficiently accurate measurements. Describe your system for onboard
NOX measurements in your application for certification. Use
good engineering judgment to alert

[[Page 472]]

operators if measured NOX concentrations indicate
malfunctioning emission controls. Record any such operation in
nonvolatile computer memory. You are not required to monitor
NOX concentrations during operation for which the emission
controls may be disabled under Sec. 1042.115(g). For the purpose of
this paragraph (d), ``malfunctioning emission controls'' means any
condition in which the measured NOX concentration exceeds the
highest value expected when the engine is in compliance with the
installed engine standard of Sec. 1042.104(g). Use good engineering
judgment to determine these expected values during production-line
testing of the engine using linear interpolation between test points and
accounting for the degree to which the cycle-weighted emissions of the
engine are below the standard. You may also use additional intermediate
test points measured during the production-line test. Note that the
provisions of paragraph (a) of this section also apply for SCR systems
covered by this paragraph (d). For engines subject to both the
provisions of paragraph (a) of this section and this paragraph (d), use
good engineering judgment to integrate diagnostic features to comply
with both paragraphs. For example, engines may use on-off NOX
controls to disable certain emission control functions only if the
diagnostic system indicates that the monitoring described in this
paragraph (d) is active.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22998, Apr. 30, 2010;
81 FR 74145, Oct. 25, 2016]

Sec. 1042.115 Other requirements.

Engines that are required to comply with the emission standards of
this part must meet the following requirements:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Engines 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 engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
(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) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value for determining
torque. Engines must broadcast engine parameters such that they can be
read with a remote device, or broadcast them directly to their
controller area networks. This information is necessary for testing
engines in the field (see Sec. 1042.515).
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to convert
these into torque units. We will not ask for hardware or tools if they
are readily available commercially.
(d) Adjustable parameters. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. The following provisions apply for
adjustable parameters:
(1) Category 1 engines 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,
including certification testing, selective enforcement auditing, or in-
use testing.
(2) Category 2 and Category 3 engines that have adjustable
parameters must

[[Page 473]]

meet all the requirements of this part for any adjustment in the
specified adjustable range. You must specify in your application for
certification the adjustable range of each adjustable parameter on a new
engine to--
(i) Ensure that safe engine 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.
(ii) Limit the physical range of adjustability to the maximum extent
practicable to the range that is necessary for proper operation of the
engine.
(e) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit, that contributes
to such an unreasonable risk.
(f) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that the
engine may reasonably be expected to encounter during normal operation
and use. (Note that this means emission control for operation outside of
and between the official test modes is generally expected to be similar
to emission control demonstrated at the test modes.) This does not apply
to auxiliary emission control devices you identify in your application
for certification if any of the following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part (the portion during which emissions are measured).
(2) You show your design is necessary to prevent engine (or vessel)
damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
(4) The engine is a Category 3 engine and the AECD conforms to the
requirements of paragraph (g) of this section. See Sec. 1042.650 to
determine if this allowance applies for a given Category 1 or Category 2
engine.
(g) On-off controls for engines on Category 3 vessels. Manufacturers
may equip Category 3 propulsion engines with features that disable Tier
3 NOX emission controls subject to the provisions of this
paragraph (g). For auxiliary engines allowed to use on-off controls as
specified in Sec. 1042.650(d), read ``Tier 2'' to mean ``IMO Tier II''
and read ``Tier 3'' to mean ``IMO Tier III''.
(1) Features that disable Tier 3 NOX emission controls
are considered to be AECDs whether or not they meet the definition of an
AECD. For example, manually operated on-off features are AECDs under
this paragraph (g). The features must be identified in your application
for certification as AECDs. For purposes of this paragraph (g), the term
``features that disable Tier 3 emission controls'' includes (but is not
limited to) any combination of the following that cause the engine's
emissions to exceed any Tier 3 emission standard:
(i) Bypassing of exhaust aftertreatment.
(ii) Reducing or eliminating flow of reductant to an SCR system.
(iii) Modulating engine calibration in a manner that increases
engine-out emissions of a regulated pollutant.
(2) You must demonstrate that the AECD will not disable
NOX emission controls while operating shoreward of the
boundaries of the North American ECA and the U.S. Caribbean Sea ECA. You
must demonstrate that the AECD will not disable emission control while
operating in these waters. (Note: See the regulations in 40 CFR part
1043 for requirements related to operation in ECAs, including foreign
ECAs.) Compliance with this paragraph (g)(2) will generally require that
the AECD operation be based on Global Positioning System (GPS) inputs.
We may consider any relevant information to determine whether your AECD
conforms to this paragraph (g).
(3) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with the Tier 3 NOX
emission controls disabled.

[[Page 474]]

(4) The engine must comply with the Tier 2 NOX standard
when the Tier 3 NOX emission controls are disabled.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59193, Oct. 8, 2008; 75
FR 22998, Apr. 30, 2010; 86 FR 34509, June 29, 2021]

Sec. 1042.120 Emission-related warranty requirements.

(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new engine, 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. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be shorter
than any basic mechanical warranty you provide without charge for the
engine. 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 an
engine has no hour meter, we base the warranty periods in this paragraph
(b) only on the engine's age (in years). The warranty period begins when
the engine is placed into service. The following minimum warranty
periods apply:
(1) For Category 1 and Category 2 engines, your emission-related
warranty must be valid for at least 50 percent of the engine's useful
life in hours of operation or a number of years equal to at least 50
percent of the useful life in years, whichever comes first.
(2) For Category 3 engines, your emission-related warranty must be
valid throughout the engine's full useful life as specified in Sec.
1042.104(d).
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty for freshly manufactured marine
engines 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 an engine's emissions of any
regulated pollutant. For remanufactured engines, 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 engine.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010;
81 FR 74146, Oct. 25, 2016]

Sec. 1042.125 Maintenance instructions.

Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system, as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1042.245 and in 40 CFR part 1065. The
restrictions specified in paragraphs (a) through (e) of this section
related to allowable maintenance apply only to Category 1 and Category 2
engines. Manufacturers may specify any maintenance for Category 3
engines.
(a) Critical emission-related maintenance. Critical emission-related
maintenance includes any adjustment, cleaning, repair, or replacement of
critical emission-related components.

[[Page 475]]

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 meet
the following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) For engines below 130 kW, you may not schedule critical
emission-related maintenance more frequently than the following minimum
intervals, except as specified in paragraphs (a)(4), (b), and (c) of
this section:
(i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 3,000 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components, but
excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
(3) For Category 1 and Category 2 engines at or above 130 kW, you
may not schedule critical emission-related maintenance more frequently
than the following minimum intervals, except as specified in paragraphs
(a)(4), (b), and (c) of this section:
(i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 4500 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components, but
excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
(4) We may approve shorter maintenance intervals than those listed
in paragraph (a)(3) of this section where technologically necessary.
(5) If your engine family has an alternate useful life under Sec.
1042.101(e) that is shorter than the period specified in paragraph
(a)(2) or (a)(3) of this section, you may not schedule critical
emission-related maintenance more frequently than the alternate useful
life, except as specified in paragraph (c) of this section.
(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 engines from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated

[[Page 476]]

with the special situation you are addressing. You may also address
maintenance of low-use engines (such as recreational or stand-by
engines) by specifying the maintenance interval in terms of calendar
months or years in addition to your specifications in terms of engine
operating hours. All special maintenance instructions must be consistent
with good engineering judgment. We may disapprove your maintenance
instructions if we determine that you have specified special maintenance
steps to address maintenance that is unlikely to occur in use, or engine
operation that is not atypical. For example, this paragraph (c) does not
allow you to design engines that require special maintenance for a
certain type of expected operation. 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 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 engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps during
service accumulation on your emission-data engines.
(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
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems or fuel-water separator
cartridges or elements, and adjusting idle speed, governor, engine bolt
torque, valve lash, or injector lash. You may not perform this
nonemission-related maintenance on emission-data engines more often than
the least frequent intervals that you recommend to the ultimate
purchaser.
(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 engine 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 engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (6) of the
definition of ``new marine engine'' in Sec. 1042.901.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems

[[Page 477]]

that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010;
81 FR 74146, Oct. 25, 2016; 86 FR 34509, June 29, 2021]

Sec. 1042.130 Installation instructions for vessel manufacturers.

(a) If you sell an engine for someone else to install in a vessel,
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 vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air Act.''
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1042.205(u).
(4) Describe any necessary steps for installing the diagnostic
system described in Sec. 1042.110.
(5) Describe how your certification is limited for any type of
application. For example, if your engines are certified only for
constant-speed operation, tell vessel manufacturers not to install the
engines in variable-speed applications or modify the governor.
(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 vessel, as
described in 40 CFR 1068.105.''
(8) Describe any vessel labeling requirements specified in Sec.
1042.135.
(c) You do not need installation instructions for engines you
install in your own vessels.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

[73 FR 37243, June 30, 2008, as amended at 81 FR 74146, Oct. 25, 2016]

Sec. 1042.135 Labeling.

[[Page 478]]

label if you stamp, engrave, or otherwise permanently identify it
elsewhere on the engine, in which case you must also describe in your
application for certification where you will identify the date on the
engine.
(6) Identify the application(s) for which the engine family is
certified (such as constant-speed auxiliary, variable-speed propulsion
engines used with fixed-pitch propellers, etc.). If the engine is
certified as a recreational engine, state: ``INSTALLING THIS
RECREATIONAL ENGINE IN A COMMERCIAL VESSEL OR USING THE VESSEL FOR
COMMERCIAL PURPOSES MAY VIOLATE FEDERAL LAW SUBJECT TO CIVIL PENALTY (40
CFR 1042.601).''
(7) For engines using sulfur-sensitive technologies, state: ``ULTRA
LOW SULFUR DIESEL FUEL ONLY''.
(8) State the useful life for your engine family if the applicable
useful life is based on the provisions of Sec. 1042.101(e)(2) or (3),
or Sec. 1042.104(d)(2).
(9) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA REGULATIONS
FOR [MODEL YEAR].''
(11) For a Category 1 or Category 2 engine that can be modified to
operate on residual fuel, but has not been certified to meet the
standards on such a fuel, include the statement: ``THIS ENGINE IS
CERTIFIED FOR OPERATION ONLY WITH DIESEL FUEL. MODIFYING THE ENGINE TO
OPERATE ON RESIDUAL OR INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL
LAW SUBJECT TO CIVIL PENALTIES.''
(12) For an engine equipped with on-off emission controls as allowed
by Sec. 1042.115, include the statement: ``THIS ENGINE IS CERTIFIED
WITH ON-OFF EMISSION CONTROLS. OPERATION OF THE ENGINE CONTRARY TO 40
CFR 1042.115(g) IS A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL
PENALTIES.''
(13) For engines above 130 kW that are intended for installation on
domestic or public vessels, include the following statement: ``THIS
ENGINE DOES NOT COMPLY WITH INTERNATIONAL MARINE REGULATIONS UNLESS IT
IS ALSO COVERED BY AN EIAPP CERTIFICATE.''
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as international standards), as long as this does
not cause you to omit any of the information described in paragraphs
(c)(5) through (9) of this section. You may add the information about
the other emission standards to the statement we specify, or you may
include it in a separate statement.
(2) You may add other information to ensure that the engine 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) For engines using sulfur-sensitive technologies, create a
separate label with the statement: ``ULTRA LOW SULFUR DIESEL FUEL
ONLY''. Permanently attach this label to the vessel near the fuel inlet
or, if you do not manufacture the vessel, take one of the following
steps to ensure that the vessel will be properly labeled:
(1) Provide the label to each vessel manufacturer and include in the
emission-related installation instructions the requirement to place this
label near the fuel inlet.
(2) Confirm that the vessel manufacturers install their own
complying labels.
(f) You may ask us to approve modified labeling requirements in this
part 1042 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
intent of the labeling requirements of this part.
(g) If you obscure the engine label while installing the engine in
the vessel such that the label will be hard to read during normal
maintenance, you must place a duplicate label on the vessel. If others
install your engine in their vessels in a way that obscures the engine
label, we require them to add a

[[Page 479]]

duplicate label on the vessel (see 40 CFR 1068.105); in that case, give
them the number of duplicate labels they request and keep the following
records for at least five years:
(1) Written documentation of the request from the vessel
manufacturer.
(2) The number of duplicate labels you send for each family and the
date you sent them.

[73 FR 37243, June 30, 2008, as amended at 75 FR 22999, Apr. 30, 2010;
81 FR 74147, Oct. 25, 2016; 86 FR 34509, June 29, 2021]

Sec. 1042.140 Maximum engine power, displacement, power density, and
maximum in-use engine speed.

This section describes how to determine the maximum engine power,
displacement, and power density of an engine for the purposes of this
part. Note that maximum engine power may differ from the definition of
``maximum test power'' in Sec. 1042.901. This section also specifies
how to determine maximum in-use engine speed for Category 3 engines.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for the
engine. This information may also be expressed by a torque curve that
relates maximum available engine torque with engine speed.
(c) An engine configuration's per-cylinder displacement is the
intended swept volume of each cylinder. The swept volume of the engine
is the product of the internal cross-section area of the cylinders, the
stroke length, and the number of cylinders. Calculate the engine's
intended swept volume from the design specifications for the cylinders
using enough significant figures to allow determination of the
displacement to the nearest 0.02 liters. Determine the final value by
truncating digits to establish the per-cylinder displacement to the
nearest 0.1 liters. For example, for an engine with circular cylinders
having an internal diameter of 13.0 cm and a 15.5 cm stroke length, the
rounded displacement would be: (13.0/2) \2\ x ([pi]) x (15.5) / 1000 =
2.0 liters.
(d) The nominal power curve and intended swept volume must be within
the range of the actual power curves and swept volumes of production
engines considering normal production variability. If after production
begins, it is determined that either your nominal power curve or your
intended swept volume does not represent production engines, we may
require you to amend your application for certification under Sec.
1042.225.
(e) Throughout this part, references to a specific power value for
an engine are based on maximum engine power. For example, the group of
engines with maximum engine power below 600 kW may be referred to as
engines below 600 kW.
(f) Calculate an engine family's power density in kW/L by dividing
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round
the calculated value to the nearest whole number.
(g) Calculate a maximum test speed for the nominal power curve as
specified in 40 CFR 1065.610. This is the maximum in-use engine speed
used for calculating the NOX standard in Sec. 1042.104 for
Category 3 engines. Alternatively, you may use a lower value if engine
speed will be limited in actual use to that lower value.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23000, Apr. 30, 2010;
81 FR 74147, Oct. 25, 2016]

Sec. 1042.145 Interim provisions.

(a) General. The provisions in this section apply instead of other
provisions in this part. This section describes when these interim
provisions expire. Only the provisions of paragraph (h) of this section
apply for Category 3 engines.
(b)-(e) [Reserved]
(f) In-use compliance limits. The provisions of this paragraph (f)
apply for the first three model years of the Tier 4

[[Page 480]]

standards. For purposes of determining compliance based on testing other
than certification or production-line testing, calculate the applicable
in-use compliance limits by adjusting the applicable standards/FELs. The
PM adjustment does not apply for engines with a PM standard or FEL above
0.04 g/kW-hr. The NOX adjustment does not apply for engines
with a NOX FEL above 2.7 g/kW-hr. Add the applicable
adjustments in one of the following tables to the otherwise applicable
standards and NTE limits. You must specify during certification which
add-ons, if any, will apply for your engines.

Table 1 to Sec. 1042.145--In-use Adjustments for the First Three Model
Years of the Tier 4 Standards
------------------------------------------------------------------------
In-use adjustments (g/kW-hr)
-----------------------------------
Fraction of useful life already used For Tier 4 NOX For Tier 4 PM
standards standards
------------------------------------------------------------------------
0 75% of useful life. 1.7 0.02
------------------------------------------------------------------------

Table 2 to Sec. 1042.145--Optional In-Use Adjustments for the First
Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
In-use adjustments (g/kW-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 useful life..... 0.5 0.05
------------------------------------------------------------------------

(g) Deficiencies for NTE standards. You may ask us to accept as
compliant an engine that does not fully meet specific requirements under
the applicable NTE standards. Such deficiencies are intended to allow
for minor deviations from the NTE standards under limited conditions. We
expect your engines to have functioning emission control hardware that
allows you to comply with the NTE standards.
(1) Request our approval for specific deficiencies in your
application for certification, or before you submit your application. We
will not approve deficiencies retroactively to cover engines already
certified. In your request, identify the scope of each deficiency and
describe any auxiliary emission control devices you will use to control
emissions to the lowest practical level, considering the deficiency you
are requesting.
(2) We will approve a deficiency only if compliance would be
infeasible or unreasonable considering such factors as the technical
feasibility of the given hardware and the applicable lead time and
production cycles. We may consider other relevant factors.
(3) Our approval applies only for a single model year and may be
limited to specific engine configurations. We may approve your request
for the same deficiency in the following model year if correcting the
deficiency would require unreasonable hardware or software modifications
and we determine that you have demonstrated an acceptable level of
effort toward complying.
(4) You may ask for any number of deficiencies in the first three
model years during which NTE standards apply for your engines. For the
next four model years, we may approve up to three deficiencies per
engine family. Deficiencies of the same type that apply similarly to
different power ratings within a family count as one deficiency per
family. We may condition approval of any such additional deficiencies
during these four years on any additional conditions we determine to

[[Page 481]]

be appropriate. We will not approve deficiencies after the seven-year
period specified in this paragraph (g)(4), unless they are related to
safety.
(h)-(i) [Reserved]
(j) Installing land-based engines in marine vessels. Vessel
manufacturers and marine equipment manufacturers may apply the
provisions of Sec. Sec. 1042.605 and 1042.610 to land-based engines
with maximum engine power at or above 37 kW and at or below 560 kW if
they meet the Tier 3 emission standards in appendix I of 40 CFR part
1039 as specified in 40 CFR 1068.265. All the provisions of Sec.
1042.605 or Sec. 1042.610 apply as if those engines were certified to
emission standards under 40 CFR part 1039. Similarly, engine
manufacturers, vessel manufacturers, and marine equipment manufacturers
must comply with all the provisions of 40 CFR part 1039 as if those
engines were installed in land-based equipment. The following provisions
apply for engine manufacturers shipping engines to vessel manufacturers
or marine equipment manufacturers under this paragraph (j):
(1) You must label the engine as described in 40 CFR 1039.135, but
identify the engine family name as it was last certified under 40 CFR
part 1039 and include the following alternate compliance statement:

THIS ENGINE MEETS THE TIER 3 STANDARDS FOR LAND-BASED NONROAD DIESEL
ENGINES UNDER 40 CFR PART 1039. THIS ENGINE MAY BE USED ONLY IN A MARINE
VESSEL UNDER THE DRESSING PROVISIONS OF 40 CFR 1042.605 OR 40 CFR
1042.610.

(2) You must use the provisions of 40 CFR 1068.262 for shipping
uncertified engines under this section to secondary engine
manufacturers.
(k) Adjusted implementation dates for Tier 4 standards. Engines and
vessels may qualify for delaying the Tier 4 standards specified in Sec.
1042.101 as follows:
(1) The delay is limited to model year 2021 and earlier engines and
vessels that meet all the following characteristics:
(i) Category 1 propulsion engines with specific power density above
27.0 kW/liter, up to maximum engine power of 1,400 kW.
(ii) Vessels have total propulsion power at or below 2,800 kW.
(iii) Vessel waterline length is at or below 65 feet.
(iv) Vessels have a maximum speed (in knots) at or above 3.0
[middot] L^1/2, where L is the vessel's waterline length, in
feet.
(2) The delay also applies through model year 2023 for engines and
vessels that meet all the following characteristics:
(i) Category 1 propulsion engines with specific power density above
35.0 kW/liter, up to maximum engine power of 1,000 kW.
(ii) Vessels have total propulsion power at or below 1,000 kW.
(iii) Vessel waterline length is at or below 50 feet.
(iv) Vessels have a maximum speed (in knots) at or above 3.0
[middot] L^1/2, where L is the vessel's waterline length, in
feet.
(v) Vessels have fiberglass or other nonmetal hulls.
(3) Vessel manufacturers must have a contract or purchase agreement
signed before the end of the relief period for each vessel produced
under this paragraph (k).
(4) Affected engines must instead be certified to the appropriate
Tier 3 emission standards specified in Sec. 1042.101. Engine
manufacturers may include engine configurations with maximum engine
power below 600 kW in the same engine family even if the power density
is below the value specified in paragraph (k)(1) or (2) of this section.
(5) If you introduce an engine into U.S. commerce under this
section, you must meet the labeling requirements in Sec. 1042.135, but
add the following statement instead of the compliance statement in Sec.
1042.135(c)(10):

THIS MARINE ENGINE COMPLIES WITH U.S. EPA TIER 3 EMISSION STANDARDS
UNDER 40 CFR 1042.145(k). ANY OTHER INSTALLATION OR USE OF THIS ENGINE
MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(l) [Reserved]
(m) Tier 4 waiver. Starting with model year 2024, vessel
manufacturers may request an exemption from the Tier 4 standards as
follows:
(1) The subject vessels and engines must meet the qualifications of
paragraph (k)(2) of this section.

[[Page 482]]

(2) Vessel manufacturers must send a written request for the
exemption to the Designated Compliance Officer. The request must
describe efforts taken to identify available engines certified to the
Tier 4 standards, describe design efforts for installing engines in the
subject vessels, identify the number of vessels needing exempt engines,
demonstrate that the vessel cannot meet essential performance
specifications using available Tier 4 engines, and state that engine and
vessel manufacturers will meet all the terms and conditions that apply.
We may approve an exemption from the Tier 4 standards based on the
submitted information.
(3) Engine manufacturers may ship exempt engines under this
paragraph (m) only after receiving a written request from a vessel
manufacturer who has received our written approval to build a specific
number of vessels. The prohibitions in 40 CFR 1068.101(a)(1) do not
apply to a new engine that is subject to Tier 4 standards, subject to
the following conditions:
(i) The engine meets the appropriate Tier 3 emission standards in
Sec. 1042.101 consistent with the provisions specified in 40 CFR
1068.265.
(ii) The engine is installed on a vessel consistent with the
conditions of this paragraph (m).
(iii) The engine meets the labeling requirements in Sec. 1042.135,
with the following statement instead of the compliance statement in
Sec. 1042.135(c)(10):

THIS MARINE ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION
STANDARDS UNDER 40 CFR 1042.145(m). ANY OTHER INSTALLATION OR USE OF
THIS ENGINE MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(n) Assigned deterioration factors. Engine manufacturers may use
assigned deterioration factors for certifying Tier 4 engines with
maximum power up to 1,400 kW, as follows:
(1) For engine families that have at least one configuration with
maximum engine power at or below 1,400 kW and power density above 30.0
kW/liter, you may use assigned deterioration factors through model year
2024.
(2) For engine families that have at least one configuration with
maximum engine power at or below 1,000 kW and power density above 30.0
kW/liter, you may use assigned deterioration factors through model year
2026.
(3) The assigned deterioration factors are multiplicative values of
1.1 for NOX and 1.4 for HC and CO, and an additive value of
0.003 g/kW-hr for PM, unless we approve your request to use different
values. We will approve your proposed values if we determine based on
data from similar engines and supporting rationale you submit with your
request that they better represent your engines.
(o) Useful life for light-commercial engines. You may certify
commercial Category 1 engines at or above 600 kW with power density
above 45.00 kW/liter to the exhaust emission standards of this part over
a full useful life of 10 years or 5,000 hours of operation instead of
the useful-life values specified in Sec. 1042.101(e). Engines certified
to this shorter useful life must be in their own engine family.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75
FR 23000, Apr. 30, 2010; 78 FR 36396, June 17, 2013; 85 FR 62231, Oct.
2, 2020; 86 FR 34509, June 29, 2021]

Subpart C_Certifying Engine Families

Sec. 1042.201 General requirements for obtaining a certificate of
conformity.

[[Page 483]]

subpart, as long as you maintain all the information required by Sec.
1042.250.
(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. 1042.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test engines to a facility we
designate for our testing (see Sec. 1042.235(c)). Alternatively, you
may choose to deliver another engine that is identical in all material
respects to the test engine, or another engine that we determine can
appropriately serve as an emission-data engine for the engine family.
(h) For engines that become new after being placed into service,
such as engines installed on imported vessels, we may specify alternate
certification provisions consistent with the intent of this part. See
the definition of ``new marine engine'' in Sec. 1042.901.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23000, Apr. 30, 2010;
81 FR 74147, Oct. 25, 2016]

Sec. 1042.205 Application requirements.

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1042.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1042.140.
(b) Explain how the emission control system operates. Describe in
detail all system components for controlling exhaust 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 (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the values).
Include vessel-based parameters and state whether you simulate them
during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation for
each parameter, the relationship between the sensed parameters and the
controlled parameters and how the modulation achieves the AECD's stated
purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs sense
or modulate the same parameter. Describe whether the strategies interact
in a comparative or additive manner and identify which AECD takes
precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to
protect engines or vessels:
(i) Identify the engine and/or vessel design limits that make
protection necessary and describe any damage that would occur without
the AECD.
(ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating

[[Page 484]]

conditions that cause the need for protection.
(iii) Describe the relationship between the design limits/parameters
being protected and the parameters sensed or calculated as surrogates
for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/or
vessels from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate only
during conditions related to the stated need to protect components and
only as needed to sufficiently protect those components in a way that
minimizes the emission impact.
(12) Include any other information required by this part with
respect to AECDs. For example, see Sec. 1042.115 for requirements
related to on-off technologies.
(c) If your engines are equipped with an engine diagnostic system,
explain how it works, describing especially the engine conditions (with
the corresponding diagnostic trouble codes) that cause the malfunction-
indicator light to go on.
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including the duty cycle(s) and the corresponding engine applications.
Also describe any special or alternate test procedures you used.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel (or mixture of test
fuels) to show that they fall within the required ranges we specify in
40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1042.120
and 1042.125). Describe your plan for meeting warranty obligations under
Sec. 1042.120.
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1042.130).
(k) Describe your emission control information label (see Sec.
1042.135).
(l) Identify the emission standards and/or FELs to which you are
certifying engines in the engine family.
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1042.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(o) Present emission data for HC, NOX, PM, and CO on an
emission-data engine to show your engines meet emission standards as
specified in Sec. Sec. 1042.101 or 1042.104. Note that you must submit
PM data for all engines, whether or not a PM standard applies. Show
emission figures before and after applying adjustment factors for
regeneration and deterioration factors for each pollutant and for each
engine. If we specify more than one grade of any fuel type (for example,
high-sulfur and low-sulfur diesel fuel), you need to submit test data
only for one grade, unless the regulations of this part specify
otherwise for your engine. Include emission results for each mode for
Category 3 engines or for other engines if you do discrete-mode testing
under Sec. 1042.505. For engines using on-off controls as described in
Sec. 1042.115(g), include emission data demonstrating compliance with
the Tier 2 standards when the engines Tier 3 NOX emission
controls are disabled. Note that Sec. Sec. 1042.235 and 1042.245 allows
you to submit an application in certain cases without new emission data.
(p) For Category 1 and Category 2 engines, state that all the
engines in the engine family comply with the applicable not-to-exceed
emission standards in

[[Page 485]]

Sec. 1042.101 for all normal operation and use when tested as specified
in Sec. 1042.515. Describe any relevant testing, engineering analysis,
or other information in sufficient detail to support your statement.
(q) [Reserved]
(r) Report test results as follows:
(1) Report all valid test results involving measurement of
pollutants for which emission standards apply. Also indicate whether
there are test results from invalid tests or from any other tests of the
emission-data engine, whether or not they were conducted according to
the test procedures of subpart F of this part. We may require you to
report these additional test results. We may ask you to send other
information to confirm that your tests were valid under the requirements
of this part and 40 CFR part 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1042.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(s) Describe all adjustable operating parameters (see Sec.
1042.115(d)), including production tolerances. 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) For Category 1 engines, information showing why the limits,
stops, or other means of inhibiting adjustment are effective in
preventing adjustment of parameters on in-use engines to settings
outside your intended physically adjustable ranges.
(5) For Category 2 and Category 3 engines, propose a range of
adjustment for each adjustable parameter, as described in Sec.
1042.115(d). Include information showing why the limits, stops, or other
means of inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your proposed
adjustable ranges.
(t) Provide the information to read, record, and interpret all the
information broadcast by an engine'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. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in vessels and placed in service.
Show how to sample exhaust emissions in a way that prevents diluting the
exhaust sample with ambient air.
(v) State whether your certification is limited for certain engines.
If this is the case, describe how you will prevent use of these engines
in applications for which they are not certified. This applies for
engines such as the following:
(1) Constant-speed engines.
(2) Engines used with controllable-pitch propellers.
(3) Recreational engines.
(w) 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.
(x) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes if
they are substantially different than actual production volumes in
earlier years for similar models.
(y) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1042.725 if you
participate in the ABT program.
(z) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(aa) 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.

[[Page 486]]

(bb) The following provisions apply for imported engines:
(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.
(2) For engines below 560 kW, identify 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.

[73 FR 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009;
75 FR 23000, Apr. 30, 2010; 81 FR 74147, Oct. 25, 2016]

Sec. 1042.210 Preliminary approval.

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, deterioration factors, useful life, testing for service
accumulation, maintenance, and compliance with not-to-exceed standards.
See Sec. 1042.245 for specific provisions that apply for deterioration
factors. 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. 1042.220 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. 1042.125.
You must send the Designated Compliance Officer a written 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 operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines 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 anytime
after you send your request. For example, this paragraph (b) would cover
adding instructions to increase the frequency of filter changes for
engines 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).

[75 FR 23001, Apr. 30, 2010]

Sec. 1042.225 Amending applications for certification.

[[Page 487]]

(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. 1042.230.
(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 for an engine family as described in paragraph (f)
of this section.
(b) To amend your application for certification as specified in
paragraph (a) of this section, 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. 1042.920).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the nonconformity
at no expense to the owner. If you do not provide information required
under paragraph (c) of this section within 30 days after we request it,
you must stop producing the new or modified engines.
(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 engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all engines produced after the change. You may ask
us to approve a change to your FEL in the following cases:
(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 engine, 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 engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL. The lower FEL applies only to engines you
produce after we approve the new FEL. Use the appropriate FELs with
corresponding

[[Page 488]]

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 37243, June 30, 2008, as amended at 75 FR 23001, Apr. 30, 2010;
81 FR 74148, Oct. 25, 2016]

Sec. 1042.230 Engine families.

(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this section.
You may not group engines in different engine categories in the same
family. Your engine family is limited to a single model year.
(b) For Category 1 engines, group engines in the same engine family
if they are the same in all the following aspects:
(1) The combustion cycle and the fuel with which the engine is
intended or designed to be operated.
(2) The cooling system (for example, raw-water vs. separate-circuit
cooling).
(3) Method of air aspiration.
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
(5) Combustion chamber design.
(6) Nominal bore and stroke.
(7) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
(8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(9) Application (commercial or recreational).
(10) Numerical level of the emission standards that apply to the
engine, except as allowed under paragraphs (f) and (g) of this section.
(c) For Category 2 engines, group engines 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 fuel with which the engine is intended or designed to be
operated and the fuel system configuration.
(3) The cooling system (for example, air-cooled or water-cooled),
and procedure(s) employed to maintain engine temperature within desired
limits (thermostat, on-off radiator fans, radiator shutters, etc.).
(4) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
(5) The turbocharger or supercharger general performance
characteristics (e.g., approximate boost pressure, approximate response
time, approximate size relative to engine displacement).
(6) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
(7) The type of exhaust aftertreatment system (oxidation catalyst,
particulate trap), and characteristics of the aftertreatment system
(catalyst loading, converter size vs. engine size).
(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) Nominal bore and stroke dimensions.
(10) The location of the piston rings on the piston.
(11) The intake manifold induction port size and configuration.
(12) The exhaust manifold port size and configuration.
(13) The location of the intake and exhaust valves (or ports).
(14) The size of the intake and exhaust valves (or ports).

[[Page 489]]

(15) The approximate intake and exhaust event timing and duration
(valve or port).
(16) The configuration of the fuel injectors and approximate
injection pressure.
(17) The type of fuel injection system controls (i.e., mechanical or
electronic).
(18) The overall injection timing characteristics, or as appropriate
ignition timing characteristics (i.e., the deviation of the timing
curves from the optimal fuel economy timing curve must be similar in
degree).
(19) The type of smoke control system.
(d) For Category 3 engines, group engines into engine families based
on the criteria specified in Section 4.3 of the NOX Technical
Code (incorporated by reference in Sec. 1042.910), except as allowed in
paragraphs (e) and (f) of this section.
(e) You may subdivide a group of engines 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. However, for the purpose of applying small-volume family
provisions of this part, we will consider the otherwise applicable
engine family criteria of this section.
(f) You may group engines that are not identical with respect to the
things listed in paragraph (b), (c), or (d) of this section in the same
engine family, as follows:
(1) In unusual circumstances, you may group such engines in the same
engine family if you show that their emission characteristics during the
useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group any
Category 1 engines into a single engine family or you may group any
Category 2 engines into a single engine family. This also applies if you
are a post-manufacture marinizer modifying a base engine that has a
valid certificate of conformity for any kind of nonroad or heavy-duty
highway engine under this chapter.
(3) The provisions of this paragraph (f) do not exempt any engines
from meeting the standards and requirements in subpart B of this part.
(g) If you combine engines that are subject to different emission
standards into a single engine family under paragraph (f) of this
section, you must certify the engine family to the more stringent set of
standards for that model year. For Category 3 engine families that
include a range of maximum in-use engine speeds, use the highest value
of maximum in-use engine speed to establish the applicable
NOX emission standard.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23001, Apr. 30, 2010]

Sec. 1042.235 Emission testing related to certification.

This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. 1042.101(a) or Sec.
1042.104. See Sec. 1042.205(p) regarding emission testing related to
the NTE standards. See Sec. Sec. 1042.240 and 1042.245 and 40 CFR part
1065, subpart E, regarding service accumulation before emission testing.
See Sec. 1042.655 for special testing provisions available for Category
3 engines subject to Tier 3 standards.
(a) Select an emission-data engine from each engine family for
testing. For engines at or above 560 kW, you may use a development
engine that is equivalent in design to the engine being certified. For
Category 3 engines, you may use a single-cylinder version of the engine.
Using good engineering judgment, select the engine configuration most
likely to exceed an applicable emission standard over the useful life,
considering all exhaust emission constituents and the range of
installation options available to vessel manufacturers.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that
best represents in-use operation or is most likely to have the highest
NOX emissions (or NOX+HC emissions for engines
subject to NOX+HC standards), though you may ask us to
instead to

[[Page 490]]

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 engines or other engines from the engine
family, as follows:
(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 from one of your engines, the results of
that testing become the official emission results for the engine. Unless
we later invalidate these data, we may decide not to consider your data
in determining if your engine family meets applicable requirements.
(3) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see
Sec. 1042.115(d)).
(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. 1042.901) 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.
(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. 1042.225(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 of this part that apply to the engine family covered by the
application for certification. For engines originally tested to
demonstrate compliance with Tier 1 or Tier 2 standards, you may consider
those test procedures to be equivalent to the procedures we specify in
subpart F of this part.
(e) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under paragraph
(b) 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.
(g) Measure CO2 with each low-hour certification test
using the procedures specified in 40 CFR part 1065 starting in the 2011
model year. Also measure CH4 from Category 1 and Category 2
engines with each low-hour certification test using the procedures
specified in 40 CFR part 1065 starting in the 2012 model year. Measure
N2O from Category 1 and Category 2 engines 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-volume engine manufacturers may omit
measurement of N2O and CH4. These measurements are
not required for NTE testing. Use the same units and modal calculations
as for your other results to report a single weighted value for each
constituent. Round the final values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr.

[[Page 491]]

(2) Round N2O to the nearest 0.001 g/kW-hr.
(3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 FR 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009;
75 FR 23002, Apr. 30, 2010; 81 FR 74148, Oct. 25, 2016; 86 FR 34510,
June 29, 2021]

Sec. 1042.240 Demonstrating compliance with exhaust emission standards.

(a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec. 1042.101(a) or Sec.
1042.104 if all emission-data engines representing that family have test
results showing official emission results and deteriorated emission
levels at or below these standards. This also applies for all test
points for emission-data engines within the family used to establish
deterioration factors. See paragraph (f) of this section for provisions
related to demonstrating compliance with non-duty-cycle standards, such
as NTE standards. Note that your FELs are considered to be the
applicable emission standards with which you must comply if you
participate in the ABT program in subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data
engine 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. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies for
all test points for emission-data engines within the family used to
establish deterioration factors.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1042.245 specifies
how to test your Category 1 or Category 2 engine to develop
deterioration factors that represent the deterioration expected in
emissions over your engines' full useful life. See paragraph (e) of this
section for determining deterioration factors for Category 3 engines.
Your deterioration factors must take into account any available data
from in-use testing with similar engines. Small-volume engine
manufacturers and post-manufacture marinizers may use assigned
deterioration factors that we establish. Apply deterioration factors as
follows:
(1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (c)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of the
useful life and exhaust emissions at the low-hour test point. In these
cases, adjust the official emission results for each tested engine at
the selected test point by adding the factor to the measured emissions.
If the deterioration 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 engine at
the selected test point by multiplying the measured emissions by the
deterioration factor. If the deterioration factor is less than one, use
one. A multiplicative deterioration factor may not be appropriate in
cases where testing variability is significantly greater than engine-to-
engine variability. Multiplicative deterioration factors must be
specified to one more significant figure than the applicable standard.
(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

[[Page 492]]

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 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) 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.
(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. 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) Determine the official emission result for each pollutant 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. In the case of NOX+HC standards, apply the
deterioration factor to each pollutant and then add the results before
rounding.
(e) For Category 3 engines, determine a deterioration factor based
on an engineering analysis. The engineering analysis must describe how
the measured emission levels from the emission-data engine show that
engines comply with applicable emission standards throughout the useful
life. Include this analysis in your application for certification and
add a statement that all data, analyses, evaluations, and other
information you used are available for our review upon request.
(f) For NTE standards and mode caps, use good engineering judgment
to demonstrate compliance throughout the useful life. You may, but are
not required to, apply the same deterioration factors used to show
compliance with the applicable duty-cycle standards. We will deny your
application for certification if we determine that your test data show
that your engines would exceed one or more NTE standard or mode cap
during their useful lives.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23002, Apr. 30, 2010;
81 FR 74148, Oct. 25, 2016]

Sec. 1042.245 Deterioration factors.

This section describes how to determine deterioration factors for
Category 1 and Category 2 engines, either with an engineering analysis,
with pre-existing test data, or with new emission measurements. Apply
these deterioration factors to determine whether your engines will meet
the duty-cycle emission standards throughout the useful life as
described in Sec. 1042.240. This section does not apply for Category 3
engines.
(a) You may ask us to approve deterioration factors for an engine
family with established technology based on engineering analysis instead
of testing. Engines certified to a NOX + HC standard or FEL
greater than the Tier 3 NOX + HC standard are considered to
rely on established technology for control of gaseous emissions, except
that this does not include any engines that use exhaust-gas
recirculation or aftertreatment. In most cases, technologies used to
meet the Tier 1 and Tier 2 emission standards would qualify as
established technology. We must approve your plan to establish a
deterioration factor under this paragraph (a) before you submit your
application for certification.

[[Page 493]]

(b) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar highway, stationary,
or nonroad engines (including locomotive engines or other marine
engines) if you have already given us these data for certifying the
other engines in the same or earlier model years. Use good engineering
judgment to decide whether the two engines are similar. We must approve
your plan to establish a deterioration factor under this paragraph (b)
before you submit your application for certification. We will approve
your request if you show us that the emission measurements from other
engines reasonably represent in-use deterioration for the engine family
for which you have not yet determined deterioration factors.
(c) If you are unable to determine deterioration factors for an
engine family under paragraph (a) or (b) of this section, first get us
to approve a plan for determining deterioration factors based on service
accumulation and related testing. We will respond to your proposed plan
within 45 days of receiving your request. Your plan must involve
measuring emissions from an emission-data engine at least three times,
which are evenly spaced over the service-accumulation period unless we
specify otherwise, such that the resulting measurements and calculations
will represent the deterioration expected from in-use engines over the
full useful life. You may use extrapolation to determine deterioration
factors once you have established a trend of changing emissions with age
for each pollutant. You may use an engine installed in a vessel to
accumulate service hours instead of running the engine only in the
laboratory. You may perform maintenance on emission-data engines as
described in Sec. 1042.125 and 40 CFR part 1065, subpart E.
(d) 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 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010]

Sec. 1042.250 Recordkeeping and reporting.

(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1042.345. In
addition, within 45 days after the end of the model year, you must send
us a report describing information about engines you produced during the
model year as follows:
(1) State the total production volume for each engine family that is
not subject to reporting under Sec. 1042.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in Sec.
1042.345.
(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. 1042.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine 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, including the date and purpose of each
test

[[Page 494]]

and documentation of test parameters as specified in part 40 CFR part
1065.
(v) All tests to diagnose engine or emission control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
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.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010;
81 FR 74149, Oct. 25, 2016]

Sec. 1042.255 EPA decisions.

(a) If we determine an 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 the engine family for
that model year. We may make the approval subject to additional
conditions.
(b) We may deny an application for certification if we determine
that an 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 an application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(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 an application to
include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep
records, send reports, or give us information as required under this
part or the Clean Air Act. Note that these are also violations of 40 CFR
1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1042.920).

[86 FR 34510, June 29, 2021]

Subpart D_Testing Production-line Engines

Sec. 1042.301 General provisions.

(a) If you produce freshly manufactured marine engines that are
subject to the requirements of this part, you must test them as
described in this subpart, except as follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt Category 1 engine families with a projected U.S.-
directed production volume below 100 engines from routine testing under
this subpart. Request this exemption in your application for
certification and include your basis for projecting a production volume
below 100 units. We will approve your request if we agree

[[Page 495]]

that you have made good-faith estimates of your production volumes. Your
exemption is approved when we grant your certificate. You must promptly
notify us if your actual production exceeds 100 units during the model
year. If you exceed the production limit or if there is evidence of a
nonconformity, we may require you to test production-line engines under
this subpart, or under 40 CFR part 1068, subpart E, even if we have
approved an exemption under this paragraph (a)(2).
(3) [Reserved]
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1042.325 and 1042.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all applicable
regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs or measurement methods for
testing production-line engines in the following circumstances:
(1) [Reserved]
(2) You may test your engines using the CumSum procedures specified
in 40 CFR part 1045 or 1051 instead of the procedures specified in this
subpart, except that the threshold for establishing quarterly or annual
test periods is based on U.S.-directed production volumes of 800 instead
of 1600. This alternate program does not require prior approval.
(3) You may ask to use another 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.
(e) If you certify a Category 1 or Category 2 engine family with
carryover emission data, as described in Sec. 1042.235(d), 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. The minimum testing rate is one engine per engine 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 engines that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part. For Category 3
engines, you are not required to deliver engines to us, but we may
inspect and test your engines at any facility at which they are
assembled or installed in vessels.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23003, Apr. 30, 2010;
81 FR 74149, Oct. 25, 2016]

Sec. 1042.302 Applicability of this subpart for Category 3 engines.

If you produce Tier 3 or later Category 3 engines that are certified
under this part, you must test them as described in this subpart, except
as specified in this section.
(a) You must test each Category 3 engine at the sea trial of the
vessel in which it is installed or within the first 300 hours of
operation, whichever occurs first. This may involve testing a fully
assembled production engine before it is installed in the vessel. For
engines with on-off controls, you may omit testing to demonstrate
compliance with Tier 2 standards if the engine does not rely on
aftertreatment when Tier 3 emission controls are disabled. Since you
must test each engine, the provisions of Sec. Sec. 1042.310 and
1042.315(b) do not apply for Category 3 engines. If we determine that an
engine failure under this subpart is caused by defective components or
design deficiencies,

[[Page 496]]

we may revoke or suspend your certificate for the engine family as
described in Sec. 1042.340. If we determine that an engine failure
under this subpart is caused only by incorrect assembly, we may suspend
your certificate for the engine family as described in Sec. 1042.325.
If the engine fails, you may continue operating only to complete the sea
trial and return to port. It is a violation of 40 CFR 1068.101(b)(1) to
operate the vessel further until you remedy the cause of failure. Each
two-hour period of such operation constitutes a separate offense. A
violation lasting less than two hours constitutes a single offense.
(b) You are only required to measure NOX emissions. You
do not need to measure HC, CO or PM emissions under this subpart.
(c) If you are unable to operate the engine at the test points for
the specified duty cycle, you may approximate these points consistent
with the specifications of section 6 of Appendix 8 to the NOX
Technical Code (incorporated by reference in Sec. 1042.910) and show
compliance with the alternate installed-engine standard of Sec.
1042.104(g). You must obtain EPA approval of your test procedure prior
to testing the engine. Include in your request a description of your
basis for concluding that the engine cannot be tested at the actual test
points of the specified duty cycle.
(d) You may measure NOX emissions at additional test
points for the purposes of the continuous NOX monitoring
requirements of Sec. 1042.110(d). If you do, you must report these
values along with your other test results. Describe in your application
for certification how you plan to use these values for continuous
NOX monitoring.
(e) You may ask to measure emissions according to the Direct
Measurement and Monitoring method specified in section 6.4 of the
NOX Technical Code (incorporated by reference in Sec.
1042.910).

[75 FR 23003, Apr. 30, 2010, as amended at 81 FR 74149, Oct. 25, 2016;
86 FR 34510, June 29, 2021]

Sec. 1042.305 Preparing and testing production-line engines.

[[Page 497]]

paragraph (e) of this section). We may ask you for information needed to
establish an alternate minimum idle speed.
(2) We may specify adjustments within the physically adjustable
range or the specified adjustable range by considering their effect on
emission levels. We may also consider how likely it is that someone will
make such an adjustment with in-use engines.
(e) Stabilizing emission levels. You may stabilize emission levels
(or establish a Green Engine Factor for Category 2 engines) before you
test production-line engines, as follows:
(1) You may stabilize emission levels by operating the engine in a
way that represents the way production engines will be used, using good
engineering judgment, for no more than the greater of two periods:
(i) 300 hours.
(ii) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
(2) For Category 2 or Category 3 engines, you may ask us to approve
a Green Engine Factor for each regulated pollutant for each engine
family. Use the Green Engine Factor to adjust measured emission levels
to establish a stabilized low-hour emission level.
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe, or if it would permanently damage the engine. Report to us in
your written report under Sec. 1042.345 all adjustments or repairs you
make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and the
emission results from all tests. If we determine that you improperly
invalidated a test, we may require you to ask for our approval for
future testing before substituting results of the new tests for invalid
ones.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

Sec. 1042.310 Engine selection for Category 1 and Category 2 engines.

(a) Determine minimum sample sizes as follows:
(1) For Category 1 engines, the minimum sample size is one engine or
one percent of the projected U.S.-directed production volume for all
your Category 1 engine families, whichever is greater.
(2) For Category 2 engines, the minimum sample size is one engine or
one percent of the projected U.S.-directed production volume for all
your Category 2 engine families, whichever is greater.
(b) Randomly select one engine from each engine family early in the
model year. For further testing to reach the minimum sample size,
randomly select a proportional sample from each engine family, with
testing distributed evenly over the course of the model year, unless we
specify a different schedule for your tests. For example, we may require
you to disproportionately select engines from the early part of a model
year for a new engine model that has not previously been subject to
production-line testing.
(c) For each engine that fails to meet emission standards, test two
engines from the same engine family from the next fifteen engines
produced or within seven days, whichever is later. If an engine fails to
meet emission standards for any pollutant, count it as a failing engine
under this paragraph (c).
(d) Continue testing until one of the following things happens:
(1) You test the number of engines specified in paragraphs (a) and
(c) of this section.
(2) The engine family does not comply according to Sec. 1042.315 or
you choose to declare that the engine family does not comply with the
requirements of this subpart.
(3) You test 30 engines from the engine family.
(e) You may elect to test more randomly chosen engines than we
require under this section.

[[Page 498]]

Sec. 1042.315 Determining compliance.

This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1042.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine, calculate
the initial results for each test, then add all the test results
together and divide by the number of tests. Round this final calculated
value for the final test results on that engine. Include the Green
Engine Factor to determine low-hour emission results, if applicable.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1042.240(c)).
(3) Round deteriorated test results. Round the results to the number
of decimal places in the emission standard expressed to one more decimal
place.
(b) For Category 1 and Category 2 engines, if a production-line
engine fails to meet emission standards and you test two additional
engines as described in Sec. 1042.310, calculate the average emission
level for each pollutant for the three engines. If the calculated
average emission level for any pollutant exceeds the applicable emission
standard, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the engine family as described in Sec. 1042.225(f).

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

Sec. 1042.320 What happens if one of my production-line engines fails
to meet emission standards?

(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1042.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before your
certificate of conformity can cover that engine:
(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include the test results and describe the remedy for each engine
in the written report required under Sec. 1042.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1042.225).
(c) For catalyst-equipped engines, 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 engine 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.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

Sec. 1042.325 What happens if an engine family fails the production-
line testing requirements?

(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1042.315. The suspension may apply to all
facilities producing engines from an engine family, even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when you
receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1042.920). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1042.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed

[[Page 499]]

remedy. We may require you to apply the remedy to engines produced
earlier if we determine that the cause of the failure is likely to have
affected the earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the entire engine family before or after we suspend
your certificate as described in Sec. 1042.225(f). We will approve your
request if the failure is not caused by a defect and it is clear that
you used good engineering judgment in establishing the original FEL.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

Sec. 1042.330 Selling engines from an engine family with a suspended
certificate of conformity.

You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1042.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines and
remedy any noncompliance at no expense to the owner if later testing
shows that the engine family still does not comply.

Sec. 1042.335 Reinstating suspended certificates.

(a) Send us a written report asking us to reinstate your suspended
certificate. In your report, identify the reason for noncompliance,
propose a remedy for the engine family, and commit to a date for
carrying it out. In your proposed remedy include any quality control
measures you propose to keep the problem from happening again.
(b) Give us data from production-line testing that shows the
remedied engine family complies with all the emission standards that
apply.

Sec. 1042.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of this
subpart and your proposed remedy to address a suspended certificate
under Sec. 1042.325 is inadequate to solve the problem or requires you
to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked certificate
of conformity, you must modify the engine family and then show it
complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to evaluate
the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec. 1042.345 Reporting.

(a) Within 45 days of the end of each quarter in which production-
line testing occurs, send us a report with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
Also describe how you developed and applied the Green Engine Factor, if
applicable.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.

[[Page 500]]

(6) Provide the test number; the date, time and duration of testing;
test procedure; all initial test results; final test results; and final
deteriorated test results for all tests. Provide the emission results
for all measured pollutants. Include information for both valid and
invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure or
type of engine.
(8) Report on each failed engine as described in Sec. 1042.320.
(9) Identify when the model year ends for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:

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 1042. We have not changed production
processes or quality-control procedures for test engines 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)

(d) Send electronic reports of production-line testing 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.
(e) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1042.915 for information on how we treat
information you consider confidential.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

Sec. 1042.350 Recordkeeping.

(a) Organize and maintain your records as described in this section.
We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing
for eight years after you complete all the testing required for an
engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1042.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine arrived
at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing not
otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1042.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep records of the engine identification number for each engine
you produce under each certificate of conformity. You may identify these
numbers as a range. Give us these records within 30 days if we ask for
them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23004, Apr. 30, 2010]

[[Page 501]]

Subpart E_In-use Testing

Sec. 1042.401 General Provisions.

We may perform in-use testing of any engine subject to the standards
of this part.

Subpart F_Test Procedures

Sec. 1042.501 How do I run a valid emission test?

(a) Use the equipment and procedures for compression-ignition
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in Sec. Sec. 1042.101 or 1042.104. Measure the
emissions of all regulated pollutants as specified in 40 CFR part 1065.
Use the applicable duty cycles specified in Sec. 1042.505. The
following exceptions from the 40 CFR part 1065 procedures apply:
(1) 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.
(2) If you perform discrete-mode testing, you may verify
proportional sampling over the whole duty cycle instead of verifying
proportional sampling for each discrete mode.
(b) Section 1042.515 describes the supplemental test procedures for
evaluating whether engines meet the not-to-exceed emission standards in
Sec. 1042.101(c).
(c) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, for all the testing we require in this part, except as
specified in this section and Sec. 1042.515.
(1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
(2) For diesel-fueled engines, use the appropriate diesel fuel
specified in 40 CFR part 1065, subpart H, for emission testing. Unless
we specify otherwise, the appropriate diesel test fuel for Category 1
and Category 2 engines is the ultra low-sulfur diesel fuel. If we allow
you to use a test fuel with higher sulfur levels, identify the test fuel
in your application for certification. Unless we specify otherwise, the
appropriate diesel test fuel for Category 3 engines is the high-sulfur
diesel fuel. For Category 2 and Category 3 engines, you may ask to use
commercially available diesel fuel similar but not necessarily identical
to the applicable fuel specified in 40 CFR part 1065, 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.
(3) For Category 1 and Category 2 engines that are expected to use a
type of fuel (or mixed fuel) other than diesel fuel (such as natural
gas, methanol, or residual fuel), use a commercially available fuel of
that type for emission testing. If a given engine is designed to operate
on different fuels, we may (at our discretion) require testing on each
fuel. Propose test fuel specifications that take into account the engine
design and the properties of commercially available fuels. Describe
these test fuel specifications in the application for certification.
(d) Adjust measured emissions to account for aftertreatment
technology with infrequent regeneration as described in Sec. 1042.525.
(e) Duty-cycle testing is limited to atmospheric pressures between
91.000 and 103.325 kPa.
(f) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(g) For Category 3 engines, instead of test data collected as
specified in 40 CFR part 1065, you may submit test data for
NOX, HC, and CO emissions that were collected as specified in
the NOX Technical Code (incorporated by reference in Sec.
1042.910). For example, this allowance includes the allowance to perform
the testing using test fuels allowed under the NOX Technical
Code that do not meet the sulfur specifications of this section. We may
require you to include a brief engineering analysis showing how these
data demonstrate that your engines would meet the applicable emission
standards if you had used the test procedures specified in 40 CFR part
1065.

[[Page 502]]

(h) 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.

[73 FR 37243, June 30, 2008, as amended at 74 FR 56509, Oct. 30, 2009;
75 FR 23005, Apr. 30, 2010; 81 FR 74149, Oct. 25, 2016]

Sec. 1042.505 Testing engines using discrete-mode or ramped-modal
duty cycles.

This section describes how to test engines under steady-state
conditions. In some cases, we allow you to choose the appropriate
steady-state duty cycle for an engine; you may also choose between
discrete-mode and ramped-modal testing. In all cases, you must use the
duty cycle you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will use the duty cycles
you select for your own testing. If you submit certification test data
using more than one duty cycle, any of the selected duty cycles may be
used for any subsequent testing. We may also perform other testing as
allowed by the Clean Air Act.
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles as described in 40 CFR Part 1065.
(b) Measure emissions by testing the engine on a dynamometer with
the following duty cycles (as specified) to determine whether it meets
the emission standards in Sec. 1042.101 or Sec. 1042.104:
(1) General cycle. Use the 4-mode duty cycle or the corresponding
ramped-modal cycle described in paragraph (a) of Appendix II of this
part for commercial propulsion marine engines that are used with (or
intended to be used with) fixed-pitch propellers, propeller-law
auxiliary engines, and any other engines for which the other duty cycles
of this section do not apply. Use this duty cycle also for commercial
variable-speed propulsion marine engines that are used with (or intended
to be used with) controllable-pitch propellers or with electrically
coupled propellers, unless these engines are not intended for sustained
operation (e.g., for at least 30 minutes) at all four modes when
installed in the vessel.
(2) Duty cycle for engines with high power density. Except as
specified in paragraph (b)(3) of this section, use the 5-mode duty cycle
or the corresponding ramped-modal cycle described in paragraph (b) of
Appendix II of this part for light-commercial engines and recreational
marine engines with maximum engine power at or above 37 kW. You may also
use this duty cycle for other commercial engines instead of the duty
cycle specified in paragraph (b)(1) of this section if the power density
for every configuration in an engine family is above 30.0 kW/liter.
(3) Controllable-pitch and electrically coupled propellers. Use the
4-mode duty cycle or the corresponding ramped-modal cycle described in
paragraph (c) of Appendix II of this part for constant-speed propulsion
marine engines that are used with (or intended to be used with)
controllable-pitch propellers or with electrically coupled propellers.
Use this duty cycle also for variable-speed propulsion marine engines
that are used with (or intended to be used with) controllable-pitch
propellers or with electrically coupled propellers if the duty cycles in
paragraph (b)(1) and (b)(2) of this section do not apply.
(4) Constant-speed auxiliary engines. Use the 5-mode duty cycle or
the corresponding ramped-modal cycle described in 40 CFR Part 1039,
Appendix II, paragraph (a) for constant-speed auxiliary engines.
(5) Variable-speed auxiliary engines. (i) Use the duty cycle
specified in paragraph (b)(1) of this section for propeller-law
auxiliary engines.
(ii) Use the 6-mode duty cycle or the corresponding ramped-modal
cycle described in 40 CFR Part 1039, Appendix II, paragraph (b) for
variable-speed auxiliary engines with maximum engine power below 19 kW
that are not propeller-law engines.
(iii) Use the 8-mode duty cycle or the corresponding ramped-modal
cycle described in 40 CFR part 1039, Appendix II, paragraph (c) for
variable-speed auxiliary engines with maximum engine power at or above
19 kW that are not propeller-law engines.
(c) For constant-speed engines whose design prevents full-load
operation for

[[Page 503]]

extended periods, you may ask for approval under 40 CFR 1065.10(c) to
replace full-load operation with the maximum load for which the engine
is designed to operate for extended periods.

[79 FR 23751, Apr. 28, 2014, as amended at 81 FR 74149, Oct. 25, 2016;
85 FR 62232, Oct. 2, 2020]

Sec. 1042.515 Test procedures related to not-to-exceed standards.

(a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec. 1042.101(c).
These procedures may include any normal engine operation and ambient
conditions that the engines may experience in use. Paragraphs (c)
through (e) of this section define the limits of what we will consider
normal engine operation and ambient conditions.
(b) Measure emissions with one of the following procedures:
(1) Remove the selected engines for testing in a laboratory. You may
use an engine dynamometer to simulate normal operation, as described in
this section. Use the equipment and procedures specified in 40 CFR part
1065 to conduct laboratory testing.
(2) Test the selected engines while they remain installed in a
vessel. Use the equipment and procedures specified in 40 CFR part 1065
subpart J, to conduct field testing. Use fuel meeting the specifications
of 40 CFR part 1065, subpart H, or a fuel typical of what you would
expect the engine to use in service.
(c) Engine testing may occur under the following ranges of ambient
conditions without correcting measured emission levels:
(1) Atmospheric pressure must be between 96.000 and 103.325 kPa,
except that manufacturers may test at lower atmospheric pressures if
their test facility is located at an altitude that makes it impractical
to stay within this range. This pressure range is intended to allow
testing under most weather conditions at all altitudes up to 1,100 feet
above sea level.
(2) Ambient air temperature must be between 13 and 35 [deg]C (or
between 13 [deg]C and 30 [deg]C for engines not drawing intake air
directly from a space that could be heated by the engine).
(3) Ambient water temperature must be between 5 and 27 [deg]C.
(4) Ambient humidity must be between 7.1 and 10.7 grams of moisture
per kilogram of dry air.
(d) Engine testing may occur at any conditions expected during
normal operation but that are outside the conditions described in
paragraph (b) of this section, as long as measured values are corrected
to be equivalent to the nearest end of the specified range, using good
engineering judgment. Correct NOX emissions for humidity as
specified in 40 CFR part 1065, subpart G.
(e) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would include only
engine operation after starting and after the engine thermostat starts
modulating the engine's coolant temperature. The sampling period may not
include engine starting.
(f) Apply the NTE standards specified in Sec. 1042.101(c) to an
engine family based on the zones and subzones corresponding to specific
duty cycles and engine types as defined in Appendix III of this part.
For an engine family certified to multiple duty cycles, the broadest
applicable NTE zone applies for that family at the time of
certification. Whenever an engine family is certified to multiple duty
cycles and a specific engine from that family is tested for NTE
compliance in use, determine the applicable NTE zone for that engine
according to its in-use application. An engine family's NTE zone may be
modified as follows:
(1) You may ask us to approve a narrower NTE zone for an engine
family at the time of certification, based on information such as how
that engine family is expected to normally operate in use. For example,
if an engine family is always coupled to a pump or jet drive, the engine
might be able to operate only within a narrow range of engine speed and
power.
(2) You may ask us to approve a Limited Testing Region (LTR). An LTR
is a region of engine operation, within the applicable NTE zone, where
you have demonstrated that your engine family operates for no more than
5.0 percent of its normal in-use operation, on a time-weighted basis.
You must

[[Page 504]]

specify an LTR using boundaries based on engine speed and power (or
torque), where the LTR boundaries must coincide with some portion of the
boundary defining the overall NTE zone. Any emission data collected
within an LTR for a time duration that exceeds 5.0 percent of the
duration of its respective NTE sampling period will be excluded when
determining compliance with the applicable NTE standards. Any emission
data collected within an LTR for a time duration of 5.0 percent or less
of the duration of the respective NTE sampling period will be included
when determining compliance with the NTE standards.
(3) You must notify us if you design your engines for normal in-use
operation outside the applicable NTE zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may
specify a broader NTE zone, as long as the modified zone is limited to
normal in-use operation for speeds greater than 70 percent of maximum
test speed and loads greater than 30 percent of maximum power at maximum
test speed (or 30 percent of maximum test torque for constant-speed
engines).
(4) You may exclude emission data based on catalytic aftertreatment
temperatures as follows:
(i) For an engine equipped with a catalytic NOX
aftertreatment system, exclude NOX emission data that is
collected when the exhaust temperature at any time during the NTE event
is less than 250 [deg]C.
(ii) For an engine equipped with an oxidizing catalytic
aftertreatment system, exclude HC and CO emission data that is collected
when the exhaust temperature at any time during the NTE event is less
than 250 [deg]C. Similarly, exclude PM emission data during operation
involving exhaust temperature below 250 [deg]C for an engine equipped
with an oxidizing flow-through catalyst.
(iii) Measure exhaust temperature within 30 cm downstream of the
last applicable catalytic aftertreatment device. Where there are
parallel paths, use good engineering judgment to measure the temperature
within 30 cm downstream of the last applicable catalytic aftertreatment
device in the path with the greatest exhaust flow.
(g) Emission sampling is not valid for NTE testing if it includes
any active regeneration, unless the emission averaging period includes
the complete regeneration event(s) and the full period of engine
operation until the start of the next regeneration event. This provision
applies only for engines that send an electronic signal indicating the
start of the regeneration event.

[73 FR 37243, June 30, 2008, as amended at 81 FR 74149, Oct. 25, 2016]

Sec. 1042.520 What testing must I perform to establish deterioration
factors?

Sections 1042.240 and 1042.245 describe the required methods for
testing to establish deterioration factors for an engine family.

Sec. 1042.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?

For engines 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,
or use an alternate methodology that we approve for Category 3 engines:
(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 in 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. 1042.235,
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

[[Page 505]]

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 certification
for which it applies.
(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
engines must meet emission standards for all testing, without regard to
regeneration.

[81 FR 74150, Oct. 25, 2016]

Subpart G_Special Compliance Provisions

Sec. 1042.601 General compliance provisions for marine engines and
vessels.

Engine and vessel manufacturers, as well as owners, operators, and
rebuilders of engines and vessels 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 compression-ignition marine engines as specified in that part,
subject to the following provisions:
(a) The following prohibitions apply with respect to recreational
marine engines and recreational vessels:
(1) Installing a recreational marine engine in a vessel that is not
a recreational vessel is a violation of 40 CFR 1068.101(a)(1).
(2) For a vessel with an engine that is certified and labeled as a
recreational marine engine, using it in a manner inconsistent with its
intended use as a recreational vessel violates 40 CFR 1068.101(a)(1),
except as allowed by this chapter.
(b) Subpart I of this part describes how the prohibitions of 40 CFR
1068.101(a)(1) apply for certain remanufactured engines. The provisions
of 40 CFR 1068.105 do not allow the installation of a new remanufactured
engine in a vessel that is defined as a new vessel unless the
remanufactured engine is subject to the same standards as the standards
applicable to freshly manufactured engines of the required model year.
(c) The provisions of 40 CFR 1068.120 apply when rebuilding marine
engines, except as specified in subpart I of this part. The following
additional requirements also apply when rebuilding marine engines
equipped with exhaust aftertreatment:
(1) Follow all instructions from the engine manufacturer and
aftertreatment manufacturer for checking, repairing, and replacing
aftertreatment components. For example, you must replace the catalyst if
the catalyst assembly is stamped with a build date more than ten years
ago and the manufacturer's instructions state that catalysts over ten
years old must be replaced when the engine is rebuilt.
(2) Measure pressure drop across the catalyst assembly to ensure
that it is neither higher nor lower than the manufacturer's
specifications and repair or replace exhaust-system components as needed
to bring the pressure drop within the manufacturer's specifications.
(3) For engines equipped with exhaust sensors, verify that sensor
outputs are within the manufacturer's recommended range and repair or
replace any malfunctioning components (sensors, catalysts, or other
components).
(d) The provisions of Sec. 1042.635 for the national security
exemption apply in addition to the provisions of 40 CFR 1068.225.
(e) For replacement engines, apply the provisions of 40 CFR 1068.240
as described in Sec. 1042.615.
(f) For the purpose of meeting the defect-reporting requirements in
40 CFR 1068.501, if you manufacture other nonroad engines that are
substantially

[[Page 506]]

similar to your marine engines, you may consider defects using combined
marine and non-marine families.
(g) The selective enforcement audit provisions of 40 CFR part 1068
do not apply for Category 3 engines.
(h) The defect reporting requirements of 40 CFR 1068.501 apply for
Category 3 engines, except the threshold for filing a defect report is
two engines.
(i) You may not circumvent the requirements of this part or the
Clean Air Act by manufacturing a vessel outside the United States or
initially flagging a vessel in another country. The definition of ``new
marine engine'' in Sec. 1042.901 includes provisions for U.S.-flagged
vessels that are manufactured or reflagged outside of U.S. waters. These
provisions have the effect of applying the prohibitions of 40 CFR
1068.101(a)(1) to such vessels no later than when they first enter U.S.
waters. The inclusion of these provisions does not affect requirements
or prohibitions of the Clean Air Act or other statutes that may apply to
the vessel before it first enters U.S. waters.
(j) 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.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75
FR 23005, Apr. 30, 2010; 81 FR 74150, Oct. 25, 2016]

Sec. 1042.605 Dressing engines already certified to other standards for
nonroad or heavy-duty highway engines for marine use.

(a) General provisions. If you are an engine manufacturer (including
someone who marinizes a land-based engine), this section allows you to
introduce new marine engines into U.S. commerce if they are already
certified to the requirements that apply to compression-ignition engines
under 40 CFR parts 85 and 86 or 40 CFR part 1033 or 1039 for the
appropriate model year. If you comply with all the provisions of this
section, we consider the certificate issued under 40 CFR part 86, 1033,
or 1039 for each engine to also be a valid certificate of conformity
under this part for its model year, without a separate application for
certification under the requirements of this part. This section does not
apply for Category 3 engines.
(b) Vessel-manufacturer provisions. If you are not an engine
manufacturer, you may install an engine certified for the appropriate
model year under 40 CFR part 86, 1033, or 1039 in a marine vessel as
long as you do not make any of the changes described in paragraph (d)(3)
of this section and you meet the requirements of paragraph (e) of this
section. If you modify the non-marine engine in any of the ways
described in paragraph (d)(3) of this section, we will consider you a
manufacturer of a new marine engine. Such engine modifications prevent
you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted under
this section must meet all the applicable requirements from 40 CFR parts
85 and 86 or 40 CFR part 1033 or 1039. This paragraph (c) applies to
engine manufacturers, vessel manufacturers that use such an engine, and
all other persons as if the engine were

[[Page 507]]

used in its originally intended application. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new engines and vessels; however, we
consider the certificate issued under 40 CFR part 86, 1033, or 1039 for
each engine to also be a valid certificate of conformity under this part
for its model year. If we make a determination that these engines do not
conform to the regulations in this chapter during their useful life, we
may require you to recall them under 40 CFR part 85 or 1068.
(d) Specific criteria and requirements. If you are an engine
manufacturer and meet all the following criteria and requirements
regarding your new marine engine, the engine is eligible for an
exemption under this section:
(1) You must produce it by marinizing an engine covered by a valid
certificate of conformity from one of the following programs:
(i) Heavy-duty highway engines (40 CFR part 86).
(ii) Land-based compression-ignition nonroad engines (40 CFR part
1039).
(iii) Locomotives (40 CFR part 92 or 1033). To be eligible for
dressing under this section, the engine must be from a locomotive
certified to standards that are at least as stringent as either the
standards applicable to new marine engines or freshly manufactured
locomotives in the model year that the engine is being dressed.
(2) The engine must have the label required under 40 CFR part 86,
1033, or 1039.
(3) You must not make any changes to the certified engine that could
reasonably be expected to increase its emissions. For example, if you
make any of the following changes to one of these engines, you do not
qualify for the engine dressing exemption:
(i) Change any fuel system parameters from the certified
configuration, or change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(ii) Replacing an original turbocharger, except that small-volume
engine manufacturers may replace an original turbocharger on a
recreational engine with one that matches the performance of the
original turbocharger.
(iii) Modify or design the marine engine cooling or aftercooling
system so that temperatures or heat rejection rates are outside the
original engine manufacturer's specified ranges.
(4) You must show that fewer than 10 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application, without regard to which
company manufactures the vessel or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must confirm this based on your best
estimate of the original manufacturer's sales information.
(e) Labeling and documentation. If you are an engine manufacturer or
vessel manufacturer using this exemption, you must do all of the
following:
(1) Make sure the original engine label will remain clearly visible
after installation in the vessel.
(2) Add a permanent supplemental label to the engine in a position
where it will remain clearly visible after installation in the vessel.
In your engine label, do the following:
(i) Include the heading: ``Marine Engine Emission Control
Information''.
(ii) Include your full corporate name and trademark.
(iii) State: ``This engine was marinized without affecting its
emission controls.''.
(iv) State the date you finished marinizing the engine (month and
year).
(3) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we tell
you), send the Designated Compliance Officer a signed letter with all
the following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine models for which you used this exemption in the
previous year and describe your basis for

[[Page 508]]

meeting the sales restrictions of paragraph (d)(4) of this section.
(iii) State: ``We prepared each listed engine model for marine
application without making any changes that could increase its certified
emission levels, as described in 40 CFR 1042.605.''
(f) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part and the
certificate issued under 40 CFR part 86, 1033, or 1039 will not be
deemed to also be a certificate issued under this part. Introducing
these engines into U.S. commerce as marine engines without a valid
exemption or certificate of conformity under this part violates the
prohibitions in 40 CFR 1068.101(a)(1).
(g) Data submission. (1) If you are both the original manufacturer
and marinizer of an exempted engine, you must send us emission test data
on the appropriate marine duty cycles. You can include the data in your
application for certification or in the letter described in paragraph
(e)(3) of this section.
(2) If you are the original manufacturer of an exempted engine that
is marinized by a post-manufacture marinizer, you may be required to
send us emission test data on the appropriate marine duty cycles. If
such data are requested you will be allowed a reasonable amount of time
to collect the data.
(h) Participation in averaging, banking and trading. Engines adapted
for marine use under this section may not generate or use emission
credits under this part. These engines may generate credits under the
ABT provisions in 40 CFR part 86, 1033, or 1039, as applicable. These
engines must use emission credits under 40 CFR part 86, 1033, or 1039 as
applicable if they are certified to an FEL that exceeds an emission
standard.
(i) Operator requirements. The requirements specified for vessel
manufacturers, owners, and operators in this subpart (including
requirements in 40 CFR part 1068) apply to these engines whether they
are certified under this part 1042 or another part as allowed by this
section.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23005, Apr. 30, 2010;
81 FR 74150, Oct. 25, 2016; 86 FR 34510, June 29, 2021]

Sec. 1042.610 Certifying auxiliary marine engines to land-based
standards.

This section applies to auxiliary marine engines that are identical
to certified land-based engines. See Sec. 1042.605 for provisions that
apply to propulsion marine engines or auxiliary marine engines that are
modified for marine applications. This section does not apply for
Category 3 engines.
(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new marine engines into U.S. commerce if
they are already certified to the requirements that apply to
compression-ignition engines under 40 CFR part 1039 for the appropriate
model year. If you comply with all the provisions of this section, we
consider the certificate issued under 40 CFR part 1039 for each engine
to also be a valid certificate of conformity under this part for its
model year, without a separate application for certification under the
requirements of this part.
(b) Vessel-manufacturer provisions. If you are not an engine
manufacturer, you may install an engine certified for land-based
applications in a marine vessel as long as you meet all the qualifying
criteria and requirements specified in paragraphs (d) and (e) of this
section. If you modify the non-marine engine, we will consider you a
manufacturer of a new marine engine. Such engine modifications prevent
you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted under
this section must meet all the applicable requirements from 40 CFR part
1039. This paragraph (c) applies to engine manufacturers, vessel
manufacturers that use such an engine, and all other persons as if the
engine were used in its originally intended application. The prohibited
acts of 40 CFR 1068.101(a)(1) apply to these new

[[Page 509]]

engines and vessels; however, we consider the certificate issued under
40 CFR part 1039 for each engine to also be a valid certificate of
conformity under this part for its model year. If we make a
determination that these engines do not conform to the regulations in
this chapter during their useful life, we may require you to recall them
under 40 CFR part 1068.
(d) Qualifying criteria. If you are an engine manufacturer and meet
all the following criteria and requirements regarding your new marine
engine, the engine is eligible for an exemption under this section:
(1) The marine engine must be identical in all material respects to
a land-based engine covered by a valid certificate of conformity for the
appropriate model year showing that it meets emission standards for
engines of that power rating under 40 CFR part 1039.
(2) The engines may not be used as propulsion marine engines.
(3) You must show that the number of auxiliary marine engines from
the engine family must be smaller than the number of land-based engines
from the engine family sold in the United States, as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(e) Specific requirements. If you are an engine manufacturer or
vessel manufacturer using this exemption, you must do all of the
following:
(1) Make sure the original engine label will remain clearly visible
after installation in the vessel. This label or a supplemental label
must identify that the original certification is valid for auxiliary
marine applications.
(2) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we tell
you), send the Designated Compliance Officer a signed letter with all
the following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine models for which you used this exemption in the
previous year and describe your basis for meeting the sales restrictions
of paragraph (d)(3) of this section.
(iii) State: ``We prepared each listed engine model for marine
application without making any changes that could increase its certified
emission levels, as described in 40 CFR 1042.610.''
(3) If you are the certificate holder, you must describe in your
application for certification how you plan to produce engines for both
land-based and auxiliary marine applications, including projected sales
of auxiliary marine engines to the extent this can be determined. If the
projected marine sales are substantial, we may ask for the year-end
report of production volumes to include actual auxiliary marine engine
sales.
(f) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part and the
certificate issued under 40 CFR part 1039 will not be deemed to also be
a certificate issued under this part. Introducing these engines into
U.S. commerce as marine engines without a valid exemption or certificate
of conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(g) Participation in averaging, banking, and trading. Engines using
the exemption in this section may not generate or use emission credits
under this part. These engines may generate credits under the ABT
provisions in 40 CFR part 1039, as applicable. These engines must use
emission credits under 40 CFR part 1039 as applicable if they are
certified to an FEL that exceeds an emission standard.
(h) Operator requirements. The requirements specified for vessel
manufacturers, owners, and operators in this subpart (including
requirements in 40 CFR part 1068) apply to these engines whether they
are certified under this part 1042 or another part as allowed by this
section.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010;
81 FR 74150, Oct. 25, 2016; 86 FR 34511, June 29, 2021]

[[Page 510]]

Sec. 1042.615 Replacement engine exemption.

For Category 1 and Category 2 replacement engines, the provisions of
40 CFR 1068.240 apply except as described in this section. In unusual
circumstances, you may ask us to allow you to apply these provisions for
a new Category 3 engine.
(a) This paragraph (a) applies instead of the provisions of 40 CFR
1068.240(b)(2) for installing new marine engines in vessels that are not
``new vessels''. The prohibitions in 40 CFR 1068.101(a)(1) do not apply
to a new replacement engine if all the following conditions are met:
(1) You use good engineering judgment to determine that no engine
certified to the current requirements of this part is produced by any
manufacturer with the appropriate physical or performance
characteristics to repower the vessel. We have determined that Tier 4
engines with aftertreatment technology do not have the appropriate
physical or performance characteristics to replace uncertified engines
or engines certified to emission standards that are less stringent than
the Tier 4 standards.
(2) You make a record of your determination for each replacement
engine with the following information and keep these records for eight
years:
(i) If you determine that no engine certified to the current
requirements of this part is available with the appropriate performance
characteristics, explain why certified engines produced by you and other
manufacturers cannot be used as a replacement because they are not
similar to the engine being replaced in terms of power or speed.
(ii) You may determine that all engines certified to the current
requirements of this part that have appropriate performance
characteristics are not available because they do not have the
appropriate physical characteristics. If this is the case, explain why
these certified engines produced by you and other manufacturers cannot
be used as a replacement because their weight or dimensions are
substantially different than those of the engine being replaced, or
because they will not fit within the vessel's engine compartment or
engine room.
(iii) In evaluating appropriate physical or performance
characteristics, you may account for compatibility with vessel
components you would not otherwise replace when installing a new engine,
including transmissions or reduction gears, drive shafts or propeller
shafts, propellers, cooling systems, operator controls, or electrical
systems for generators or indirect-drive configurations. If you make
your determination on this basis, you must identify the vessel
components that are incompatible with engines certified to current
standards and explain how they are incompatible and why it would be
unreasonable to replace them.
(iv) In evaluating appropriate physical or performance
characteristics, you may account for compatibility in a set of two or
more propulsion engines on a vessel where only one of the engines needs
replacement, but only if each engine not needing replacement has
operated for less than 75 percent of its applicable useful life in hours
or years (see Sec. 1042.101). If any engine not otherwise needing
replacement exceeds this 75 percent threshold, your determination must
consider replacement of all the propulsion engines.
(v) In addition to the determination specified in paragraph (a)(1)
of this section, you must make a separate determination for your own
product line addressing every tier of emission standards that is more
stringent than the emission standards for the engine being replaced. For
example, if the engine being replaced was built before the Tier 1
standards started to apply and engines of that size are currently
subject to Tier 3 standards, you must consider whether any Tier 1 or
Tier 2 engines that you produce have the appropriate physical and
performance characteristics for replacing the old engine; if you can
produce a Tier 2 engine with the appropriate physical and performance
characteristics, you must use it as the replacement engine.
(3) Send us a report by September 30 of each year describing your
engine shipments under this section from the preceding calendar year.
Your report must include all the following things and be signed by an
authorized representative of your company:

[[Page 511]]

(i) Identify the number of Category 1 and Category 2 exempt
replacement engines that meet Tier 1, Tier 2, or Tier 3 standards, or
that meet no EPA standards. Count engines separately for each tier of
standards. Identify the number of those engines that have been shipped
(directly or indirectly) to a vessel owner. This includes engines
shipped to anyone intending to install engines on behalf of a specific
engine owner. Also include commercial Tier 3 engines with maximum engine
power at or above 600 kW even if they have not been shipped to or
designated for a specific vessel owner in the specified time frame.
(ii) Describe how you made the determinations described in paragraph
(a)(1) of this section for each Category 1 and Category 2 exempt
replacement engine for each vessel during the preceding year. For Tier 3
replacement engines at or above 600 kW, describe why any engines
certified to Tier 4 standards without aftertreatment are not suitable.
(iii) Identify the number of Category 3 exempt replacement engines.
We may require you to describe how you made the determinations described
in paragraph (a)(1) of this section for each engine.
(iv) Include the following statement:

I certify that the statements and information in the enclosed
document are true, accurate, and complete to the best of my knowledge. I
am aware that there are significant civil and criminal penalties for
submitting false statements and information, or omitting required
statements and information.

(4) The replacement engine must conform to the applicable
requirements of 40 CFR part 1043. Note that 40 CFR 1043.10 specifies
allowances for vessels that operate only domestically.
(b) The 40-year limit specified in 40 CFR 1068.240(a) does not apply
for engines subject to this part 1042. You may accordingly omit the
statement on the permanent labels specified in 40 CFR 1068.240
describing this limitation.
(c) Modifying a vessel to significantly increase its value within
six months after installing a replacement engine produced under this
section is a violation of 40 CFR 1068.101(a)(1).
(d) We may void an exemption for an engine if we determine that any
of the conditions described in paragraph (a) of this section are not
met.
(e) We may reduce the reporting and recordkeeping requirements in
this section.
(f) The provisions of 40 CFR 1068.240(c) allow you to ship a limited
number of exempt replacement engines to vessel owners or distributors
without making the determinations described in paragraph (a) of this
section. Note that such engines do not count toward the production
limits of 40 CFR 1068.240(c) if you meet all the requirements of this
section by the due date for the annual report. You may count Tier 3
commercial marine replacement engines at or above 600 kW as tracked
engines under 40 CFR 1068.240(b) even if they have not been shipped to
or designated for a specific vessel owner in the specified time frame.
(g) In unusual circumstances, you may ask us to allow you to apply
the replacement engine exemption of this section for repowering a vessel
that becomes a ``new vessel'' under Sec. 1042.901 as a result of
modifications, as follows:
(1) You must demonstrate that no manufacturer produces an engine
certified to Tier 4 standards with the appropriate physical or
performance characteristics to repower the vessel. We will consider
concerns about the size of the replacement engine and its compatibility
with vessel components relative to the overall scope of the project.
(2) Exempt replacement engines under this paragraph (g) must meet
the Tier 3 standards specified in Sec. 1042.101 (or the Tier 2
standards if there are no Tier 3 standards).
(3) We will not approve a request for an exemption from the Tier 3
standards for any engines.
(4) You may not use the exemption provisions for untracked
replacement engines under 40 CFR 1068.240(c) for repowering a vessel
that becomes a ``new vessel'' under Sec. 1042.901 as a result of
modifications.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75
FR 23006, Apr. 30, 2010; 79 FR 7084, Feb. 6, 2014; 86 FR 34511, June 29,
2021]

[[Page 512]]

Sec. 1042.620 Engines used solely for competition.

The provisions of this section apply for new Category 1 engines and
vessels built on or after January 1, 2009.
(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely for
competition. The basis of our determination is described in paragraphs
(c) and (d) of this section. Exemptions granted under this section are
good for only one model year and you must request renewal for each
subsequent model year. We will not approve your renewal request if we
determine the engine will not be used solely for competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
(1) Neither the engine nor any vessels containing the engine may be
displayed for sale in any public dealership or otherwise offered for
sale to the general public. Note that this does not preclude display of
these engines as long as they are not available for sale to the general
public.
(2) Sale of the vessel in which the engine is installed must be
limited to professional racing teams, professional racers, or other
qualified racers. For replacement engines, the sale of the engine itself
must be limited to professional racing teams, professional racers, other
qualified racers, or to the original vessel manufacturer.
(3) The engine and the vessel in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you have
clear and convincing evidence that the engines will be used solely for
competition.
(e) Engines are considered to be used solely for competition only if
their use is limited to competition events sanctioned by the U.S. Coast
Guard or another public organization with authorizing permits for
participating competitors. Operation of such engines may include only
racing events, trials to qualify for racing events, and practice
associated with racing events. Authorized attempts to set speed records
are also considered racing events. Engines will not be considered to be
used solely for competition if they are ever used for any recreational
or other noncompetitive purpose. Use of exempt engines in any
recreational events, such as poker runs and lobsterboat races, is a
violation of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need to
determine whether the engines are used solely for competition. This
would include documentation regarding the number of engines and the
ultimate purchaser of each engine as well as any documentation showing a
vessel manufacturer's request for an exempted engine. Keep these records
for five years.

[75 FR 23006, Apr. 30, 2010]

Sec. 1042.625 Special provisions for engines used in emergency
applications.

This section describes an exemption that is available for certain
Category 1 and Category 2 engines. This exemption is not available for
Category 3 engines.
(a) Except as specified in paragraph (d) of this section, the
prohibitions in Sec. 1068.101(a)(1) do not apply to a new engine that
is subject to Tier 4 standards if the following conditions are met:
(1) The engine is intended for installation in one of the following
vessels or applications:
(i) A lifeboat approved by the U.S. Coast Guard under approval
series 160.135 (see for example 46 CFR 199.201(a)(1)), as long as such a
vessel is not also used as a launch or tender.

[[Page 513]]

(ii) A rescue boat approved by the U.S. Coast Guard under approval
series 160.156 (see for example 46 CFR 199.202(a)).
(iii) Generator sets or other auxiliary equipment that qualify as
final emergency power sources under 46 CFR part 112.
(2) The engine meets the Tier 3 emission standards specified in
Sec. 1042.101 as specified in 40 CFR 1068.265.
(3) The engine is used only for its intended purpose, as specified
on the emission control information label.
(b) Except as specified in paragraph (d) of this section, the
prohibitions in Sec. 1068.101(a)(1) do not apply to a new engine that
is subject to Tier 3 standards according to the following provisions:
(1) The engine must be intended for installation in a lifeboat or a
rescue boat as specified in paragraph (a)(1)(i) or (ii) of this section.
(2) This exemption is available from the initial effective date for
the Tier 3 standards until the engine model (or one of comparable size,
weight, and performance) has been certified as complying with the Tier 3
standards and Coast Guard requirements.
(3) The engine must meet the Tier 2 emission standards specified in
Appendix I of this part as specified in 40 CFR 1068.265.
(c) If you introduce an engine into U.S. commerce under this
section, you must meet the labeling requirements in Sec. 1042.135, but
add one of the following statements instead of the compliance statement
in Sec. 1042.135(c)(10):
(1) For lifeboats and rescue boats, add the following statement:

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN LIFEBOATS OR RESCUE BOATS
(COAST GUARD APPROVAL SERIES 160.135 OR 160.156). INSTALLATION OR USE OF
THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW
SUBJECT TO CIVIL PENALTY.

(2) For engines serving as final emergency power sources, add the
following statement:

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN EMERGENCY EQUIPMENT
REGULATED BY 46 CFR 112. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(d) Introducing into commerce a vessel containing an engine exempted
under this section violates the prohibitions in 40 CFR 1068.101(a)(1)
where the vessel is not covered by paragraph (a) or (b) of this section,
unless it is exempt under a different provision. Similarly, using such
an engine or vessel as something other than a lifeboat, rescue boat, or
emergency engine as specified in paragraph (a)(1) of this section
violates the prohibitions in 40 CFR 1068.101(a)(1), unless it is exempt
under a different provision.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010]

Sec. 1042.630 Personal-use exemption.

This section applies to individuals who manufacture vessels for
personal use with used Category 1 engines. If you and your vessel meet
all the conditions of this section, the vessel and its engine are
considered to be exempt from the standards and requirements of this part
that apply to new engines and new vessels. The prohibitions in Sec.
1068.101(a)(1) do not apply to engines exempted under this section. For
example, you may install an engine that was not certified as a marine
engine.
(a) The vessel may not be manufactured from a previously certified
vessel, nor may it be manufactured from a partially complete vessel that
is equivalent to a certified vessel. The vessel must be manufactured
primarily from unassembled components, but may incorporate some
preassembled components. For example, fully preassembled steering
assemblies may be used. You may also power the vessel with an engine
that was previously used in a highway or land-based nonroad application.
(b) The vessel may not be sold within five years after the date of
final assembly.
(c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
(d) You may not use the vessel in any revenue-generating service or
for any other commercial purpose, except that

[[Page 514]]

you may use a vessel exempt under this section for commercial fishing
that you personally do.
(e) This exemption may not be used to circumvent the requirements of
this part or the requirements of the Clean Air Act. For example, this
exemption would not cover a case in which a person sells an almost
completely assembled vessel to another person, who would then complete
the assembly. This would be considered equivalent to the sale of the
complete new vessel. This section also does not allow engine
manufacturers to produce new engines that are exempt from emission
standards and it does not provide an exemption from the prohibition
against tampering with certified engines.
(f) The vessel must be a vessel that is not classed or subject to
Coast Guard inspections or surveys. Note that dockside examinations
performed by the Coast Guard are not considered inspections (see 46
U.S.C. 3301 and 46 U.S.C. 4502).

[73 FR 37243, June 30, 2008, as amended at 75 FR 23006, Apr. 30, 2010;
81 FR 74151, Oct. 25, 2016]

Sec. 1042.635 National security exemption.

Engines qualify for a national security exemption as described in 40
CFR 1068.225. This applies to both freshly manufactured and
remanufactured engines.

[81 FR 74151, Oct. 25, 2016]

Sec. 1042.650 Exemptions for migratory vessels and auxiliary engines
on Category 3 vessels.

The provisions of paragraphs (a) through (c) of this section apply
for Category 1 and Category 2 engines, including auxiliary engines
installed on vessels with Category 3 propulsion engines. Paragraphs (a)
through (c) do not apply for any Category 3 engines. All engines
exempted under this section must comply with the applicable requirements
of 40 CFR part 1043.
(a) Temporary exemption. A vessel owner may ask us for a temporary
exemption from the tampering prohibition in 40 CFR 1068.101(b)(1) for a
vessel if it will operate for an extended period outside the United
States where ULSD is not available. In your request, describe where the
vessel will operate, how long it will operate there, why ULSD will be
unavailable, and how you will modify the engine, including its emission
controls. If we approve your request, you may modify the engine, but
only as needed to disable or remove the emission controls needed for
meeting the Tier 4 standards. You must return the engine to its original
certified configuration before the vessel returns to the United States
to avoid violating the tampering prohibition in 40 CFR 1068.101(b)(1).
We may set additional conditions to prevent circumvention of the
provisions of this part.
(b) SOLAS exemption. We may approve a permanent exemption from the
prohibitions in 40 CFR 1068.101(a)(1) for an engine that is subject to
Tier 4 standards as described in this paragraph (b).
(1) Vessel owners may ask for a permanent exemption from the Tier 4
standards for an engine that will be installed on vessels that will
operate for extended periods outside the United States, provided they
demonstrate all of the following are true:
(i) Prior to introduction into service, the vessel will comply with
applicable certification requirements for international safety pursuant
to the U.S. Coast Guard and the International Convention for the
Protection of Life at Sea (SOLAS). The vessel owner must maintain
compliance with these requirements for the life of the exempted engine.
(ii) The vessel will be used in areas outside of the United States
where ULSD will not be available.
(iii) The mix of vessels with engines certified to Tier 3 or earlier
standards in the owner's current fleet and the owner's current business
operation of those vessels makes the exemption necessary. Note that
because of the large fraction of pre-Tier 4 engines in the fleet prior
to 2021, a request for a Tier 4 exemption prior to that year must
clearly demonstrate that unusual circumstances apply.
(2) An engine exempted under this paragraph (b) must meet the Tier 3
emission standards described in Sec. 1402.101, subject to the
procedural requirements of 40 CFR 1068.265.
(3) If you introduce an engine into U.S. commerce under this
section, you

[[Page 515]]

must meet the labeling requirements in Sec. 1042.135, but add the
following statement instead of the compliance statement in Sec.
1042.135(c)(10):

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN SOLAS VESSELS.
INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(4) Operating a vessel containing an engine exempted under this
paragraph (b) violates the prohibitions in 40 CFR 1068.101(a)(1) if the
vessel is not in full compliance with applicable requirements for
international safety specified in paragraph (b)(1)(i) of this section.
(c) Vessels less than 500 gross tons. In unusual circumstances for
vessels less than 500 gross tons, we may approve a vessel owner's
request for a permanent exemption from the prohibitions in 40 CFR
1068.101(a)(1) for an engine that is subject to Tier 4 standards that
will operate for extended periods outside the United States without it
being in compliance with applicable certification requirements for
international safety. We may set appropriate additional conditions on
such exemptions, and may void the exemption if those conditions are not
met.
(d) Auxiliary engines on Category 3 vessels. Auxiliary engines that
will be installed on vessels with Category 3 propulsion engines qualify
for an exemption from the standards of this part provided all the
following conditions are met:
(1) To be eligible for this exemption, the engine must meet all the
following criteria.
(i) The engine must have an EIAPP certificate demonstrating
compliance with the applicable NOX standards of Annex VI and
meet all other applicable requirements of 40 CFR part 1043. Engines
installed on vessels constructed on or after January 1, 2016 must
conform fully to the Annex VI Tier III NOX standards as
described in 40 CFR part 1043 and meet all other applicable requirements
in 40 CFR part 1043. Engines that would otherwise be subject to the Tier
4 standards of this part must also conform fully to the Annex VITier III
NOX standards as described in 40 CFR part 1043.
(ii) The engine may not be used for propulsion (except for emergency
engines).
(iii) Engines certified to the Annex VI Tier III standards may be
equipped with on-off NOX controls, as long as they conform to
the requirements of Sec. Sec. 1042.110(d) and 1042.115(g); however, the
engines must comply fully with the Annex VI Tier II standards when the
emission controls are disabled, and meet any other requirements that
apply underAnnex VI.
(2) You must notify the Designated Compliance Officer of your intent
to use this exemption before you introduce engines into U.S. commerce,
not later than the time that you apply for an EIAPP certificate for the
engine under 40 CFR part 1043.
(3) The remanufactured engine requirements of subpart I of this part
do not apply.
(4) If you introduce an engine into U.S. commerce under this
paragraph (d), you must meet the labeling requirements in Sec.
1042.135, but add the following statement instead of the compliance
statement in Sec. 1042.135(c)(10):

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN VESSELS WITH CATEGORY 3
PROPULSION ENGINES. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.

(5) The reporting requirements of Sec. 1042.660 apply for engines
exempted under this paragraph (d).

[73 FR 37243, June 30, 2008, as amended at 75 FR 23007, Apr. 30, 2010;
81 FR 74151, Oct. 25, 2016; 86 FR 34512, June 29, 2021]

Sec. 1042.655 Special certification provisions for Category 3 engines
with aftertreatment.

This section describes an optional approach for demonstrating for
certification that catalyst-equipped engines (or engines equipped with
other aftertreatment devices) comply with applicable emission standards.
You must use good engineering judgment for all aspects of this
allowance.

[[Page 516]]

(a) Eligibility. You may use the provisions of this section without
our prior approval to demonstrate that aftertreatment-equipped Category
3 engines meet the Tier 3 standards. In unusual circumstances, we may
also allow you to use this approach to demonstrate that aftertreatment-
equipped Category 2 engines meet the Tier 4 standards. We will generally
approve this for Category 2 engines only if the engines are too large to
be practically tested in a laboratory with a fully assembled
aftertreatment system. If we approve this approach for a Category 2
engine, interpret references to Tier 3 in this section to mean Tier 4,
and interpret references to Tier 2 in this section to mean Tier 3.
(b) Required testing. The emission-data engine must be tested as
specified in subpart F of this part. Testing engine-out emissions to
simulate operation with disabled Tier 3 emission controls must simulate
backpressure and other parameters as needed to represent in-use
operation with an SCR catalyst. The catalyst material or other
aftertreatment device must be tested under conditions that accurately
represent actual engine conditions for the test points. This catalyst or
aftertreatment testing may be performed on a bench scale.
(c) Engineering analysis. Include with your application a detailed
engineering analysis describing how the test data collected for the
engine and aftertreatment demonstrate that all engines in the family
will meet all applicable emission standards. We may require that you
submit this analysis separately from your application, or that you
obtain preliminary approval under Sec. 1042.210.
(d) Verification. You must verify your design by testing a complete
production engine with installed aftertreatment in the final assembled
configuration. Unless we specify otherwise, do this by complying with
production-line testing requirements of subpart D of this part.
(e) Other requirements. All other requirements of this part,
including the non-testing requirements for certification, apply for
these engines. Nothing in this section affects requirements in other
regulatory parts, such as Coast Guard safety requirements.

[75 FR 23007, Apr. 30, 2010, as amended at 81 FR 74151, Oct. 25, 2016;
86 FR 34512, June 29, 2021]

Sec. 1042.660 Requirements for vessel manufacturers, owners, and
operators.

(a) For vessels equipped with emission controls requiring the use of
specific fuels, lubricants, or other fluids, owners and operators must
comply with the manufacturer/remanufacturer's specifications for such
fluids when operating the vessels. Failure to comply with the
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1).
For marine vessels that are excluded from the requirements of 40 CFR
part 1043 because they operate only domestically, it is also a violation
of 40 CFR 1068.101(b)(1) to operate the vessel using residual fuel on or
after January 1, 2015. Note that 40 CFR part 1090 also includes
provisions that restrict the use of certain fuels by certain marine
engines.
(b) For vessels equipped with SCR systems requiring the use of urea
or other reductants, owners and operators must report to the Designated
Enforcement Officer within 30 days any operation of such vessels without
the appropriate reductant. This includes vessels with auxiliary engines
certified to Annex VI standards under Sec. 1042.650(d). Failure to
comply with the requirements of this paragraph is a violation of 40 CFR
1068.101(a)(2). Note that such operation is a violation of 40 CFR
1068.101(b)(1).
(c) The provisions of this paragraph (c) apply for marine vessels
containing Category 3 engines.
(1) The requirements of this paragraph (c)(1) apply only for
Category 3 engines. All maintenance, repair, adjustment, and alteration
of Category 3 engines subject to the provisions of this part performed
by any owner, operator or other maintenance provider must be performed
using good engineering judgment, in such a manner that the engine
continues (after the maintenance, repair, adjustment or alteration) to
meet the emission standards it was certified as meeting prior to the
need for service. This includes

[[Page 517]]

but is not limited to complying with the maintenance instructions
described in Sec. 1042.125. Adjustments are limited to the range
specified by the engine manufacturer in the approved application for
certification. Note that where a repair (or other maintenance) cannot be
completed while at sea, it is not a violation to continue operating the
engine to reach your destination.
(2) It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel
with the engine adjusted outside of the specified adjustable range. Each
two-hour period of such operation constitutes a separate offense. A
violation lasting less than two hours constitutes a single offense.
(3) The owner and operator of the engine must maintain on board the
vessel records of all maintenance, repair, and adjustment that could
reasonably affect the emission performance of any engine subject to the
provision of this part. Owners and operators must also maintain, on
board the vessel, records regarding certification, parameter adjustment,
and fuels used. For engines that are automatically adjusted
electronically, all adjustments must be logged automatically. Owners and
operators must make these records available to EPA upon request. These
records must include the following:
(i) The Technical File, Record Book of Engine Parameters, and bunker
delivery notes as specified in 40 CFR 1043.70. The Technical File must
be transferred to subsequent purchasers in the event of a sale of the
engine or vessel. (ii) Specific descriptions of engine maintenance,
repair, adjustment, and alteration (including rebuilding). The
descriptions must include at least the date, time, and nature of the
maintenance, repair, adjustment, or alteration and the position of the
vessel when the maintenance, repair, adjustment, or alteration was made.
(iii) Emission-related maintenance instructions provided by the
manufacturer. These instructions must be transferred to subsequent
purchasers in the event of a sale of the engine or vessel.
(4) Owners and operators of engines equipped with on-off emission
controls must comply with the requirements of this paragraph (c)(4)
whenever a malfunction of the emission controls is indicated as
specified in Sec. 1042.110(d). You must determine the cause of the
malfunction and remedy it consistent with paragraph (c)(1) of this
section. See paragraph (b) of this section if the malfunction is due to
either a lack of reductant or inadequate reductant quality. If the
malfunction occurs during the useful life, report the malfunction to the
certificate holder for investigation and compliance with defect
reporting requirements of 40 CFR 1068.501 (unless the malfunction is due
to operation without adequate urea or other malmaintenance).
(d) For each marine vessel containing a Category 3 engine, the owner
must annually review the vessel's records and submit to EPA a signed
statement certifying compliance during the preceding year with the
requirements of this part that are applicable to owners and operators of
such vessels. Alternately, if review of the vessel's records indicates
that there has been one or more violations of the requirements of this
part, the owner must submit to EPA a signed statement specifying the
noncompliance, including the nature of the noncompliance, the time of
the noncompliance, and any efforts made to remedy the noncompliance. The
statement of compliance (or noncompliance) required by this paragraph
must be signed by the executive with responsibility for marine
activities of the owner. If the vessel is operated by a different
business entity than the vessel owner, the reporting requirements of
this paragraph (e) apply to both the owner and the operator. Compliance
with these review and certification requirements by either the vessel
owner or the vessel operator with respect to a compliance statement will
be considered compliance with these requirements by both of these
parties for that compliance statement. The executive(s) may authorize a
captain or other primary operator to conduct this review and submit the
certification, provided that the certification statement is accompanied
by written authorization for that individual to submit such statements.
The Administrator may waive the requirements of

[[Page 518]]

this paragraph when equivalent assurance of compliance is otherwise
available.
(e) Manufacturers, owners and operators must allow emission tests
and inspections required by this part to be conducted and must provide
reasonable assistance to perform such tests or inspections.

[75 FR 23007, Apr. 30, 2010, as amended at 81 FR 74151, Oct. 25, 2016;
85 FR 78468, Dec. 4, 2020]

Sec. 1042.670 Special provisions for gas turbine engines.

The provisions of this section apply for gas turbine engines.
(a) Implementation schedule. The requirements of this part do not
apply for gas turbine engines below 600 kW before the 2014 model year.
The requirements of this part do not apply for Tier 3 or earlier gas
turbine engines at or above 600 kW. The provisions of 40 CFR part 1068
also do not apply for gas turbine engines produced in these earlier
model years.
(b) Special test procedures. Manufacturers seeking certification of
gas turbine engines must obtain preliminary approval of the test
procedures to be used, consistent with Sec. 1042.210 and 40 CFR
1065.10.
(c) Remanufacturing. The requirements of subpart I of this part do
not apply for gas turbine engines.
(d) Equivalent displacement. Apply displacement-based provisions of
this part by calculating an equivalent displacement from maximum engine
power. The equivalent per-cylinder displacement (in liters) equals
maximum engine power in kW multiplied by 0.00311, except that all gas
turbines with maximum engine power above 9,300 kW are considered to have
an equivalent per-cylinder displacement of 29.0 liters. Also, determine
the appropriate Tier 3 standards for Category 1 engines based on the
engine having an equivalent power density below 35 kW per liter.
(e) Emission-related components. All components meeting the criteria
of 40 CFR 1068.501(a)(1) are considered to be emission-related
components with respect to maintenance, warranty, and defect reporting
for gas turbine engines.
(f) Engines used for national defense. See Sec. 1042.635 for
provisions related to exempting gas turbine engines used for national
defense.

[75 FR 23008, Apr. 30, 2010, as amended at 81 FR 74152, Oct. 25, 2016]

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1042.701 General provisions.

This subpart describes how you may use emission credits to
demonstrate that Category 1 and Category 2 engines comply with emission
standards under this part. The provisions of this subpart do not apply
for Category 3 engines.
(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) 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 engines in which emission credits
may be exchanged only with other engines 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) Standard means the emission standard that applies under subpart
B of this part for engines not participating in the ABT program of this
subpart.

[[Page 519]]

(9) 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 paragraph (d) of this section, the following
criteria define the applicable averaging sets:
(1) Recreational engines.
(2) Commercial Category 1 engines.
(3) Category 2 engines.
(d) Emission credits generated by commercial Category 1 engine
families may be used for compliance by Category 2 engine families. Such
credits must be discounted by 25 percent.
(e) 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 an engine 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.
(f) Engine families that use emission credits for one or more
pollutants may not generate positive emission credits for another
pollutant.
(g) 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.
(h) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1042.225.
(i) You may use NOX + HC credits to show compliance with
a NOX emission standard or use NOX credits to show
compliance with a NOX + HC emission standard.
(j) [Reserved]
(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 engines. This may be considered donating emission credits to the
environment. Identify any such credits in the reports described in Sec.
1042.730. Engines must comply with the applicable FELs even if you
donate or sell the corresponding emission credits under this paragraph
(k). 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 37243, June 30, 2008, as amended at 75 FR 23008, Apr. 30, 2010;
81 FR 74152, Oct. 25, 2016; 86 FR 34512, June 29, 2021]

Sec. 1042.705 Generating and calculating emission credits.

The provisions of this section apply separately for calculating
emission credits for NOX, NOX + HC, or PM.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg) using consistent units throughout the following
equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (Power) x (LF) x (UL) x
(10^-3)

Where:

Std = The emission standard, in g/kW-hr.
FEL = The family emission limit for the engine family, in g/kW-hr.
Volume = The number of 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.
Power = The average value of maximum engine power of all the engine
configurations within an engine family, calculated on a
production-weighted basis, in kilowatts.
LF = Load factor. Use 0.69 for propulsion marine engines and 0.51 for
auxiliary marine engines. We may specify a different load
factor if we approve the use of special test procedures for an
engine family under 40 CFR 1065.10(c)(2), consistent with good
engineering judgment.
UL = The useful life for the given engine family, in hours.

[[Page 520]]

(b) [Reserved]
(c) As described in Sec. 1042.730, compliance with the requirements
of this subpart is determined at the end of the model year based on
actual U.S.-directed production volumes. Do not include any of the
following engines to calculate emission credits:
(1) Engines with a permanent exemption 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. 1042.5.
(4) [Reserved]
(5) Any other engines, where we indicate elsewhere in this part 1042
that they are not to be included in the calculations of this subpart.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23008, Apr. 30, 2010;
81 FR 74152, Oct. 25, 2016]

Sec. 1042.710 Averaging emission credits.

(a) Averaging is the exchange of emission credits among your engine
families.
(b) You may certify one or more engine families to an FEL above the
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. 1042.730. 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.

[73 FR 37243, June 30, 2008, as amended at 81 FR 74152, Oct. 25, 2016]

Sec. 1042.715 Banking emission credits.

(a) Banking is the retention of 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. 1042.730 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.

[75 FR 23009, Apr. 30, 2010]

Sec. 1042.720 Trading emission credits.

(a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions.
(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. 1042.255(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. 1042.745.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010]

Sec. 1042.725 Information required for the application for certification.

[[Page 521]]

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 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 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010;
81 FR 74152, Oct. 25, 2016]

Sec. 1042.730 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 set.
(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. 1042.225.
(4) The projected and actual U.S.-directed production volumes for
the model year, as described in Sec. 1042.705(c). If you changed an FEL
during the model year, identify the actual U.S.-directed production
volume associated with each FEL.
(5) Maximum engine power for each engine configuration, and the
average engine 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 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.
(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.

[[Page 522]]

(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, send us a written request with justification for a
waiver.
(f) 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 (f)(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.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010;
81 FR 74152, Oct. 25, 2016]

Sec. 1042.735 Recordkeeping.

(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.
(c) Keep a copy of the reports we require in Sec. 1042.730.
(d) Keep records of the engine identification 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 FEL and the range of engine identification numbers associated with
each FEL. 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.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23009, Apr. 30, 2010;
81 FR 74153, Oct. 25, 2016]

Sec. 1042.745 Noncompliance.

(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 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. 1042.920).

Subpart I_Special Provisions for Remanufactured Marine Engines

Sec. 1042.801 General provisions.

This subpart describes how the provisions of this part 1042 apply
for certain remanufactured marine engines.
(a) The requirements of this subpart apply for remanufactured Tier 2
and earlier commercial Category 1 and Category 2 marine engines at or
above 600 kW, excluding those engines originally manufactured before
1973. Note that

[[Page 523]]

the requirements of this subpart do not apply for engines below 600 kW,
Category 3 engines, engines installed on recreational vessels, or Tier 3
and later engines.
(b) Any person meeting the definition of ``remanufacturer'' in Sec.
1042.901 may apply for a certificate of conformity for a remanufactured
engine family.
(c) The rebuilding requirements of 40 CFR 1068.120 do not apply to
remanufacturing of engines using a certified remanufacturing system
under this subpart. However, the requirements of 40 CFR 1068.120 do
apply to all other remanufacturing of engines.
(d) Unless specified otherwise, engines certified under this subpart
are also subject to the other requirements of this part.
(e) For remanufactured engines required to have a valid certificate
of conformity, placing a new marine 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) Remanufacturing systems that require a fuel change or use of a
fuel additive may be certified under this part. However, they are not
considered to be ``available'' with respect to triggering the
requirement for an engine to be covered by a certificate of conformity
under Sec. 1042.815. The following provisions apply:
(1) Only fuel additives registered under 40 CFR part 79 may be used
under this paragraph (f).
(2) You must demonstrate in your application that the fuel or
additive will actually be used by operators, including a description of
how the vessels and dispensing tanks will be labeled. We may require you
to provide the labels to the operators.
(3) You must also describe analytical methods that can be used by
EPA or others to verify that fuel meets your specifications.
(4) You must provide clear instructions to the operators specifying
that they may only use the specified fuel/additive, label their vessels
and fuel dispensing tanks, and keep records of their use of the fuel/
additive in order for their engine to be covered by your certificate.
Use of the incorrect fuel (or fuel without the specified additive) or
any other failure to comply with the requirements of this paragraph is a
violation of 40 CFR 1068.101(b)(1).
(g) Vessels equipped with emission controls as part of a state or
local retrofit program prior to January 1, 2017 are exempt from the
requirements of this subpart, as specified in this paragraph (g).
(1) This exemption only applies for retrofit programs sponsored by a
state government (or one of its political subdivisions) for the purpose
of reducing emissions. The exemption does not apply where the sponsoring
government specifies that inclusion in the retrofit program is not
intended to provide an exemption from the requirements of this subpart.
(2) The prohibitions against tampering and defeat devices in 40 CFR
1068.101(b) and the rebuilding requirements in 40 CFR 1068.120 apply for
the exempt engines in the same manner as if they were covered by a
certificate.
(3) Vessel owners must request an exemption prior to remanufacturing
the engine. Your request must include documentation that your vessel has
been retrofitted consistent with the specifications of paragraph (g)(1)
of this section, and a signed statement declaring that to be true.
Except for the initial request for a specific vessel and a specific
retrofit, you may consider your request to be approved unless we notify
you otherwise within 30 days of the date that we receive your request.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75
FR 23009, Apr. 30, 2010; 86 FR 34512, June 29, 2021]

Sec. 1042.810 Requirements for owner/operators and installers during
remanufacture.

This section describes how the remanufacturing regulations affect
owner/operators and installers for engines subject to this subpart.
(a) See the definition of ``remanufacture'' in Sec. 1042.901 to
determine if you are remanufacturing your engine. (Note: Replacing
cylinders one at a time may qualify as remanufacturing, depending on the
interval between replacement.)

[[Page 524]]

(b) See the definition of ``new marine engine'' in Sec. 1042.901 to
determine if remanufacturing your engine makes it subject to the
requirements of this part. If the engine is considered to be new, it is
subject to the certification requirements of this subpart, unless it is
exempt under subpart G of this part.
(c) Your engine is not subject to the standards of this subpart if
we determine that no certified remanufacturing system is available for
your engine as described in Sec. 1042.815. For engines that are
remanufactured during multiple events within a five-year period, you are
not required to use a certified system until all of your engine's
cylinders have been replaced after the system became available. For
example, if you remanufacture your 16-cylinder engine by replacing four
cylinders each January and a system becomes available for your engine
June 1, 2010, your engine must be in a certified configuration when you
replace four cylinders in January of 2014. At that point, all 16
cylinders would have been replaced after June 1, 2010.
(d) You may comply with the certification requirements of this part
for your remanufactured engine by either obtaining your own certificate
of conformity as specified in subpart C of this part or by having a
certifying remanufacturer include your engine under its certificate of
conformity. In either case, your remanufactured engine must be covered
by a certificate before it is reintroduced into service.
(e) Contact a certifying remanufacturer to have your engine included
under its certificate of conformity. You must comply with the
certificate holder's emission-related installation instructions.

[73 FR 37243, June 30, 2008, as amended at 81 FR 74153, Oct. 25, 2016]

Sec. 1042.815 Demonstrating availability.

(a) A certified remanufacturing system is considered to be available
for a specific engine only if EPA has certified the remanufacturing
system as being in compliance with the provisions of this part and the
certificate holder has demonstrated during certification that the system
meets the criteria of this paragraph (a). We may issue a certificate for
a remanufacturing system that does not meet these criteria, but such
systems would not be considered available.
(1) The engine configuration must be included in the engine family
for the remanufacturing system.
(2) The total marginal cost of the remanufacturing system, as
calculated under paragraph (c) of this section, must be less than
$45,000 per ton of PM reduction.
(3) It must be possible to obtain and install the remanufacturing
system in a timely manner consistent with normal remanufacturing
procedures. For example, a remanufacturing system would generally not be
considered to be available if it required that the engine be removed
from the vessel and shipped to a factory to be remanufactured.
(4) The remanufacturing system may result in increased maintenance
costs, provided the incremental maintenance costs are included in the
total costs. The remanufacturing system may not adversely affect engine
reliability or power. Note that owner/operators may ask us to determine
that a remanufacturing system is not considered available for their
vessels because of excessive costs under Sec. 1042.850.
(b) We will maintain a list of available remanufacturing systems. A
new remanufacturing system is considered to be available 120 days after
we first issue a certificate of conformity for it. Where we issue a
certificate of conformity based on carryover data for a system that is
already considered to be available for the configuration, the 120-day
delay does not apply and the new system is considered to be available
when we issue the certificate.
(c) For the purpose of paragraph (a)(2) of this section, marginal
cost means the difference in costs between remanufacturing the engine
using the remanufacturing system and remanufacturing the engine
conventionally, divided by the projected amount that PM emissions will
be reduced over the engine's useful life.
(1) Total costs include:
(i) Incremental hardware costs.
(ii) Incremental labor costs.
(iii) Incremental operating costs over one useful life period.
(iv) Other costs (such as shipping).

[[Page 525]]

(2) Calculate the projected amount that PM emissions will be reduced
over the engine's useful life using the following equation:

PM tons = (EFbase - EFcont) x (PR) x (UL) x (LF) x
(10^-6)

Where:

EFbase = deteriorated baseline PM emission rate (g/kW-hr).
EFcont = deteriorated controlled PM emission rate (g/kW-hr).
PR = maximum engine power for the engine (kW).
UL = useful life (hr).
LF = the load factor that would apply for your engine under Sec.
1042.705.

Sec. 1042.820 Emission standards and required emission reductions for
remanufactured engines.

(a) The requirements of this section apply with respect to emissions
as measured according to subpart F of this part. See paragraph (g) of
this section for special provisions related to remanufacturing systems
certified for both locomotive and marine engines. Remanufactured Tier 2
and earlier engines may be certified under this subpart only if they
have NOX emissions equivalent to or less than baseline
NOX levels and PM emissions at least 25.0 percent less than
baseline PM emission levels. See Sec. 1042.825 for provisions for
determining baseline NOX and PM emissions. See Sec. 1042.835
for provisions related to demonstrating compliance with these
requirements.
(b) The NTE and ABT provisions of this part do not apply for
remanufactured engines.
(c) The exhaust emission standards in this section apply for engines
using the fuel type on which the engines in the engine family are
designed to operate. Engines designed to operate using residual fuel
must comply with the standards and requirements of this part when
operated using residual fuel.
(d) Your engines must meet the exhaust emission standards of this
section over their full useful life, as defined in Sec. 1042.101(e).
(e) The duty-cycle emission standards in this subpart apply to all
testing performed according to the procedures in Sec. 1042.505,
including certification, production-line, and in-use testing.
(f) Sections 1042.120, 1042.125, 1042.130, 1042.140 apply for
remanufactured engines as written. Section 1042.115 applies for
remanufactured engines as written, except for the requirement that
electronically controlled engines broadcast their speed and output shaft
torque.
(g) A remanufacturing system certified for locomotive engines under
40 CFR part 1033 may be deemed to also meet the requirements of this
section, as specified in Sec. 1042.836.

Sec. 1042.825 Baseline determination.

(a) For the purpose of this subpart, the term ``baseline emissions''
means the average measured emission rate specified by this section.
Baseline emissions are specific to a given certificate holder and a
given engine configuration.
(b) Select a used engine to be the emission-data engine for the
engine family for testing. Using good engineering judgment, select the
engine configuration expected to represent the most common configuration
in the family.
(c) Remanufacture the engine according to OEM specifications (or
equivalent). The engine is considered ``the baseline engine'' at this
point. If the OEM specifications include a range of adjustment for any
parameter, set the parameter to the midpoint of the range. You may ask
us to allow you to adjust it differently, consistent with good
engineering judgment.
(d) Test the baseline engine four times according to the test
procedures in subpart F of this part. The baseline emissions are the
average of those four tests.
(e) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under this
section. If we require you to test the same configuration, average the
results of the testing with previous results, unless we determine that
your previous results are not valid.
(f) Use good engineering judgment for all aspects of the baseline
determination. We may reject your baseline if we determine that you did
not use good engineering judgment, consistent with the provisions of 40
CFR 1068.5.

[[Page 526]]

Sec. 1042.830 Labeling.

(a) The labeling requirements of this paragraph (a) apply for
remanufacturing that is subject to the standards of this subpart. At the
time of remanufacture, affix a permanent and legible label identifying
each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire useful life.
(4) Written in English.
(b) The label required under paragraph (a) of this section must--
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark.
(3) Include EPA's standardized designation for the engine family.
(4) State the engine's category, displacement (in liters or L/cyl),
maximum engine power (in kW), and power density (in kW/L) as needed to
determine the emission standards for the engine family. You may specify
displacement, maximum engine power, and power density as ranges
consistent with the ranges listed in Sec. 1042.101. See Sec. 1042.140
for descriptions of how to specify per-cylinder displacement, maximum
engine power, and power density.
(5) State: ``THIS MARINE ENGINE MEETS THE STANDARDS OF 40 CFR PART
1042, SUBPART I, FOR [CALENDAR YEAR OF REMANUFACTURE].''
(c) For remanufactured engines that are subject to this subpart as
described in Sec. 1042.801(a), but are not subject to remanufacturing
standards as allowed by Sec. 1042.810 or Sec. 1042.815, you may
voluntarily add a label as specified in paragraphs (a) and (b) of this
section, except that the label must omit the standardized designation
for the engine family and include the following alternative compliance
statement: ``THIS MARINE ENGINE IS NOT SUBJECT TO REMANUFACTURING
STANDARDS UNDER 40 CFR PART 1042, SUBPART I, FOR [CALENDAR YEAR OF
REMANUFACTURE].''
(d) You may add information to the emission control information
label to identify other emission standards that the engine meets or does
not meet (such as international standards). You may also add other
information to ensure that the engine will be properly maintained and
used.
(e) You may ask us to approve modified labeling requirements in this
section if you show that it is necessary or appropriate. We will approve
your request if your alternate label is consistent with the intent of
the labeling requirements of this section.

[81 FR 74153, Oct. 25, 2016]

Sec. 1042.835 Certification of remanufactured engines.

(a) General requirements. See Sec. Sec. 1042.201, 1042.210,
1042.220, 1042.225, 1042.250, and 1042.255 for the general requirements
related to obtaining a certificate of conformity. See Sec. 1042.836 for
special certification provisions for remanufacturing systems certified
for locomotive engines under 40 CFR 1033.936.
(b) Applications. See Sec. 1042.840 for a description of what you
must include in your application.
(c) Engine families. See Sec. 1042.845 for instruction about
dividing your engines into engine families.
(d) Test data. (1) Measure baseline emissions for the test
configuration as specified in Sec. 1042.825.
(2) Measure emissions from the test engine for your remanufacturing
system according to the procedures of subpart F of this part.
(3) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
(i) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test engine to a test
facility we designate. The test 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.

[[Page 527]]

(ii) If we measure emissions from one of your test engines, the
results of that testing become the official emission results for the
engine. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets applicable
requirements.
(iii) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see
Sec. 1042.115(d)).
(iv) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
(4) You may ask to use emission data from a previous model year
instead of doing new tests, but only if all the following are true:
(i) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1042.225.
(ii) The emission-data engine from the previous model year remains
the appropriate emission-data engine.
(iii) 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.
(5) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under this
section.
(6) 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.
(e) Demonstrating compliance. (1) For purposes of certification,
your engine family is considered in compliance with the emission
standards in Sec. 1042.820 if all emission-data engines representing
that family have test results showing compliance with the standards and
percent reductions required by that section. To compare emission levels
from the emission-data engine with the applicable emission standards,
apply an additive deterioration factor of 0.015 g/kW-hr to the measured
emission levels for PM. Alternatively, you may test your engine as
specified in Sec. 1042.245 to develop deterioration factors that
represent the deterioration expected in emissions over your engines'
full useful life.
(2) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, 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.
(3) Your applicable NOX standard for each configuration
is the baseline NOX emission rate for that configuration plus
5.0 percent (to account for test-to-test and engine-to-engine
variability). Your applicable PM standard for each configuration is the
baseline PM emission rate for that configuration multiplied by 0.750
plus the deterioration factor. If you choose to include configurations
in your engine family for which you do not measure baseline emissions,
you must demonstrate through engineering analysis that your
remanufacturing system will reduce PM emissions by at least 25.0 percent
for those configurations and not increase NOX emissions.
(4) Your engine family is deemed not to comply if any emission-data
engine representing that family for certification has test results
showing a deteriorated emission level above an applicable emission
standard for any pollutant.
(f) Safety Evaluation. You must exercise due diligence in ensuring
that your system will not adversely affect safety or otherwise violate
the prohibition of Sec. 1042.115(e).
(g) Compatibility Evaluation. If you are not the original
manufacturer of the engine, you must contact the original manufacturer
of the engine to verify that your system is compatible with the engine.
Keep records of your contact with the original manufacturer.

[[Page 528]]

Sec. 1042.836 Marine certification of locomotive remanufacturing systems.

If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system
for locomotives under 40 CFR part 1033, you may also certify the system
under this part, according to the provisions of this section.
(a) Include the following with your application for certification
under 40 CFR part 1033 (or as an amendment to your application):
(1) A statement of your intent to use your remanufacturing system
for marine engines. Include a list of marine engine models for which
your system may be used.
(2) If there are significant differences in how your remanufacture
system will be applied to marine engines relative to locomotives, in an
engineering analysis demonstrating that your system will achieve
emission reductions from marine engines similar to those from
locomotives.
(3) A description of modifications needed for marine applications.
(4) A demonstration of availability as described in Sec. 1042.815,
except that the total marginal cost threshold does not apply.
(5) An unconditional statement 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.
(b) Sections 1042.835 and 1042.840 do not apply for engines
certified under this section.
(c) Systems that were certified to the standards of 40 CFR part 92
are subject to the following restrictions:
(1) Tier 0 locomotive systems may not be used for any Category 1
engines or Tier 1 or later Category 2 engines.
(2) Where systems certified to the standards of 40 CFR part 1033 are
also available for an engine, you may not use a system certified to the
standards of 40 CFR part 92.

[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75
FR 23009, Apr. 30, 2010; 81 FR 74153, Oct. 25, 2016; 86 FR 34512, June
29, 2021]

Sec. 1042.840 Application requirements for remanufactured engines.

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1042.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1042.140.
(b) Explain how the emission control system operates. Describe in
detail all system components for controlling exhaust emissions,
including any auxiliary emission control devices (AECDs) you add to the
engine. Identify the part number of each component you describe.
(c) Summarize the cost effectiveness analysis used to demonstrate
your system will meet the availability criteria of Sec. 1042.815.
Identify the maximum allowable costs for vessel modifications to meet
these criteria.
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including the duty cycle(s) and the corresponding engine applications.
Also describe any special or alternate test procedures you used.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065. See Sec.
1042.801 if your certification is based on the use of special fuels or
additives.
(h) Identify the engine family's useful life.
(i) Include the maintenance and warranty instructions you will give
to the

[[Page 529]]

owner/operator (see Sec. Sec. 1042.120 and 1042.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1042.130).
(k) Describe your emission control information label (see Sec.
1042.830).
(l) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1042.245). Present any emission test
data you used for this.
(m) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(n) Present emission data for HC, NOX, PM, and CO as
required by Sec. 1042.820. Show emission figures before and after
applying adjustment factors for regeneration and deterioration factors
for each pollutant and for each engine.
(o) Report all valid test results. Also indicate whether there are
test results from invalid tests or from any other tests of the emission-
data engine, whether or not they were conducted according to the test
procedures of subpart F of this part. If you measure CO2,
report those emission levels. We may require you to report these
additional test results. We may ask you to send other information to
confirm that your tests were valid under the requirements of this part
and 40 CFR part 1065.
(p) Describe all adjustable operating parameters (see Sec.
1042.115(d)), including production tolerances. 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) For Category 1 engines, information showing why the limits,
stops, or other means of inhibiting adjustment are effective in
preventing adjustment of parameters on in-use engines to settings
outside your intended physically adjustable ranges.
(5) For Category 2 engines, propose a range of adjustment for each
adjustable parameter, as described in Sec. 1042.115(d). Include
information showing why the limits, stops, or other means of inhibiting
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
(q) 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.
(r) Include the information required by other subparts of this part.
(s) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(t) 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.
(u) If you are not the original manufacturer of the engine, include
a summary of your contact with the original manufacturer of the engine
and provide to us any documentation provided to you by the original
manufacturer.

[73 FR 37243, June 30, 2008, as amended at 81 FR 74153, Oct. 25, 2016]

Sec. 1042.845 Remanufactured engine families.

(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this section.
You may not group Category 1 and Category 2 engines in the same family.
(b) In general, group engines in the same engine family if they are
the same in all the following aspects:
(1) The combustion cycle and fuel (the fuels with which the engine
is intended or designed to be operated).
(2) The cooling system (for example, raw-water vs. separate-circuit
cooling).
(3) Method of air aspiration.
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
(5) Combustion chamber design.
(6) Nominal bore and stroke.

[[Page 530]]

(7) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(8) Original engine manufacturer.
(c) Alternatively, you may ask us to allow you to include other
engine configurations in your engine family, consistent with good
engineering judgment.
(d) Do not include in your family any configurations for which good
engineering judgment indicates that your emission controls are unlikely
to provide PM emission reductions similar to the configuration(s)
tested.

Sec. 1042.850 Exemptions and hardship relief.

This section describes exemption and hardship provisions that are
available for owner/operators of engines subject to the provisions of
this subpart.
(a) Vessels owned and operated by entities that meet the size
criterion of this paragraph (a) are exempt from the requirements of this
subpart I. To be exempt, your gross annual revenue for the calendar year
before the remanufacture must be less than $5,000,000 in 2008 dollars or
the equivalent value for future years based on the Bureau of Labor
Statistics' Producer Price Index (see www.bls.gov). Include all revenues
from any parent company and its subsidiaries. The exemption applies only
for years in which you meet this criterion.
(b) In unusual circumstances, we may exempt you from an otherwise
applicable requirement that you apply a certified remanufacturing system
when remanufacturing your marine engine.
(1) To be eligible, you must demonstrate that all of the following
are true:
(i) Unusual circumstances prevent you from meeting requirements from
this chapter.
(ii) You have taken all reasonable steps to minimize the extent of
the nonconformity.
(iii) Not having the exemption will jeopardize the solvency of your
company.
(iv) No other allowances are available under the regulations in this
chapter to avoid the impending violation.
(2) Send the Designated Compliance Officer a written request for an
exemption before you are in violation.
(3) We may impose other conditions, including provisions to use an
engine meeting less stringent emission standards or to recover the lost
environmental benefit.
(4) In determining whether to grant the exemptions, we will consider
all relevant factors, including the following:
(i) The number of engines to be exempted.
(ii) The size of your company and your ability to endure the
hardship.
(iii) The length of time a vessel is expected to remain in service.
(c) If you believe that a remanufacturing system that we identified
as being available cannot be installed without significant modification
of your vessel, you may ask us to determine that a remanufacturing
system is not considered available for your vessel because the cost
would exceed the total marginal cost threshold in Sec. 1042.815(a)(2).
(d) Other exemptions specified in subpart G of this part and 40 CFR
part 1068, subparts C and D also apply to remanufactured engines. For
example, the national security exemption applies to remanufactured
engines as described in Sec. 1042.635.

[73 FR 37243, June 30, 2008, as amended at 74 FR 8426, Feb. 24, 2009; 75
FR 23009, Apr. 30, 2010; 81 FR 74153, Oct. 25, 2016]

Subpart J_Definitions and Other Reference Information

Sec. 1042.901 Definitions.

[[Page 531]]

fueling rate. You may ask us to exclude a parameter that is difficult to
access if it cannot be adjusted to affect emissions without
significantly degrading engine performance, or if you otherwise 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
decrease emissions in the engine exhaust before it is exhausted to the
environment. Exhaust-gas recirculation and turbochargers are not
aftertreatment.
Alcohol-fueled engine means 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.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
2008 Annex VI means MARPOL Annex VI, which is an annex to the
International Convention on the Prevention of Pollution from Ships,
1973, as modified by the protocol of 1978 relating thereto (incorporated
by reference in Sec. 1042.910).
Applicable emission standard or applicable standard means an
emission standard to which an engine is subject; or, where an engine has
been or is being certified to another standard or FEL, applicable
emission standards means the FEL and other standards to which the engine
has been or is being certified. This definition does not apply to
subpart H of this part.
Auxiliary emission control device means any element of design that
senses temperature, vessel 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.
Base engine means a land-based engine to be marinized, as configured
prior to marinization.
Baseline emissions has the meaning given in Sec. 1042.825.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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. 1042.235(d).
Category 1 means relating to a marine engine with specific engine
displacement below 7.0 liters per cylinder. See Sec. 1042.670 to
determine equivalent per-cylinder displacement for nonreciprocating
marine engines (such as gas turbine engines).
Category 2 means relating to a marine engine with a specific engine
displacement at or above 7.0 liters per cylinder but less than 30.0
liters per cylinder. See Sec. 1042.670 to determine equivalent per-
cylinder displacement for nonreciprocating marine engines (such as gas
turbine engines).
Category 3 means relating to a reciprocating marine engine with a
specific engine displacement at or above 30.0 liters per cylinder.
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient or
steady-state testing.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Commercial means relating to an engine or vessel that is not a
recreational marine engine or a recreational vessel.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine. Note
that certain other marine engines (such as those powered by natural gas
with maximum engine power at or above 250 kW) are deemed to be
compression-ignition engines in Sec. 1042.1.

[[Page 532]]

Constant-speed engine means an engine whose certification is limited
to constant-speed operation. Engines whose constant-speed governor
function is removed or disabled are no longer constant-speed engines.
Constant-speed operation has the meaning given in 40 CFR 1065.1001.
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.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
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.
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.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at the
end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1042.240 and 1042.245), 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.
Diesel fuel has the meaning given in 40 CFR 1090.80. This generally
includes No. 1 and No. 2 petroleum diesel fuels and biodiesel fuels.
Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec. 1042.505.
ECA associated area has the meaning given in 40 CFR 1043.20.
Dual-fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels (see
Sec. 1042.601(j)). 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. Note that this definition differs from MARPOL Annex VI.
Emission control area (ECA) has the meaning given in 40 CFR 1043.20.
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 has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
Engine family has the meaning given in Sec. 1042.230.
Engine manufacturer means a manufacturer of an engine. See the
definition of ``manufacturer'' in this section.
Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer, with

[[Page 533]]

respect to compliance with the provisions of this part.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1042.5, is not
subject to this part 1042.
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 emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places as
the emission standard it replaces. The family emission limit serves as
the emission standard for the engine family with respect to all required
testing.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels (see Sec. 1042.601(j)).
Freshly manufactured marine engine means a marine engine that has
not been placed into service. An engine becomes freshly manufactured
when it is originally manufactured. See the definition of ``New marine
engine'' for provisions that specify that certain other types of new
engines are treated as freshly manufactured engines.
Foreign vessel means a vessel of foreign registry or a vessel
operated under the authority of a country other than the United States.
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 gasoline, diesel
fuel, residual fuel, or natural gas. There can be multiple grades within
a single fuel type, such as high-sulfur or low-sulfur diesel fuel.
Gas turbine engine has the meaning given in 40 CFR 1068.30. In
general, this means anything commercially known as a gas turbine engine.
It does not include external combustion steam engines.
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.
Green Engine Factor means a factor that is applied to emission
measurements from a Category 2 engine that has had little or no service
accumulation. The Green Engine Factor adjusts emission measurements to
be equivalent to emission measurements from an engine that has had
approximately 300 hours of use.
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 above 500 parts per million.
(2) For testing, high-sulfur diesel fuel has the meaning given in 40
CFR part 1065.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in Sec.
1042.101(d) and Sec. 1042.104(a).
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.
Light-commercial marine engine means a Category 1 propulsion marine
engine at or above 600 kW with power density above 45.0 kW/liter that is
certified with a shorter useful life based on its high power density.
Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less

[[Page 534]]

than 300 hours of operation for engines with NOX
aftertreatment and 125 hours of operation for other engines.
Low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
marketed 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.
Manufacture means the physical and engineering process of designing,
constructing, and assembling an engine or a vessel, or modifying or
operating an engine or vessel in a way that makes it a new marine engine
or new marine vessel.
Manufacturer means any person who manufactures (see definition of
``manufacture'' in this section) a new engine or vessel or imports such
engines or vessels for resale. All manufacturing entities under the
control of the same person are considered to be a single manufacturer.
(1) This term includes, but is not limited to:
(i) Any person who manufactures an engine or vessel for sale in the
United States or otherwise introduces a new marine engine into U.S.
commerce.
(ii) Importers who import engines or vessels for resale.
(iii) Post-manufacture marinizers.
(iv) Vessel owners/operators that reflag a formerly foreign vessel
as a U.S.-flagged vessel.
(v) Any person who modifies or operates an engine or vessel in a way
that makes it a new marine engine or new marine vessel.
(2) Dealers that do not cause an engine or vessel to become new are
not manufacturers.
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. A fueling system is considered integral to
the vessel only if one or more essential elements are permanently
affixed to the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1042.140.
Maximum in-use engine speed has the meaning given in Sec. 1042.140.
Maximum test power means the power output observed at the maximum
test speed with the maximum fueling rate possible.
Maximum test speed has the meaning given in 40 CFR 1065.1001.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year means any of the following:
(1) For freshly manufactured marine engines (see definition of ``new
marine engine,'' paragraph (1)), model year means one of the following:
(i) Calendar year of production.
(ii) Your annual new model production period if it is different than
the calendar year. This must include January 1 of the calendar year for
which the model year is named. It may not begin before January 2 of the
previous calendar year and it must end by December 31 of the named
calendar year. For seasonal production periods not including January 1,
model year means the calendar year in which the production occurs,
unless you choose to certify the applicable engine family with the
following model year. For example, if your production period is June 1,
2010 through November 30, 2010, your model year would be 2010 unless you
choose to certify the engine family for model year 2011.
(2) For an engine that is converted to a marine engine after being
certified and placed into service as a motor vehicle engine, a nonroad
engine that is not a marine engine, or a stationary engine, model year
means the calendar year in which the engine was originally produced. For
an engine that is converted to a marine engine after being

[[Page 535]]

placed into service as a motor vehicle engine, a nonroad engine that is
not a marine engine, or a stationary engine without having been
certified, model year means the calendar year in which the engine
becomes a new marine engine. (See definition of ``new marine engine,''
paragraph (2)).
(3) For an uncertified marine engine excluded under Sec. 1042.5
that is later subject to this part as a result of being installed in a
different vessel, model year means the calendar year in which the engine
was installed in the non-excluded vessel. For a marine engine excluded
under Sec. 1042.5 that is later subject to this part as a result of
reflagging the vessel, model year means the calendar year in which the
engine was originally manufactured. For a marine engine that becomes new
under paragraph (7) of the definition of ``new marine engine,'' model
year means the calendar year in which the engine was originally
manufactured. (See definition of ``new marine engine,'' paragraphs (3)
and (7).)
(4) For engines that do not meet the definition of ``freshly
manufactured'' but are installed in new vessels, model year means the
calendar year in which the engine is installed in the new vessel (see
definition of ``new marine engine,'' paragraph (4)).
(5) For remanufactured engines, model year means the calendar year
in which the remanufacture takes place.
(6) For imported engines:
(i) For imported engines described in paragraph (6)(i) of the
definition of ``new marine engine,'' model year has the meaning given in
paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (6)(ii) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is remanufactured.
(iii) For imported engines described in paragraph (6)(iii) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is first assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
(iv) For imported engines described in paragraph (6)(iv) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is imported.
(7) [Reserved]
(8) For freshly manufactured vessels, model year means the calendar
year in which the keel is laid or the vessel is at a similar stage of
construction. For vessels that become new under paragraph (2) or (3) of
the definition of ``new vessel'' (as a result of modifications), model
year means the calendar year in which the modifications physically
begin.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New marine engine means any of the following:
(1) A freshly manufactured marine engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced until
the ultimate purchaser receives the title or the product is placed into
service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine, a
nonroad engine that is not a marine engine, or a stationary engine that
is later used or intended to be used as a marine engine. In this case,
the engine is no longer a motor vehicle, nonmarine, or stationary engine
and becomes a ``new marine engine.'' The engine is no longer new when it
is placed into marine service as a marine engine. This paragraph (2)
applies for engines we exclude under Sec. 1042.5, where that engine is
later installed as a marine engine in a vessel that is covered by this
part 1042. For example, this would apply to an engine that is no longer
used in a foreign vessel. An engine converted to a marine engine without
having been certified is treated as a freshly manufactured engine under
this part 1042.
(3) A marine engine that has been previously placed into service in
an application we exclude under Sec. 1042.5, where that engine is
installed in a vessel that is covered by this part 1042. The engine is
new when it first enters U.S. waters on a vessel covered by this part
1042. For example, this would apply to an engine that is no longer

[[Page 536]]

used in a foreign vessel and for engines on a vessel that is reflagged
as a U.S. vessel. Note paragraph (7) of this definition may also apply.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. This
generally includes installation of used engines in new vessels. The
engine is no longer new when the ultimate purchaser receives a title for
the vessel or it is placed into service, whichever comes first. Such an
engine is treated as a freshly manufactured engine under this part 1042,
whether or not it meets the definition of ``freshly manufactured marine
engine.''
(5) A remanufactured marine engine. An engine becomes new when it is
remanufactured (as defined in this section) and ceases to be new when
placed back into service.
(6) An imported marine engine, subject to the following provisions:
(i) An imported marine engine covered by a certificate of conformity
issued under this part that meets the criteria of one or more of
paragraphs (1) through (4) of this definition, where the original engine
manufacturer holds the certificate, is new as defined by those
applicable paragraphs.
(ii) An imported remanufactured engine that would have been required
to be certified if it had been remanufactured in the United States.
(iii) An imported engine that will be covered by a certificate of
conformity issued under this part, where someone other than the original
engine manufacturer holds the certificate (such as when the engine is
modified after its initial assembly), is a new marine engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iv) An imported marine engine that is not covered by a certificate
of conformity issued under this part at the time of importation is new,
but only if it was produced on or after the dates shown in the following
table. This addresses uncertified engines and vessels initially placed
into service that someone seeks to import into the United States.
Importation of this kind of engine (or vessel containing such an engine)
is generally prohibited by 40 CFR part 1068.

Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
Initial
Per-cylinder displacement model year
Engine category and type Power (kW) (L/cyl) of emission
standards
----------------------------------------------------------------------------------------------------------------
Category 1............................... P <19...................... All........................ 2000
Category 1............................... 19 <=P <37................. All........................ 1999
Category 1, Recreational................. P =37........... disp. <0.9................. 2007
Category 1, Recreational................. All........................ 0.9 <=disp. <2.5........... 2006
Category 1, Recreational................. All........................ disp. =2.5...... 2004
Category 1, Commercial................... P =37........... disp. <0.9................. 2005
Category 1, Commercial................... All........................ disp. =0.9...... 2004
Category 2 and Category 3................ All........................ disp. =5.0...... 2004
----------------------------------------------------------------------------------------------------------------

(7) A marine engine that is not covered by a certificate of
conformity issued under this part on a U.S.-flag vessel entering U.S.
waters is new, but only if it was produced on or after the dates
identified in paragraph (6)(iv) of this definition. Such entrance is
deemed to be introduction into U.S. commerce.
New vessel means any of the following:
(1) A vessel for which the ultimate purchaser has never received the
equitable or legal title. The vessel is no longer new when the ultimate
purchaser receives this title or it is placed into service, whichever
comes first.
(2) For vessels with no Category 3 engines, a vessel that has been
modified such that the value of the modifications exceeds 50 percent of
the value of the modified vessel, excluding temporary modifications (as
defined in this section). The value of the modification is the
difference in the assessed value of the vessel before the modification

[[Page 537]]

and the assessed value of the vessel after the modification. The vessel
is no longer new when it is placed into service. Use the following
equation to determine if the fractional value of the modification
exceeds 50 percent:
Percent of value = [(Value after modification)-(Value before
modification)] x 100% / (Value after modification)
(3) For vessels with Category 3 engines, a vessel that has undergone
a modification that substantially alters the dimensions or carrying
capacity of the vessel, changes the type of vessel, or substantially
prolongs the vessel's life.
(4) An imported vessel that has already been placed into service,
where it has an engine not covered by a certificate of conformity issued
under this part at the time of importation that was manufactured after
the requirements of this part start to apply (see Sec. 1042.1).
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.
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, or vessels, or equipment
that include nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft.
NOX Technical Code means the ``Technical Code on Control of Emission
of Nitrogen Oxides from Marine Diesel Engines'' adopted by the
International Maritime Organization (incorporated by reference in Sec.
1042.910). The Technical Code is part of 2008 Annex VI.
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 regeneration
adjustment factors.
Operator demand has the meaning given in 40 CFR 1065.1001.
Owners manual means a document or collection of documents prepared
by the engine 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.
Particulate trap means a filtering device that is designed to
physically trap particulate matter above a certain size.
Passenger means a person that provides payment as a condition of
boarding a vessel. This does not include the owner or any paid crew
members.
Placed into service means put into initial use for its intended
purpose. Engines and vessels do not qualify as being ``placed into
service'' based on incidental use by a manufacturer or dealer.
Post-manufacture marinizer means an entity that produces a marine
engine by modifying a non-marine engine, whether certified or
uncertified, complete or partially complete, where the entity is not
controlled by the manufacturer of the base engine or by an entity that
also controls the manufacturer of the base engine. In addition, vessel
manufacturers that substantially modify marine engines are post-
manufacture marinizers. For the purpose of this definition,
``substantially modify'' means changing an engine in a way that could
change engine emission characteristics.
Power density has the meaning given in Sec. 1042.140.
Ramped-modal means relating to the ramped-modal type of steady-state
test described in Sec. 1042.505.
Rated speed means the maximum full-load governed speed for governed
engines and the speed of maximum power for ungoverned engines.

[[Page 538]]

Recreational marine engine means a Category 1 propulsion marine
engine that is intended by the manufacturer to be installed on a
recreational vessel.
Recreational vessel means a vessel that is intended by the vessel
manufacturer to be operated primarily for pleasure or leased, rented or
chartered to another for the latter's pleasure. However, this does not
include the following vessels:
(1) Vessels below 100 gross tons that carry more than 6 passengers.
(2) Vessels at or above 100 gross tons that carry one or more
passengers.
(3) Vessels used solely for competition (see Sec. 1042.620).
Reflag means to register as a U.S. vessel any vessel that previously
had a foreign registry or had been placed into service without
registration.
Remanufacture means to replace every cylinder liner in a commercial
engine with maximum engine power at or above 600 kW, whether during a
single maintenance event or cumulatively within a five-year period. For
the purpose of this definition, ``replace'' includes removing,
inspecting, and requalifying a liner. Rebuilding a recreational engine
or an engine with maximum engine power below 600 kW is not
remanufacturing.
Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture an engine in accordance with applicable requirements of
this part 1042.
Remanufacturer has the meaning given to ``manufacturer'' in section
216(1) of the Clean Air Act (42 U.S.C. 7550(1)) with respect to
remanufactured marine engines. This term includes any person that is
engaged in the manufacture or assembly of remanufactured engines, such
as persons who:
(1) Design or produce the emission-related parts used in
remanufacturing.
(2) Install parts in or on an existing engine to remanufacture it.
(3) Own or operate the 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).
Residual fuel means any fuel with a T90 greater than 700
[deg]F as measured with the distillation test method specified in 40 CFR
1065.1010. This generally includes all RM grades of marine fuel without
regard to whether they are known commercially as residual fuel. For
example, fuel marketed as intermediate fuel may be residual fuel.
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 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-volume boat builder means a boat manufacturer with fewer than
500 employees and with annual worldwide production of fewer than 100
boats. For manufacturers owned by a parent company, these limits apply
to the combined production and number of employees of the parent company
and all its subsidiaries. Manufacturers that produce vessels with
Category 3 engines are not small-volume boat builders.
Small-volume engine manufacturer means a manufacturer of Category 1
and/or Category 2 engines with annual worldwide production of fewer than
1,000 internal combustion engines (marine and nonmarine). For
manufacturers owned by a parent company, the limit applies to the
production of the parent company and all its subsidiaries. Manufacturers
that certify or produce any Category 3 engines are not small-volume
engine 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

[[Page 539]]

air flow to control power during normal operation.
Specified adjustable range means a range of adjustment for an
adjustable parameter that is approved as part of certification. Note
that Category 1 engines must comply with emission standards over the
full physically adjustable range for any adjustable parameters.
Steady-state has the meaning given in 40 CFR 1065.1001.
Sulfur-sensitive technology means an emission control technology
that experiences a significant drop in emission control performance or
emission-system durability when an engine is operated on low-sulfur
diesel fuel (i.e., 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.
Temporary modification means a modification to a vessel based on a
written contract for marine services such that the modifications will be
removed from the vessel when the contract expires. This provision is
intended to address short-term contracts that would generally be less
than 12 months in duration. You may ask us to consider modifications
that will be in place longer than 12 months as temporary modifications.
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.
Tier 1 means relating to the Tier 1 emission standards, as shown in
Appendix I.
Tier 2 means relating to the Tier 2 emission standards, as shown in
Sec. 1042.104 and Appendix I.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1042.101 and Sec. 1042.104.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1042.101.
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 hydrocarbons, alcohols and aldehydes, or other organic
compounds that are measured separately as contained in a gas sample,
expressed as exhaust hydrocarbon from petroleum-fueled engines. The
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means, with respect to any new vessel or new
marine engine, the first person who in good faith purchases such new
vessel or new marine engine 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.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
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.
U.S. waters includes U.S. navigable waters and the U.S. EEZ.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years,

[[Page 540]]

whichever comes first. It is the period during which an engine is
required to comply with all applicable emission standards. See
Sec. Sec. 1042.101(e) and 1042.104(d).
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means a marine vessel.
Vessel operator means any individual that physically operates or
maintains a vessel or exercises managerial control over the operation of
the vessel.
Vessel owner means the individual or company that holds legal title
to a vessel.
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.
Volatile liquid fuel means any fuel other than diesel fuel or
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor
Pressure higher than 2.0 pounds per square inch.
Waterline length means the horizontal distance measured between
perpendiculars taken at the forwardmost and aftermost points on the
waterline corresponding to the deepest operating draft (see ``Length
between perpendiculars'' at 46 CFR 175.400). This applies for a worst-
case combination of a fully loaded vessel in freshwater in summer.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23010, Apr. 30, 2010;
81 FR 74153, Oct. 25, 2016; 85 FR 62232, Oct. 2, 2020; 85 FR 78468, Dec.
4, 2020; 86 FR 34512, June 29, 2021]

Sec. 1042.905 Symbols, acronyms, and abbreviations.

The following symbols, acronyms, and abbreviations apply to this
part:

ABT Averaging, banking, and trading.
AECD auxiliary emission control device.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
cyl cylinder.
disp. displacement.
ECA Emission Control Area.
EEZ Exclusive Economic Zone.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g grams.
HC hydrocarbon.
hr hours.
IMO International Maritime Organization.
kPa kilopascals.
kW kilowatts.
L liters.
LTR Limited Testing Region.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbon.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed.
PM particulate matter.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
ULSD ultra low-sulfur diesel fuel.
U.S.C. United States Code.

[81 FR 74154, Oct. 25, 2016]

Sec. 1042.910 Incorporation by reference.

[[Page 541]]

from Ships, Fourth Edition, 2017, and NOX Technical Code
2008.
(i) Revised MARPOL Annex VI, Regulations for the Prevention of
Pollution from Ships, Fourth Edition, 2017 (``2008 Annex VI''); IBR
approved for Sec. 1042.901.
(ii) NOX Technical Code 2008, Technical Code on Control
of Emission of Nitrogen Oxides from Marine Diesel Engines, 2017 Edition,
(``NOX Technical Code''); IBR approved for Sec. Sec.
1042.104(g), 1042.230(d), 1042.302(c) and (e), 1042.501(g), and
1042.901.
(2) [Reserved]

[86 FR 34512, June 29, 2021]

Sec. 1042.915 Confidential information.

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

[81 FR 74155, Oct. 25, 2016]

Sec. 1042.920 Hearings.

Sec. 1042.925 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. 1042.255, 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. 1042.801).
(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.
(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
vessels regulated under this part:
(1) We specify the following requirements related to engine
certification in this part 1042:
(i) In Sec. 1042.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel
manufacturers.
(ii) In Sec. 1042.145 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 Sec. Sec. 1042.345 and 1042.350 we specify certain records
related to production-line testing.
(v) 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.
(vi) In Sec. Sec. 1042.725, 1042.730, and 1042.735 we specify
certain records related to averaging, banking, and trading.

[[Page 542]]

(vii) 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 engines
available for our testing or inspection if we make such a request.
(iv) In 40 CFR 1068.105 we require vessel 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.

[81 FR 74155, Oct. 25, 2016]

Sec. Appendix I to Part 1042--Summary of Previous Emission Standards

The following standards apply to compression-ignition marine engines
produced before the model years specified in Sec. 1042.1:
(a) Engines below 37 kW. Tier 1 and Tier 2 standards for engines
below 37 kW originally adopted under 40 CFR part 89 apply as follows:

Table 1 to Appendix I--Emission Standards for Engines Below 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Rated power (kW) Tier Model year NMHC + NOX CO PM
----------------------------------------------------------------------------------------------------------------
kW<8.......................... Tier 1.......... 2000 10.5 8.0 1.0
Tier 2.......... 2005 7.5 8.0 0.80
8<=kW<19...................... Tier 1.......... 2000 9.5 6.6 0.80
Tier 2.......... 2005 7.5 6.6 0.80
19<=kW<37..................... Tier 1.......... 1999 9.5 5.5 0.8
Tier 2.......... 2004 7.5 5.5 0.6
----------------------------------------------------------------------------------------------------------------

(b) Engines at or above 37 kW. Tier 1 and Tier 2 standards for
engines at or above 37 kW originally adopted under 40 CFR part 94 apply
as follows:
(1) Tier 1 standards. NOX emissions from model year 2004
and later engines with displacement of 2.5 or more liters per cylinder
may not exceed the following values:
(i) 17.0 g/kW-hr when maximum test speed is less than 130 rpm.
(ii) 45.0 x N^-0.20 when maximum test speed is at or above
130 but below 2000 rpm, where N is the maximum test speed of the engine
in revolutions per minute. Round the calculated standard to the nearest
0.1 g/kW-hr.
(ii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
(2) Tier 2 primary standards. Exhaust emissions from Category 1
engines at or above 37 kW and all Category 2 engines may not exceed the
values shown in the following table:

[[Page 543]]

Table 2 to Appendix I--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or Above 37 kW (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX + THC g/
Engine size liters/cylinder Maximum engine power Category Model year kW-hr CO g/kW-hr PM g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. <0.9............................... power =37 kW..... Category 1 Commercial...... 2005 7.5 5.0 0.40
Category 1 Recreational.... 2007 7.5 5.0 0.40
0.9 <=disp. <1.2......................... All......................... Category 1 Commercial...... 2004 7.2 5.0 0.30
Category 1 Recreational.... 2006 7.2 5.0 0.30
1.2 <=disp. <2.5......................... All......................... Category 1 Commercial...... 2004 7.2 5.0 0.20
Category 1 Recreational.... 2006 7.2 5.0 0.20
2.5 <=disp. <5.0......................... All......................... Category 1 Commercial...... 2007 7.2 5.0 0.20
Category 1 Recreational.... 2009 7.2 5.0 0.20
5.0 <=disp. <15.0........................ All......................... Category 2................. 2007 7.8 5.0 0.27
15.0 <=disp. <20.0....................... power <3300 kW.............. Category 2................. 2007 8.7 5.0 0.50
power =3300 kW... Category 2................. 2007 9.8 5.0 0.50
20.0 <=disp. <25.0....................... All......................... Category 2................. 2007 9.8 5.0 0.50
25.0 <=disp. <30.0....................... All......................... Category 2................. 2007 11 5.0 0.5
--------------------------------------------------------------------------------------------------------------------------------------------------------

(3) Tier 2 supplemental standards. The following not-to-exceed
emission standards apply for all engines subject to the Tier 2 standards
described in paragraph (b)(2) of this appendix.
(i) Commercial marine engines. (A) 1.20 times the applicable
standards (or FELs) when tested in accordance with the supplemental test
procedures specified in Sec. 1042.515 at loads greater than or equal to
45 percent of the maximum power at rated speed or 1.50 times the
applicable standards (or FELs) at loads less than 45 percent of the
maximum power at rated speed.
(B) As an option, the manufacturer may instead choose to comply with
limits of 1.25 times the applicable standards (or FELs) when tested over
the whole power range in accordance with the supplemental test
procedures specified in Sec. 1042.515.
(ii) Recreational marine engines. (A) 1.20 times the applicable
standards (or FELs) when tested in accordance with the supplemental test
procedures specified in Sec. 1042.515 at loads greater than or equal to
45 percent of the maximum power at rated speed and speeds less than 95
percent of maximum test speed, or 1.50 times the applicable standards
(or FELs) at loads less than 45 percent of the maximum power at rated
speed, or 1.50 times the applicable standards (or FELs) at any loads for
speeds greater than or equal to 95 percent of the maximum test speed.
(B) As an option, the manufacturer may instead choose to comply with
limits of 1.25 times the applicable standards (or FELs) when tested over
the whole power range in accordance with the supplemental test
procedures specified in Sec. 1042.515.

[73 FR 37243, June 30, 2008, as amended at 75 FR 23012, Apr. 30, 2010;
86 FR 34513, June 29, 2021]

Appendix II to Part 1042-- Steady-State Duty Cycles

(a) The following duty cycles apply as specified in Sec.
1042.505(b)(1):
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Percent of
E3 mode No. Engine speed \1\ maximum test Weighting
power factors
----------------------------------------------------------------------------------------------------------------
1............................................. Maximum test speed.............. 100 0.2
2............................................. 91%............................. 75 0.5
3............................................. 80%............................. 50 0.15
4............................................. 63%............................. 25 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Maximum test speed is defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.

(2) The following duty cycle applies for ramped-modal testing:

[[Page 544]]

4a Steady-state......................... 175 80%....................... 50%.
----------------------------------------------------------------------------------------------------------------
\1\ Maximum test speed is defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20 second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(b) The following duty cycles apply as specified in Sec.
1042.505(b)(2):
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Percent of
E5 mode No. Engine speed \1\ maximum test Weighting
power factors
----------------------------------------------------------------------------------------------------------------
1............................................. Maximum test speed.............. 100 0.08
2............................................. 91%............................. 75 0.13
3............................................. 80%............................. 50 0.17
4............................................. 63%............................. 25 0.32
5............................................. Warm idle....................... 0 0.3
----------------------------------------------------------------------------------------------------------------
\1\ Maximum test speed is defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1 3\ Power (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state......................... 167 Warm idle................. 0.
1b Transition........................... 20 Linear transition......... Linear transition in
torque.
2a Steady-state......................... 85 Maximum test speed........ 100%.
2b Transition........................... 20 Linear transition......... Linear transition in
torque.
3a Steady-state......................... 354 63%....................... 25%.
3b Transition........................... 20 Linear transition......... Linear transition in
torque.
4a Steady-state......................... 141 91%....................... 75%.
4b Transition........................... 20 Linear transition......... Linear transition in
torque.
5a Steady-state......................... 182 80%....................... 50%.
5b Transition........................... 20 Linear transition......... Linear transition in
torque.
6 Steady-state.......................... 171 Warm idle................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Maximum test speed is defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20 second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(c) The following duty cycles apply as specified in Sec.
1042.505(b)(3):
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
E2 mode No. Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................. Engine Governed................. 100 0.2
2............................................. Engine Governed................. 75 0.5
3............................................. Engine Governed................. 50 0.15
4............................................. Engine Governed................. 25 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed Torque (percent)\1 2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state...................... 229 Engine Governed........ 100%.
1b Transition........................ 20 Engine Governed........ Linear transition.
2a Steady-state...................... 166 Engine Governed........ 25%.
2b Transition........................ 20 Engine Governed........ Linear transition.
3a Steady-state...................... 570 Engine Governed........ 75%.
3b Transition........................ 20 Engine Governed........ Linear transition.
4a Steady-state...................... 175 Engine Governed........ 50%.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum test torque as 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 torque setting of the current mode to the torque setting of the next mode.

[81 FR 74156, Oct. 25, 2016]

[[Page 545]]

Sec. Appendix III to Part 1042--Not-to-Exceed Zones

(a) The following definitions apply for this Appendix III:
(1) Percent power means the percentage of the maximum power achieved
at Maximum Test Speed (or at Maximum Test Torque for constant-speed
engines).
(2) Percent speed means the percentage of Maximum Test Speed.
(b) Figure 1 of this Appendix illustrates the default NTE zone for
marine engines certified using the duty cycle specified in Sec.
1042.505(b)(1), except for variable-speed propulsion marine engines used
with controllable-pitch propellers or with electrically coupled
propellers, as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power / 100 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent power / 100 <= (percent speed / 90) \3.5\.
(iii) Percent power / 100 = 3.0 [middot] (1-percent speed
/ 100).
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power / 100 = 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent power / 100 <= (percent speed / 90) \3.5\.
(iii) Percent power / 100 < 3.0 [middot] (1-percent speed / 100).
(iv) Percent speed / 100 = 0.7.
(3) Note that the line separating Subzone 1 and Subzone 2 includes
the following endpoints:
(i) Percent speed = 78.9 percent; Percent power = 63.2 percent.
(ii) Percent speed = 84.6 percent; Percent power = 46.1 percent.
[GRAPHIC] [TIFF OMITTED] TR25OC16.153

(c) Figure 2 of this Appendix illustrates the default NTE zone for
recreational marine engines certified using the duty cycle specified in
Sec. 1042.505(b)(2), except for variable-speed marine engines used with
controllable-pitch propellers or with electrically coupled propellers,
as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power / 100 = 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent power / 100 <= (percent speed / 90) \3.5\.
(iii) Percent power / 100 = 3.0 [middot] (1-percent speed
/ 100).
(iv) Percent power <= 95 percent.
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power / 100 = 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent power / 100 <= (percent speed / 90) \3.5\.
(iii) Percent power / 100 < 3.0 [middot] (1-percent speed / 100).
(iv) Percent speed = 70 percent.

[[Page 546]]

(3) Subzone 3 is defined by the following boundaries:
(i) Percent power / 100 <= (percent speed / 90) \3.5\.
(ii) Percent power 95 percent.
(4) Note that the line separating Subzone 1 and Subzone 3 includes a
point at Percent speed = 88.7 percent and Percent power = 95.0 percent.
See paragraph (b)(3) of this appendix regarding the line separating
Subzone 1 and Subzone 2.
[GRAPHIC] [TIFF OMITTED] TR25OC16.154

(d) Figure 3 of this Appendix illustrates the default NTE zone for
variable-speed marine engines used with controllable-pitch propellers or
with electrically coupled propellers that are certified using the duty
cycle specified in Sec. 1042.505(b)(1), (2), or (3), as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power / 100 = 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent power / 100 = 3.0 [middot] (1-percent speed
/ 100).
(iii) Percent speed = 78.9 percent.
(2) Subzone 2a is defined by the following boundaries:
(i) Percent power / 100 = 0.7 [middot] (percent speed /
100) \2.5\.
(ii) Percent speed =70 percent.
(iii) Percent speed <78.9 percent, for Percent power 63.3
percent.
(iv) Percent power / 100 <3.0 [middot] (1-percent speed / 100), for
Percent speed =78.9 percent.
(3) Subzone 2b is defined by the following boundaries:
(i) The line formed by connecting the following two points on a plot
of speed-vs.-power:
(A) Percent speed = 70 percent; Percent power = 28.7 percent.
(B) Percent power = 40 percent; Speed = governed speed.
(ii) Percent power / 100 < 0.7 [middot] (percent speed / 100)\2.5\.
(4) Note that the line separating Subzone 1 and Subzone 2a includes
the following endpoints:
(i) Percent speed = 78.9 percent; Percent power = 63.3 percent.
(ii) Percent speed = 84.6 percent; Percent power = 46.1 percent.

[[Page 547]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.155

(e) Figure 4 of this Appendix illustrates the default NTE zone for
constant-speed engines certified using a duty cycle specified in Sec.
1042.505(b)(3) or (4), as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power =70 percent.
(ii) [Reserved]
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power <70 percent.
(ii) Percent power =40 percent.

[[Page 548]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.156

(f) Figure 5 of this Appendix illustrates the default NTE zone for
variable-speed auxiliary marine engines certified using the duty cycle
specified in Sec. 1042.505(b)5)(ii) or (iii), as follows:
(1) The default NTE zone is defined by the boundaries specified in
40 CFR 86.1370(b)(1), (2), and (4).
(2) A special PM subzone is defined in 40 CFR 1039.515(b).

[[Page 549]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.157

[81 FR 74157, Oct. 25, 2016]

PART 1043_CONTROL OF NOX, SOX, AND PM EMISSIONS FROM MARINE ENGINES AND
VESSELS SUBJECT TO THE MARPOL PROTOCOL--Table of Contents

Sec.
1043.1 Overview.
1043.5 Effective dates.
1043.10 Applicability.
1043.20 Definitions.
1043.30 General obligations.
1043.40 EIAPP certificates.
1043.41 EIAPP certification process.
1043.50 Approval of methods to meet Tier 1 retrofit NOX
standards.
1043.55 Applying equivalent controls instead of complying with fuel
requirements.
1043.60 Operating requirements for engines and vessels subject to this
part.
1043.70 General recordkeeping and reporting requirements.
1043.80 Recordkeeping and reporting requirements for fuel suppliers.
1043.90 [Reserved]
1043.95 Great Lakes provisions.
1043.97 Interim provisions.
1043.100 Incorporation by reference.

Authority: 33 U.S.C. 1901-1912.

Source: 75 FR 23013, Apr. 30, 2010, unless otherwise noted.

Sec. 1043.1 Overview.

The Act to Prevent Pollution from Ships (APPS) requires engine
manufacturers, owners and operators of vessels, and other persons to
comply with Annex VI of the MARPOL Protocol. This part implements
portions of APPS as it relates to Regulations 13, 14 and 18 of Annex VI.
These regulations clarify the application of some Annex VI provisions;
provide procedures and criteria for the issuance of EIAPP certificates;
and specify requirements applicable to ships that are not registered by
Parties to Annex VI. This part includes provisions to apply the
equivalency provisions of Regulation 4 of Annex VI with respect to
Regulations 14 and 18 of Annex VI. Additional regulations may also apply
with respect to the Annex VI, such as those issued separately by the
U.S. Coast Guard. Note that references in this part to a specific
subsection of an Annex VI regulation (such as Regulation 13.5.1) reflect
the regulation numbering of the 2008 Annex VI (incorporated by reference
in Sec. 1043.100).
(a) The general requirements for non-public U.S.-flagged and other
Party vessels are specified in Annex VI, as

[[Page 550]]

implemented by 33 U.S.C. 1901-1915. These requirements apply to engine
manufacturers, owners and operators of vessels, and other persons.
(b) The provisions of this part specify how Regulations 13, 14 and
18 of Annex VI, as implemented by APPS, will be applied to U.S.-flagged
vessels that operate only domestically.
(c) This part implements section 33 U.S.C. 1902(e) by specifying
that non-public vessels flagged by a country that is not a party to
Annex VI are subject to certain provisions under this part that are
equivalent to the substantive requirements of Regulations 13, 14 and 18
of Annex VI as implemented by APPS.
(d) This part also describes where the requirements of Regulation
13.5.1 of Annex VI and Regulation 14.4 of Annex VI will apply.
(e) This part 1043 does not limit the requirements specified in
Annex VI, as implemented by APPS, except as specified in Sec.
1043.10(a)(2) and (b)(3).
(f) Nothing in this part limits the operating requirements and
restrictions applicable for engines and vessels subject to 40 CFR part
1042 or the requirements and restrictions applicable for fuels subject
to 40 CFR part 1090.
(g) The provisions of this part specify how to obtain EIAPP
certificates and certificates for Approved Methods.

[75 FR 23013, Apr. 30, 2010, as amended at 85 FR 78468, Dec. 4, 2020]

Sec. 1043.5 Effective dates.

(a) The requirement of APPS for marine vessels to comply with Annex
VI of the MARPOL Protocol is in effect.
(b) [Reserved]
(c) Compliance with the applicable regulations of this part is
required for all persons as of July 1, 2010. (Note that certain
requirements begin later, as described in paragraph (d) of this
section.) Note also that compliance with Sec. Sec. 1043.40 and 1043.41
is required to obtain EIAPP certificates under this part whether the
application is submitted before July 1, 2010 or later.
(d) Compliance with the requirements related to ECAs are effective
as follows:
(1) Compliance with the ECA NOX requirements (see Sec.
1043.60(a)) is required beginning on the date on which the ECA enters
into force for the United States under Annex VI.
(2) Compliance with the fuel content requirements applicable within
ECAs and ECA associated areas (see Sec. 1043.60(b)) is required
beginning 12 months after date on which the ECA enters into force for
the United States under Annex VI.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]

Sec. 1043.10 Applicability.

(a) U.S.-flagged vessels. The provisions of this part apply for all
U.S.-flagged vessels wherever they are located (including engines
installed or intended to be installed on such vessels), except as
specified in this paragraph (a) or in Sec. 1043.95.
(1) Public vessels are excluded from this part.
(2) Vessels that operate only domestically and conform to the
requirements of this paragraph (a)(2) are excluded from Regulation 13 of
Annex VI and the NOX-related requirements of this part
(including the requirement to obtain an EIAPP certificate and to keep a
Technical File and an Engine Book of Record Parameters). For the purpose
of this exclusion, the phrase ``operate only domestically'' means the
vessels do not enter waters subject to the jurisdiction or control of
any foreign country, except for Canadian portions of the Great Lakes.
(See Sec. Sec. 1043.60 and 1043.70 for provisions related to fuel use
by such vessels). To be excluded, the vessel must conform to each of the
following provisions:
(i) All compression-ignition engines on the vessel must conform
fully to all applicable provisions of 40 CFR parts 94 and 1042.
(ii) The vessel may not contain any engines with a specific engine
displacement at or above 30.0 liters per cylinder.
(iii) Any engine installed in the vessel that is not covered by an
EIAPP certificate must be labeled as specified in 40 CFR 1042.135 with
respect to whether it meets the requirements of Regulation 13 of Annex
VI.
(b) Foreign-flagged vessels. The provisions of this part apply for
all non-public foreign-flagged vessels (including

[[Page 551]]

engines installed on such vessels) as follows:
(1) The requirements of this part apply for foreign-flagged vessels
operating in U.S. navigable waters or the U.S. EEZ.
(2) For non-public vessels flagged by a country that is not a party
to Annex VI, the requirements of this part apply in the same manner as
apply for Party vessels, except as otherwise provided in this part. For
example, see Sec. 1043.30(c)(4) for provisions related to showing
compliance with this requirement without an EIAPP certificate. See Sec.
1043.60 for specific operating requirements.
(3) Canadian vessels that operate only within the Great Lakes and
are subject to an alternative NOX control measure established
by the Canadian government are excluded from the NOX-related
requirements of this part.
(c) Fuel suppliers. The provisions of Sec. 1043.80 apply for all
persons supplying fuel to any vessel subject to this part.
(d) Sea bed mineral exploration. This part does not apply to
emissions directly arising from the exploration, exploitation, and
associated offshore processing of sea-bed mineral resources. Note that
other regulations apply with respect to these emissions in certain
circumstances, and that engines that are not solely dedicated to such
activities are otherwise subject to all requirements of this part.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]

Sec. 1043.20 Definitions.

The following definitions apply to this part:
2008 Annex VI means Annex VI to the MARPOL Protocol, including the
amendments from Annex 12, adopted through April 2014 (incorporated by
reference in Sec. 1043.100). This version of Annex VI does not include
any amendments that may be adopted in the future. This 2008 version
applies for certain provisions of this part such as those applicable for
internal waters and for non-Party vessels.
Administrator means the Administrator of the Environmental
Protection Agency.
Annex VI means Annex VI of the MARPOL Protocol.
APPS means the Act to Prevent Pollution from Ships (33 U.S.C. 1901-
1915).
Designated Certification Officer means the EPA official to whom the
Administrator has delegated authority to issue EIAPP certificates. Note
that the Designated Certification Officer is also delegated certain
authorities under this part in addition to the authority to issue EIAPP
certificates.
ECA associated area means the U.S. internal waters that are
navigable from the ECA. This term does not include internal waters that
are shoreward of ocean waters that are not part of an emission control
area.
EIAPP certificate means a certificate issued to certify initial
compliance with Regulation 13 of Annex VI. (Note that EIAPP stands for
Engine International Air Pollution Prevention under Annex VI.)
Emission control area (ECA) means an area designated pursuant to
Annex VI as an Emission Control Area that is in force.
Engine has the meaning given in 40 CFR 1068.30.
EPA means the United States Environmental Protection Agency.
Foreign-flagged vessel means a vessel of foreign registry or a
vessel operated under the authority of a country other than the United
States.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
We will evaluate engineering judgments as described in 40 CFR 1068.5.
Great Lakes means all the streams, rivers, lakes, and other bodies
of water that are within the drainage basin of the St. Lawrence River,
west of Anticosti Island.
IMO means the International Maritime Organization.
Major conversion has the meaning given in 2008 Annex VI
(incorporated by reference in Sec. 1043.100).
MARPOL Protocol has the meaning given in 33 U.S.C. 1901.
Navigable waters has the meaning given in 33 U.S.C. 1901.
Non-Party vessel means a vessel flagged by a country that is not a
party to Annex VI.
NOX Technical Code means the ``Technical Code on Control of Emission
of Nitrogen Oxides from Marine

[[Page 552]]

Diesel Engines'' adopted by IMO (incorporated by reference in Sec.
1043.100). The Technical Code is part of 2008 Annex VI.
Operator has the meaning given in 33 U.S.C. 1901.
Owner has the meaning given in 33 U.S.C. 1901.
Party vessel means a vessel flying the flag of, registered in, or
operating under the authority of a country that is a party to Annex VI.
Person has the meaning given in 33 U.S.C. 1901.
Public vessels means warships, naval auxiliary vessels, and other
vessels owned or operated by a sovereign country when engaged in
noncommercial service. Vessels with a national security exemption under
40 CFR 80.606 or 1042.635 are deemed to be public vessels.
Secretary has the meaning given in 33 U.S.C. 1901.
U.S. EEZ means the Exclusive Economic Zone of the United States, as
defined in Presidential Proclamation 5030 of March 10, 1983.
U.S.-flagged vessel means a vessel of U.S. registry or a vessel
operated under the authority of the United States.
Vessel has the meaning given to ``ship'' in APPS.
We means EPA.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]

Sec. 1043.30 General obligations.

(a) 33 U.S.C. 1907 prohibits any person from violating any
provisions of the MARPOL Protocol, whether or not they are a
manufacturer, owner or operator. For manufacturers, owners and operators
of vessels subject to this part, it is the responsibility of such
manufacturers, owners and operators to ensure that all employees and
other agents operating on their behalf comply with these requirements.
(b) Manufacturers of engines to be installed on U.S. vessels subject
to this part must obtain an EIAPP certificate for an engine prior to it
being installed in a vessel.
(c) Engines with power output of more than 130 kW that are listed in
this paragraph (c) must be covered by a valid EIAPP certificate,
certifying the engine meets the applicable emission standards of Annex
VI, unless the engine is excluded under Sec. 1043.10 or paragraph (d)
of this section. An EIAPP certificate is valid for a given engine only
if it certifies compliance with the tier of standards applicable to that
engine and the vessel into which it is being installed (or a later
tier). Note that none of the requirements of this paragraph (c) are
limited to new engines.
(1) Engines meeting any of the following criteria must be covered by
a valid EIAPP certificate:
(i) Engines installed (or intended to be installed) on vessels that
were constructed on or after January 1, 2000. This includes engines that
met the definition of ``new marine engine'' in 40 CFR 1042.901 at any
time on or after January 1, 2000, unless such engines are installed on
vessels that were constructed before January 1, 2000.
(ii) Engines that undergo a major conversion on or after January 1,
2000, unless the engines have been exempt from this requirement under
paragraph (e) of this section.
(2) For such engines intended to be installed on U.S.-flagged
vessels, the engine may not be introduced into U.S. commerce before it
is covered by a valid EIAPP certificate, except as allowed by this
paragraph (c)(2).
(i) This paragraph (c)(2) does not apply for engines installed on
vessels excluded under this part 1043.
(ii) Engines without a valid EIAPP certificate (because they are
intended for domestic use only) may be introduced into U.S. commerce,
but may not be installed on vessels that do not meet the requirements of
Sec. 1043.10(a)(2).
(iii) Engines that have been temporarily exempted by EPA under 40
CFR part 1042 or part 1068 may be introduced into U.S. commerce without
a valid EIAPP certificate to the same extent they are allowed to be
introduced into U.S. commerce without a valid part 1042 certificate of
conformity, however, this allowance does not affect whether the engine
must ultimately be covered by an EIAPP certificate. Unless otherwise
excluded or exempted under this part 1043, the engine must be covered by
an EIAPP certificate before being placed into service. For example,

[[Page 553]]

engines allowed to be temporarily distributed in an uncertified
configuration under 40 CFR 1068.260 would not be required to be covered
by an EIAPP certificate while it is covered by the temporary exemption
under 40 CFR 1068.260; however, it would be required to be covered by an
EIAPP certificate before being placed into service.
(iv) All uninstalled marine engines within the United States are
presumed to be intended to be installed on a U.S.-flagged vessel, unless
there is clear and convincing evidence to the contrary.
(3) For engines installed on Party vessels, the engine may not
operate in the U.S. navigable waters or the U.S. exclusive economic
zone, or other areas designated under 33 U.S.C. 1902(a)(5)(B)(iii),
(C)(iii), or (D)(iv) unless it is covered by a valid EIAPP certificate.
(4) Engines installed on non-Party vessels are not required to have
EIAPP certificates, but the operator must have evidence of conformity
with Regulation 13 of Annex VI issued by either the government of a
country that is party to Annex VI or a recognized classification
society. For the purposes of this paragraph, ``recognized classification
society'' means a classification society that is a participating member
of the International Association of Classification Societies (IACS).
(d) In addition to the engines excluded under Sec. 1043.10, the
following engines are excluded from the requirement to have an EIAPP
certificate (or equivalent demonstration of compliance in the case of
non-Party vessels) or otherwise meet the requirements of Regulation 13
of Annex VI.
(1) Spark-ignition engines.
(2) Non-reciprocating engines.
(3) Engines that do not use liquid fuel.
(4) Engines intended to be used solely for emergencies. This
includes engines that power equipment such as pumps that are intended to
be used solely for emergencies and engines installed in lifeboats
intended to be used solely for emergencies. It does not include engines
to be used for both emergency and non-emergency purposes.
(e) The following requirements apply to Party vessels, including
U.S.-flagged vessels:
(1) The requirements specified in Annex VI apply for vessels subject
to this part for operation in U.S. navigable waters or the U.S. EEZ.
(See Sec. 1043.60 for a summary of the standards included in these
requirements.)
(2) Vessels operating in an ECA must also comply with the
requirements of Annex VI applicable to operation in an ECA.
(3) Vessels operating in waters of an ECA associated area must also
comply with the requirements in Sec. 1043.60.
(f) The following requirements apply to non-Party vessels:
(1) Non-Party vessels operating in U.S. navigable waters or the U.S.
EEZ must comply with the operating and recordkeeping requirements of the
2008 Annex VI (incorporated by reference in Sec. 1043.100) related to
Regulations 13, 14 and 18 of the 2008 Annex VI. This paragraph (f)(1)
does not address requirements of other portions of Annex VI.
(2) Non-Party vessels operating in an ECA or ECA associated area
must also comply with the requirements in Sec. 1043.60.
(g) A replacement engine may be exempted by EPA from Regulation 13
of Annex VI and the NOX-related requirements of this part if
it is identical to the engine being replaced and the old engine was not
subject to Regulation 13 of Annex VI. Send requests for such exemptions
to the Designated Certification Officer.
(h) Compliance with the provisions of this part 1043 does not affect
your responsibilities under 40 CFR part 1042 for engines subject to that
part 1042.

Sec. 1043.40 EIAPP certificates.

(a) Engine manufacturers seeking EIAPP certificates for new engines
to be used in U.S.-flagged vessels must apply to EPA for an EIAPP
certificate in compliance with the requirements of this section (which
references 40 CFR part 1042). Note that under APPS engine manufacturers
must comply with the applicable requirements of Regulation 13 of Annex
VI to obtain a certificate. Note also that only the Administrator or the
EPA official designated by the Administrator may issue EIAPP
certificates on behalf of the U.S. Government.

[[Page 554]]

(b) Persons other than engine manufacturers may apply for and obtain
EIAPP certificates for new engines to be used in U.S.-flagged vessels by
complying with the requirements of this section (which references 40 CFR
part 1042) and the applicable requirements of Regulation 13 of Annex VI.
(c) In appropriate circumstances, EPA may issue an EIAPP certificate
under this section for non-new engines or engines for vessels that will
not initially be flagged in the U.S.
(d) EPA may issue both an EPA certificate and an EIAPP certificate
for the same engine, as long as the manufacturer and the engine meet all
applicable requirements. EPA may not issue an EIAPP certificate if the
engine is certified with an FEL under 40 CFR part 1042 that is higher
than the applicable NOX emission standard under Annex VI.
(e) The process for obtaining an EIAPP certificate is described in
Sec. 1043.41. That section references regulations in 40 CFR part 1042,
which apply under the Clean Air Act. References in that part to
certificates of conformity are deemed to mean EIAPP certificates.
References in that part to the Clean Air Act as the applicable statute
are deemed to mean 33 U.S.C. 1901-1915.
(f) For engines that undergo a major conversion or for engines
installed on imported vessels that become subject to the requirements of
this part, we may specify alternate certification provisions consistent
with the intent of this part.
(g) This paragraph (g) applies for engines that were originally
excluded from this part because they were intended for domestic use and
were introduced into U.S. commerce without an EIAPP certificate. Note
that such engines must be labeled as specified under 40 CFR 1042.135 to
indicate that they are intended for domestic use. Such engines may be
installed on vessels not intended only for domestic operation provided
the engine manufacturer, vessel manufacturer, or vessel owner obtains an
EIAPP certificate. Similarly, vessels originally intended only for
domestic operation may be used internationally provided the engine
manufacturer, vessel manufacturer, or vessel owner obtains an EIAPP
certificate. The limitations for engine manufacturers described in
paragraphs (a) and (d) of this section also apply for all EIAPP
certificates issued under this paragraph (g). In either case, the
Technical File must specify that the engine was originally certified for
domestic use only, prior to being covered by an EIAPP certificate.
Engine manufacturers may provide a supplemental label to clarify that
the engine is no longer limited to domestic service. An engine
manufacturer, vessel manufacturer, or vessel owner may also ask to apply
the provisions of this paragraph (g) to engines originally certified for
public vessels.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015]

Sec. 1043.41 EIAPP certification process.

This section describes the process for obtaining the EIAPP
certificate required by Sec. 1043.40.
(a) You must send the Designated Certification Officer a separate
application for an EIAPP certificate for each engine family. An EIAPP
certificate is valid starting with the indicated effective date and is
valid for any production until such time as the design of the engine
family changes or more stringent emission standards become applicable,
whichever comes first. Note that an EIAPP certificate demonstrating
compliance with Tier I or Tier II standards (but not the Tier III
standard) is only a limited authorization to install engines on vessels.
For example, you may produce such Tier I or Tier II engines, but those
engines may not be installed in vessels that are subject to Tier III
standards. You may obtain preliminary approval of portions of the
application under 40 CFR 1042.210.
(b) The application must contain all the information required by
this part. It must not include false or incomplete statements or
information (see 40 CFR 1042.255). Include the information specified in
40 CFR 1042.205 except as follows:
(1) You must include the dates on which the test engines were built
and the locations where the test engines were built.

[[Page 555]]

(2) Include a copy of documentation required by this part related to
maintenance and in-use compliance for operators, such as the Technical
File and onboard NOX verification procedures as specified by
the NOX Technical Code (incorporated by reference in Sec.
1043.100).
(3) You are not required to provide information specified in 40 CFR
1042.205 regarding useful life, emission labels, deterioration factors,
PM emissions, or not-to-exceed standards.
(4) You must include a copy of your warranty instructions, but are
not required to describe how you will meet warranty obligations.
(c) We may ask you to include less information than we specify in
this section as long as you maintain all the information required by
paragraph (b) of this section.
(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 40 CFR 1042.255 for provisions describing how we will
process your application.
(g) Your application, including the Technical File and onboard
NOX verification procedures, is subject to amendment as
described in 40 CFR 1042.225.
(h) Perform emission tests as follows:
(1) Select an emission-data engine from each engine family for
testing. For engines at or above 560 kW, you may use a development
engine that is equivalent in design to the engine being certified. For
Category 3 engines, you may use a single-cylinder version of the engine.
Using good engineering judgment, select the engine configuration most
likely to exceed an applicable emission standard, considering all
exhaust emission constituents and the range of installation options
available to vessel manufacturers.
(2) Test your emission-data engines using the procedures and
equipment specified in 40 CFR part 1042, subpart F, or in the
NOX Technical Code (incorporated by reference in Sec.
1043.100). We may require that your test be witnessed by an EPA
official.
(3) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
(i) We may decide to do the testing at your plant or any other
facility. You must deliver the test engine to any test facility we
designate. The test 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.
(ii) If we measure emissions from one of your test engines, the
results of that testing become the official emission results for the
engine. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets applicable
requirements.
(iii) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see 40
CFR 1042.115(d)).
(iv) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
(4) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under paragraph
(b) of this section.
(5) 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 otherwise required by this part, we may
reject data you generated using the alternate procedure.
(i) Collect emission data using measurements to one more decimal
place than the applicable standard, then round the value 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.
(j) Your engine family is considered in compliance with the emission
standards in Regulation 13 of Annex VI if all emission-data engines
representing

[[Page 556]]

that family have test results showing emission levels at or below these
standards. Your engine family is deemed not to comply if any emission-
data engine representing that family has test results showing an
emission level above an applicable emission standard for any pollutant.
(k) If we determine your application is complete and shows that the
engines meet all the requirements of this part, we will issue an EIAPP
certificate for your engines. We may make the approval subject to
additional conditions.

[75 FR 23013, Apr. 30, 2010, as amended at 86 FR 34513, June 29, 2021]

Sec. 1043.50 Approval of methods to meet Tier 1 retrofit NOX standards.

Regulation 13 of Annex VI provides for certification of Approved
Methods, which are retrofit procedures that enable Pre-Tier 1 engines to
meet the Tier 1 NOX standard of regulation 13 of Annex VI.
Any person may request approval of such a method by submitting an
application for certification of an Approve Method to the Designated
Certification Officer. If we determine that your application conforms to
the requirements of Regulation 13 of Annex VI, we will issue a
certificate and notify IMO that your Approved Method has been certified.

Sec. 1043.55 Applying equivalent controls instead of complying with
fuel requirements.

Regulation 4 of Annex VI allows Administrations to approve the use
of fuels not meeting the requirements of Regulation 14 of the Annex,
provided the vessel applies a method that results in equivalent emission
reductions. This section describes provisions related to applying this
allowance.
(a) Any person may request approval of such equivalent methods for
controlling emissions on U.S.-flagged vessels by submitting an
application for certification of an equivalent control method to the
Designated Certification Officer. If we determine that your control
method achieves emission levels equivalent to those achieved by the use
of fuels meeting the requirements of Regulation 14 of Annex VI, we will
issue a certificate and notify IMO that your method has been certified.
(b) The provisions of this paragraph (b) apply for vessels equipped
with controls certified by the Administration of a foreign flag vessel
to achieve emission levels equivalent to those achieved by the use of
fuels meeting the applicable fuel sulfur limits of Regulation 14 of
Annex VI. Fuels not meeting the applicable fuel sulfur limits of
Regulation 14 of Annex VI may be used on such vessels consistent with
the provisions of the IAPP certificate, APPS and Annex VI.
(c) Compliance with the requirements of this section does not affect
the applicability of requirements or prohibitions specified by other
statutes or regulations with respect to water pollution.

Sec. 1043.60 Operating requirements for engines and vessels subject
to this part.

This section specifies the operating requirements of this part. Note
that it does not limit the operating requirements of APPS or Annex VI
that are applicable to U.S.-flagged vessels outside of U.S. domestic
waters.
(a) Except as specified otherwise in this part, NOX
emission limits apply to all engines with power output of more than 130
kW that will be installed on vessels subject to this part as specified
in the following table:

Table 1 to Sec. 1043.60 Annex VI NOX Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Maximum in-use engine speed
Area of Implementation date -----------------------------------------------
Tier applicability \a\ Less than 130 130-2000 RPM
RPM \b\ Over 2000 RPM
----------------------------------------------------------------------------------------------------------------
Tier I............... All U.S. navigable January 1, 2004- 17.0 45.0 [middot] 9.8
waters and EEZ. December 31, 2010. n (-0.20)
Tier II.............. All U.S. navigable January 1, 2011- 14.4 44.0 [middot] 7.7
waters and EEZ. December 31, 2015. n (-0.23)
Tier II.............. All U.S. navigable January 1, 2016 and 14.4 44.0 [middot] 7.7
waters and EEZ, later. n (-0.23)
excluding ECA and
ECA associated
areas.

[[Page 557]]

Tier III............. ECA and ECA January 1, 2016 and 3.4 9.0 [middot] n 2.0
associated areas. later \c\. (-0.20)
----------------------------------------------------------------------------------------------------------------
\a\ Standards apply for engines installed on vessels with a build date in the specified time frame, or for
engines that undergo a major conversion in the specified time frame.
\b\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
1042.140). Round the standards to one decimal place.
\c\ In the case of recreational vessels of less than 500 gross tonnage with length at or above 24 meters, the
Tier III standards start to apply January 1, 2021.

(b) Except as specified otherwise in this part, fuel sulfur limits
apply to all vessels subject to this part as specified in the following
table:

Table 2 to Sec. 1043.60 Annex VI Fuel Sulfur Limits (wt %) \a\
------------------------------------------------------------------------
Sulfur limit in Sulfur limit in
all U.S. ECA and ECA
Calendar years navigable waters associated areas
and EEZ (percent) (percent)
------------------------------------------------------------------------
2010-2011......................... 4.50 1.00
2012-2014......................... 3.50 1.00
2015-2019......................... 3.50 0.10
2020 and later.................... 0.50 0.10
------------------------------------------------------------------------
\a\ Note that Regulation 3 and Regulation 4 of Annex VI allow for the
use of noncompliant fuel in certain circumstances.

(c) Operators of non-Party vessels must comply with the requirements
of paragraphs (a) and (b) of this section as well as other operating
requirements and restrictions specified in 2008 Annex VI (incorporated
by reference in Sec. 1043.100) related to Regulations 13, 14, and 18.
(d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements of
this part under Sec. 1043.10(a)(2) or (b)(3) because they operate only
domestically. Where the vessels operate using only fuels meeting the
specifications of 40 CFR part 1090 for distillate fuel, they are deemed
to be in full compliance with the fuel use requirements and prohibitions
of this part and of Regulations 14 and 18 of Annex VI.
(e) Except as noted in paragraph (d) of this section, nothing in
this section limits the operating requirements and restrictions of Annex
VI, as implemented by APPS, for Party vessels, including U.S.-flagged
vessels. Note also that nothing in this part limits the operating
requirements and restrictions applicable for engines and vessels subject
to 40 CFR part 1042 or the requirements and restrictions applicable for
fuels subject to 40 CFR part 1090.
(f) We may exempt historic steamships from the fuel requirements of
this part for operation in U.S. internal waters. Send requests for
exemptions to the Designated Certification Officer.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9112, Feb. 19, 2015; 81
FR 74161, Oct. 25, 2016; 85 FR 78468, Dec. 4, 2020]

Sec. 1043.70 General recordkeeping and reporting requirements.

(a) Under APPS, owners and operators of Party vessels must keep
records related to NOX standards and in-use fuel
specifications such as the Technical File, the Engine Book of Record
Parameters, and bunker delivery notes. Owners and operators of non-Party
vessels must keep these records as specified in the NOX
Technical Code and Regulations 13, 14, and 18 of 2008 Annex VI
(incorporated by reference in Sec. 1043.100). We may inspect these
records as allowed by APPS. As part of our inspection, we may require
that the owner submit copies of these records to us.
(b) Nothing in this part limits recordkeeping and reporting the
Secretary may require, nor does it preclude the Secretary from providing
copies of any records to EPA.
(c) Nothing in this part limits the recordkeeping and reporting
requirements applicable with respect to engines and vessels subject to
40 CFR part 1042 or with respect to fuels subject to 40 CFR part 1090.
(d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements of
this part under

[[Page 558]]

Sec. 1043.10(a)(2) or (b)(3) because they operate only domestically.
Where the vessel operator has fuel receipts (or equivalent records) for
the preceding three years showing it operated using only fuels meeting
the specifications of 40 CFR part 1090 for distillate fuel, they are
deemed to be in full compliance with the fuel recordkeeping requirements
and prohibitions of this part and Annex VI.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9113, Feb. 19, 2015; 85
FR 78468, Dec. 4, 2020]

Sec. 1043.80 Recordkeeping and reporting requirements for fuel suppliers.

Under APPS, fuel suppliers must provide bunker delivery notes to
vessel operators for any fuel for an engine on any vessel identified in
paragraph (a) of this section. Fuel suppliers must also keep copies of
these records.
(a) The requirements of this section apply for fuel delivered to any
of the following vessels:
(1) Vessels of 400 gross tonnage and above engaged in voyages to
ports or offshore terminals under the jurisdiction of other Parties.
(2) Platforms and drilling rigs engaged in voyages to waters under
the sovereignty or jurisdiction of other Parties.
(b) Except as allowed by paragraph (c) of this section, the bunker
delivery note must contain the following:
(1) The name and IMO number of the receiving vessel.
(2) Port (or other description of the location, if the delivery does
not take place at a port).
(3) Date the fuel is delivered to the vessel (or date on which the
delivery begins where the delivery begins on one day and ends on a later
day).
(4) Name, address, and telephone number of fuel supplier.
(5) Fuel type and designation under 40 CFR part 1090.
(6) Quantity in metric tons.
(7) Density at 15 [deg]C, in kg/m\3\.
(8) Sulfur content in weight percent.
(9) A signed statement by an authorized representative of the fuel
supplier certifying that the fuel supplied conforms to Regulations 14
and 18 of Annex VI consistent with its designation, intended use, and
the date on which it is to be used. For example, with respect to
conformity to Regulation 14 of Annex VI, a fuel designated and intended
for use in an ECA any time on or after January 1, 2015 may not have a
sulfur content above 0.10 weight percent. This statement is not required
if the vessel is not subject to fuel standards of Regulation 14 of Annex
VI. The statement described in this paragraph (b)(9) is deemed to be a
submission to EPA.
(c) You may measure density and sulfur content according to the
specifications of Annex VI, or according to other equivalent methods
that we approve. Where the density and/or sulfur content of the
delivered fuel cannot be measured, we may allow the use of alternate
methods to specify the density and/or sulfur content of the fuel. For
example, where fuel is supplied from multiple tanks on a supply vessel,
we may allow the density and sulfur content of the fuel to be calculated
as a weighted average of the measured densities and sulfur contents of
the fuel that is supplied from each tank.

[75 FR 23013, Apr. 30, 2010, as amended at 80 FR 9113, Feb. 19, 2015; 85
FR 78468, Dec. 4, 2020]

Sec. 1043.90 [Reserved]

Sec. 1043.95 Great Lakes provisions.

The provisions of this section apply for vessels operating
exclusively in the Great Lakes.
(a) Notwithstanding other provisions of this part, the requirements
of this part do not apply for vessels propelled by steam turbine engines
or reciprocating steam engines (also known as steamships), provided they
were propelled by steam engines and operated within the Great Lakes
before October 30, 2009 and continue to operate exclusively within the
Great Lakes.
(b) The fuel-use requirements of this part do not apply through
December 31, 2025, for a ship qualifying under paragraph (a) of this
section if it was in service as a steamship on October 30, 2009 and it
is repowered with one or more marine diesel engines, subject to the
following conditions and requirements:

[[Page 559]]

(1) Engines must meet exhaust emission standards using one of the
following approaches:
(i) All the installed replacement engines must be certified to
applicable standards under 40 CFR part 1042 based on the date the vessel
enters dry dock for service.
(ii) We may approve the use of an engine meeting less stringent
standards if the owner can demonstrate that it took possession of the
engine before October 30, 2009, and that engine is a new engine that has
not been installed in a non-marine application. Such an engine must at a
minimum be certified to the Annex VI NOX emission standard
referenced in Sec. 1043.60 that applies based on its build date.
(2) The vessel owner must notify us regarding the intent to use this
provision. The notification must include a description of the vessel and
a summary of the project, including the expected timeline, and other
relevant information.
(3) The vessel owner must notify the Designated Certification
Officer when the project is complete. We will send the owner a statement
that the repowered ship is exempt from fuel sulfur requirements through
December 31, 2025; this statement must be kept onboard the vessel for
compliance purposes.
(4) All other requirements under this part 1043 continue to apply,
including requirements related to bunker delivery notes.
(5) This paragraph (b) applies only for vessels whose hull remains
intact through the repowering process. For example, if a steamship is
converted to a barge for use with tugboats, those vessels must use fuel
meeting the requirements of this part 1043.
(c) In cases of serious economic hardship, we may exempt Great Lakes
vessels from the otherwise applicable fuel use requirements under this
part.
(1) To be eligible, you must demonstrate that all of the following
are true:
(i) Unusual circumstances exist that impose serious economic
hardship and significantly affect your ability to comply.
(ii) You have taken all reasonable steps to minimize the extent of
the nonconformity.
(iii) No other allowances are available under the regulations in
this chapter to avoid the impending violation.
(2) Send the Designated Certification Officer a written request for
an exemption no later than January 1, 2014.
(3) Applicants must provide, at a minimum, the following
information:
(i) Detailed description of existing contract freight rates, the
additional operating costs attributed to complying with the regulations,
any loan covenants or other requirements regarding vessel financial
instruments or agreements.
(ii) Bond rating of entity that owns the vessels in question (in the
case of joint ventures, include the bond rating of the joint venture
entity and the bond ratings of all partners; in the case of
corporations, include the bond ratings of any parent or subsidiary
corporations).
(iii) Estimated capital investment needed to comply with the
requirements of this part by the applicable date.
(4) In determining whether to grant the exemptions, we will consider
all relevant factors, including the following:
(i) The number of vessels to be exempted.
(ii) The size of your company and your ability to endure the
hardship.
(iii) The length of time a vessel is expected to remain out of
compliance with this part.
(iv) The ability of an individual vessel to recover capital
investments incurred to repower or otherwise modify a vessel to reduce
air emissions.
(5) In addition to the application requirements of paragraphs (b)(1)
through (4) of this section, your application for temporary relief under
this paragraph (b) must also include a compliance plan that shows the
period over which the waiver is needed.
(6) We may impose conditions on the waiver, including conditions to
limit or recover any environmental loss.
(d) Prior to January 1, 2015, it is not a violation of this part for
vessels operating exclusively in the Great Lakes to use a residual fuel
not meeting the sulfur limits of Regulation 14.4.2 of Annex VI, where
the operator bunkers with the lowest sulfur marine residual fuel

[[Page 560]]

that was available within the port area where the vessel bunkered the
fuel. For purposes of this paragraph (c), port area means the geographic
limits of the port as specified by the Army Corps of Engineers. The
reporting and recordkeeping requirements of this part continue to apply
for such operation. In addition, if you operate using a residual fuel
not meeting the sulfur limits of Regulation 14.4.2 under this paragraph
(c), you must send a report to the Designated Certification Officer that
identifies the fuel that was used and documents how you determined that
no compliant fuel was available. You must send this report within three
months after the fueling event.

[75 FR 23013, Apr. 30, 2010, as amended at 77 FR 2478, Jan. 18, 2012; 80
FR 9113, Feb. 19, 2015]

Sec. 1043.97 Interim provisions.

(a) The fuel-related requirements under APPS for operation in the
North American ECA, the United States Caribbean Sea ECA, and ECA-
associated areas do not apply until January 1, 2020 for steamships built
on or before August 1, 2011 if they are powered by propulsion boilers
that were not originally designed for continued operation on marine
distillate fuel or natural gas.
(b) [Reserved]

[80 FR 9113, Feb. 19, 2015]

Sec. 1043.100 Incorporation by reference.

[86 FR 34513, June 29, 2021]

PART 1045_CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION MARINE ENGINES AND VESSELS--Table of Contents

Subpart A_Overview and Applicability

Sec.
1045.1 Does this part apply for my products?
1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from this part's requirements?
1045.10 How is this part organized?
1045.15 Do any other CFR parts apply to me?
1045.20 What requirements apply to my vessels?
1045.25 How do the requirements related to evaporative emissions apply
to engines and their fuel systems?
1045.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1045.101 What exhaust emission standards and requirements must my
engines meet?
1045.103 What exhaust emission standards must my outboard and personal
watercraft engines meet?
1045.105 What exhaust emission standards must my sterndrive/inboard
engines meet?

[[Page 561]]

1045.107 What are the not-to-exceed emission standards?
1045.110 How must my engines diagnose malfunctions?
1045.112 What are the standards for evaporative emissions?
1045.115 What other requirements apply?
1045.120 What emission-related warranty requirements apply to me?
1045.125 What maintenance instructions must I give to buyers?
1045.130 What installation instructions must I give to vessel
manufacturers?
1045.135 How must I label and identify the engines I produce?
1045.140 What is my engine's maximum engine power?
1045.145 Are there interim provisions that apply only for a limited
time?

Subpart C_Certifying Engine Families

1045.201 What are the general requirements for obtaining a certificate
of conformity?
1045.205 What must I include in my application?
1045.210 May I get preliminary approval before I complete my
application?
1045.220 How do I amend the maintenance instructions in my application?
1045.225 How do I amend my application for certification to include new
or modified engines or change an FEL?
1045.230 How do I select engine families?
1045.235 What emission testing must I perform for my application for a
certificate of conformity?
1045.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1045.245 How do I determine deterioration factors from exhaust
durability testing?
1045.250 What records must I keep and what reports must I send to EPA?
1045.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D_Testing Production-Line Engines

1045.301 When must I test my production-line engines?
1045.305 How must I prepare and test my production-line engines?
1045.310 How must I select engines for production-line testing?
1045.315 How do I know when my engine family fails the production-line
testing requirements?
1045.320 What happens if one of my production-line engines fails to meet
emission standards?
1045.325 What happens if an engine family fails the production-line
testing requirements?
1045.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1045.335 How do I ask EPA to reinstate my suspended certificate?
1045.340 When may EPA revoke my certificate under this subpart and how
may I sell these engines again?
1045.345 What production-line testing records must I send to EPA?
1045.350 What records must I keep?

Subpart E_In-Use Testing

1045.401 What testing requirements apply to my engines that have gone
into service?
1045.405 How does this program work?
1045.410 How must I select, prepare, and test my in-use engines?
1045.415 What happens if in-use engines do not meet requirements?
1045.420 What in-use testing information must I report to EPA?
1045.425 What records must I keep?

Subpart F_Test Procedures

1045.501 How do I run a valid emission test?
1045.505 How do I test engines using discrete-mode or ramped-modal duty
cycles?
1045.515 What are the test procedures related to not-to-exceed
standards?
1045.520 What testing must I perform to establish deterioration factors?

Subpart G_Special Compliance Provisions

1045.601 What compliance provisions apply to these engines?
1045.605 What provisions apply to engines already certified under the
motor vehicle or Large SI programs?
1045.610 What provisions apply to using engines already certified to
Small SI emission standards?
1045.620 What are the provisions for exempting engines used solely for
competition?
1045.625 What requirements apply under the Diurnal Transition Program?
1045.630 What is the personal-use exemption.
1045.635 What special provisions apply for small-volume engine
manufacturers?
1045.640 What special provisions apply to branded engines?
1045.645 What special provisions apply for converting an engine to use
an alternate fuel?
1045.650 Do delegated-assembly provisions apply for marine engines?
1045.655 What special provisions apply for installing and removing
altitude kits?
1045.660 How do I certify outboard or personal watercraft engines for
use in jet boats?

Subpart H_Averaging, Banking, and Trading for Certification

1045.701 General provisions.

[[Page 562]]

1045.705 How do I generate and calculate exhaust emission credits?
1045.706 How do I generate and calculate evaporative emission credits?
1045.710 How do I average emission credits?
1045.715 How do I bank emission credits?
1045.720 How do I trade emission credits?
1045.725 What must I include in my application for certification?
1045.730 What ABT reports must I send to EPA?
1045.735 What records must I keep?
1045.745 What can happen if I do not comply with the provisions of this
subpart?

Subpart I_Definitions and Other Reference Information

1045.801 What definitions apply to this part?
1045.805 What symbols, acronyms, and abbreviations does this part use?
1045.810 What materials does this part reference?
1045.815 What provisions apply to confidential information?
1045.820 How do I request a hearing?
1045.825 What reporting and recordkeeping requirements apply under this
part?

Appendix I to Part 1045--Summary of Previous Emission Standards
Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines

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

Source: 73 FR 59194, Oct. 8, 2008, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1045.1 Does this part apply for my products?

(a) Except as provided in Sec. 1045.5, the regulations in this part
1045 apply as follows:
(1) The requirements of this part related to exhaust emissions apply
to new, spark-ignition propulsion marine engines beginning with the 2010
model year.
(2) The requirements of this part related to evaporative emissions
apply to fuel lines and fuel tanks used with marine engines that use a
volatile liquid fuel (such as gasoline) as specified in 40 CFR part
1045.112. This includes fuel lines and fuel tanks used with auxiliary
marine engines. This also includes portable marine fuel tanks and
associated fuel lines.
(b) We specify optional standards for certifying sterndrive/inboard
engines before the 2010 model year in Sec. 1045.145(a). Engines
certified to these standards are subject to all the requirements of this
part as if these optional standards were mandatory.
(c) Outboard and personal watercraft engines originally meeting the
standards specified in appendix I of this part remain subject to those
standards. Those engines remain subject to recall provisions as
specified in 40 CFR part 1068, subpart F, throughout the useful life
corresponding to the original certification. Also, tampering and defeat-
device prohibitions continue to apply for those engines as specified in
40 CFR 1068.101.
(d) The provisions of Sec. Sec. 1045.620 and 1045.801 apply for new
engines used solely for competition beginning January 1, 2010.

[73 FR 59194, Oct. 8, 2008, as amended at 86 FR 34513, June 29, 2021]

Sec. 1045.2 Who is responsible for compliance?

The requirements and prohibitions of this part apply to
manufacturers of engines and fuel-system components as described in
Sec. 1045.1. The requirements of this part are generally addressed to
manufacturers subject to this part's requirements. The term ``you''
generally means the certifying manufacturer. For provisions related to
exhaust emissions, this generally means the engine manufacturer,
especially for issues related to certification (including production-
line testing, reporting, etc.). For provisions related to certification
with respect to evaporative emissions, this generally means the vessel
manufacturer. Vessel manufacturers must meet applicable requirements as
described in Sec. 1045.20. Engine manufacturers must meet requirements
related to evaporative emissions as described in Sec. 1045.25.

Sec. 1045.5 Which engines are excluded from this part's requirements?

(a) Auxiliary engines. The exhaust emission standards of this part
do not apply to auxiliary marine engines. See 40 CFR part 90, 1048, or
1054 for the exhaust emission standards that apply. Evaporative emission
standards apply as specified in Sec. 1045.112.

[[Page 563]]

(b) Hobby engines and vessels. This part does not apply with respect
to reduced-scale models of vessels that are not capable of transporting
a person.
(c) Large natural gas engines. Propulsion marine engines powered by
natural gas with maximum engine power at or above 250 kW are deemed to
be compression-ignition engines. These engines are therefore subject to
all the requirements of 40 CFR part 1042 instead of this part even if
they would otherwise meet the definition of ``spark-ignition'' in Sec.
1045.801.

Sec. 1045.10 How is this part organized?

This part 1045 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1045 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 engines under this part
1045. Note that Sec. 1045.145 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
production-line engines.
(e) Subpart E of this part describes general 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 and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, vessel manufacturers, owners, operators, rebuilders, and
all others.
(h) Subpart H of this part describes how you may generate and use
exhaust and evaporative emission credits to certify your engines and
vessels.
(i) Subpart I of this part contains definitions and other reference
information.

Sec. 1045.15 Do any other CFR parts apply to me?

(a) Part 1060 of this chapter describes standards and procedures
that apply for controlling evaporative emissions from engines fueled by
gasoline or other volatile liquid fuels and the associated fuel systems.
See Sec. 1045.112 for information about how that part applies.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1045 describes how to apply the provisions of part 1065
of this chapter to determine whether engines meet the exhaust emission
standards in this part.
(c) The 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 engines subject to this part
1045, or vessels powered by these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vessel
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) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part
1045.

Sec. 1045.20 What requirements apply to my vessels?

(a) If you manufacture vessels with engines certified to the exhaust
emission standards in this part, your vessels must meet all emission
standards with the engine and fuel system installed.
(b) You may need to certify your vessels or fuel systems as
described in 40 CFR 1060.1 and 1060.601. If you produce vessels subject
to this part without obtaining a certificate, you must still meet the
requirements of 40 CFR 1060.101(e) and (f) and keep records as described
in 40 CFR 1060.210.

[[Page 564]]

(c) You must identify and label vessels you produce under this
section consistent with the requirements of Sec. 1045.135 and 40 CFR
part 1060.
(d) You must follow all emission-related installation instructions
from the certifying manufacturers as described in Sec. 1045.130 and 40
CFR 1068.105. If you do not follow the installation instructions, we may
consider your vessel to be not covered by the certificates of
conformity. Introduction of such vessels into U.S. commerce violates 40
CFR 1068.101.

Sec. 1045.25 How do the requirements related to evaporative emissions
apply to engines and their fuel systems?

(a) Engine manufacturers must provide the installation instructions
required by Sec. 1045.130 to the ultimate purchasers of the engine.
These instructions may be combined with the maintenance instructions
required by Sec. 1045.125.
(b) Engines sold with attached fuel lines or installed fuel tanks
must be covered by the appropriate certificates of conformity issued
under 40 CFR part 1060.
(c) Fuel lines intended to be used with new engines and new portable
marine fuel tanks must be certified to the applicable requirements of 40
CFR part 1060. Similarly, fuel tanks intended to be used with new
engines must be certified to the applicable requirements of 40 CFR part
1060.
(d) All persons installing engines certified under this part 1045
must follow the certifying manufacturer's emission-related installation
instructions (see Sec. 1045.130 and 40 CFR 1068.105).

Sec. 1045.30 Submission of information.

(a) This part includes various requirements to record data or other
information. Refer to Sec. 1045.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. If recordkeeping requirements are not
specified, store these records in any format and on any media and keep
them readily available for one year after you send an associated
application for certification, or one year after you generate the data
if they do not support an application for certification. You must
promptly send us organized, written records in English if we ask for
them. We may review them at any time.
(b) The regulations in Sec. 1045.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1045.801).
(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.

Subpart B_Emission Standards and Related Requirements

Sec. 1045.101 What exhaust emission standards and requirements must my
engines meet?

(a) You must show that your engines meet the following requirements:
(1) Outboard and personal watercraft engines must meet the exhaust
emission standards specified in Sec. 1045.103.
(2) Sterndrive/inboard engines must meet the exhaust emission
standards specified in Sec. 1045.105. You may optionally meet these
standards earlier than we require, as specified in Sec. 1045.145(b).
(3) Sterndrive/inboard engines must meet the engine-diagnostic
requirements in Sec. 1045.110.
(4) All engines must meet the requirements in Sec. 1045.115.
(b) It is important that you read Sec. 1045.145 to determine if
there are other interim requirements or interim compliance provisions
that apply for a limited time.

Sec. 1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?

(a) Duty-cycle emission standards. Starting in the 2010 model year,
exhaust emissions from your outboard and personal watercraft engines may
not exceed emission standards as follows:

[[Page 565]]

(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) The exhaust emission standards from the following table apply:

Table 1 to Sec. 1045.103--Emission Standards for Outboard and Personal Watercraft Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Pollutant Power \1\ Emission standard
----------------------------------------------------------------------------------------------------------------
HC + NOX............................. P <=4.3 kW............. 30.0
P 4.3 kW.... 2.1 + 0.09 x (151 + 557/P\0.9\)
CO................................... P <=40 kW.............. 500 - 5.0 x P
P 40 kW..... 300
----------------------------------------------------------------------------------------------------------------
\1\ Power (P) = maximum engine power for the engine family, in kilowatts (kW).

(3) For engines whose standard depends on maximum engine power,
round the calculated HC + NOX emission standard to the
nearest 0.1 g/kW-hr; round the calculated CO emission standard to the
nearest g/kW-hr. Determine maximum engine power for the engine family as
described in Sec. 1045.140.
(b) 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 HC
+ NOX emission standards. For CO emissions, you may generate
or use emission credits for averaging as described in subpart H of this
part, but such credits may not be banked or traded. To generate or use
emission credits, you must specify a family emission limit for each
pollutant you include in the ABT program for each engine family. These
family emission limits serve as the emission standards for the engine
family with respect to all required testing instead of the standards
specified in this section. An engine family meets emission standards
even if its family emission limit is higher than the standard, as long
as you show that the whole averaging set of applicable engine families
meets the emission standards using emission credits and the engines
within the family meet the family emission limit. The following FEL caps
apply:
(1) For engines with maximum engine power at or below 4.3 kW, the
maximum value of the family emission limit for HC + NOX is
81.0 g/kW-hr. For all other engines, the maximum value of the family
emission limit for HC + NOX is defined by the following
formula, with results rounded to the nearest 0.1 g/kW-hr:
[GRAPHIC] [TIFF OMITTED] TR08OC08.088

(2) For engines with maximum engine power above 40 kW, the maximum
value of the family emission limit for CO is 450 g/kW-hr. For all other
engines, the maximum value is defined by the following formula, with
results rounded to the nearest g/kW-hr:

FELmax,CO = 650 - 5.0 x P
(c) Not-to-exceed emission standards. Exhaust emissions may not
exceed the not-to-exceed standards specified in Sec. 1045.107.
(d) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the engine
family are designed to operate. You must meet the numerical emission
standards for hydrocarbons in this section based on the following types
of hydrocarbon emissions for engines powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.

[[Page 566]]

(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over the full
useful life as follows:
(1) For outboard engines, the minimum useful life is 350 hours of
engine operation or 10 years, whichever comes first.
(2) For personal watercraft engines, the minimum useful life is 350
hours of engine operation or 5 years, whichever comes first.
(3) You must specify a longer useful life in terms of hours for the
engine family if the average service life of your vehicles is longer
than the minimum value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine
family.
(ii) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (350 hours of engine
operation). In determining the actual average service life of vehicles
in an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1045.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.105 What exhaust emission standards must my sterndrive/inboard
engines meet?

(a) Duty-cycle emission standards. Starting in the 2010 model year,
exhaust emissions from your sterndrive/inboard engines may not exceed
emission standards as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part.
(2) For conventional sterndrive/inboard engines, the HC +
NOX emission standard is 5.0 g/kW-hr and the CO emission
standard is 75.0 g/kW-hr.
(3) The exhaust emission standards from the following table apply
for high-performance engines:

Table 1 to Sec. 1045.105--Emission Standards for High-Performance
Engines (g/kW-hr)
------------------------------------------------------------------------
Model year Power \1\ HC + NOX CO
------------------------------------------------------------------------
2010............................ P<=485 kW....... 20.0 350
P485 25.0 350
kW.
2011 +.......................... P<=485 kW....... 16.0 350
P485 22.0 350
kW.
------------------------------------------------------------------------
\1\ Power (P) = maximum engine power in kilowatts (kW).

(b) Averaging, banking, and trading. You may not generate or use
emission credits for high-performance engines. 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 HC
+ NOX and CO emission standards for conventional sterndrive-
inboard engines. To generate or use emission credits, you must specify a
family emission limit for each pollutant you include in the ABT program
for each engine family. These family emission limits serve as the
emission standards for the engine family with respect to all required
testing instead of the standards specified in this section. An engine
family meets emission standards even if its family emission limit is
higher than the standard, as long as you show that the whole averaging
set of applicable engine families meets the emission standards using
emission credits and the engines within the family meet the family
emission limit. Family emission limits for conventional sterndrive/
inboard engines may not be higher than 16.0 g/kW-hr for HC +
NOX and 150 g/kW-hr for CO except as specified in Sec.
1045.145(c).
(c) Not-to-exceed emission standards. Exhaust emissions may not
exceed the not-to-exceed standards specified in

[[Page 567]]

Sec. 1045.107 for conventional sterndrive/inboard engines. These
standards do not apply for high-performance engines.
(d) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the engine
family are designed to operate. You must meet the numerical emission
standards for hydrocarbons in this section based on the following types
of hydrocarbon emissions for engines powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(e) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over their full
useful life, as follows:
(1) For high-performance engines with maximum engine power above 485
kW, the useful life is 50 hours of operation or 1 year, whichever comes
first. For high-performance engines with maximum engine power at or
below 485 kW, the useful life is 150 hours of operation or 3 years,
whichever comes first.
(2) For conventional sterndrive/inboard engines, the minimum useful
life is 480 hours of operation or ten years, whichever comes first.
However, you may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have 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. The useful life value may not be
shorter than any of the following:
(i) 150 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(3) You must specify a longer useful life for conventional
sterndrive/inboard engines in terms of hours if the average service life
of engines from the engine family is longer than the minimum useful life
value, as follows:
(i) Except as allowed by paragraph (e)(3)(ii) of this section, your
useful life (in hours) may not be less than either of the following:
(A) Your projected operating life from advertisements or other
marketing materials for any engines in the engine family.
(B) Your basic mechanical warranty for any engines in the engine
family.
(ii) Your useful life may be based on the average service life of
engines in the engine family if you show that the average service life
is less than the useful life required by paragraph (e)(3)(i) of this
section, but more than the minimum useful life (480 hours of engine
operation). In determining the actual average service life of engines in
an engine family, we will consider all available information and
analyses. Survey data is allowed but not required to make this showing.
(f) Applicability for testing. The duty-cycle emission standards in
this section apply to all testing performed according to the procedures
in Sec. 1045.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

Sec. 1045.107 What are the not-to-exceed emission standards?

Not-to-exceed emission standards apply as follows:
(a) Measure emissions using the not-to-exceed procedures in subpart
F of this part:
(b) Determine the not-to-exceed standard, rounded to the same number
of decimal places as the emission standard in Table 1 to this section
from the following equation:

[[Page 568]]

Not-to-exceed standard = (STD) x (M)

Where:

STD = The standard specified in paragraph (a) of this section if you
certify without using ABT for that pollutant; or the FEL for
that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraphs (c)
through (e) of this section.

(c) For engines equipped with a catalyst, use NTE multipliers from
the following table across the applicable zone specified in Sec.
1045.515:

Table 1 to Sec. 1045.107--NTE Multipliers for Catalyst-Equipped
Engines
------------------------------------------------------------------------
Pollutant Subzone 1 Subzone 2
------------------------------------------------------------------------
HC + NOX........................................ 1.50 1.00
CO.............................................. N/A 1.00
------------------------------------------------------------------------

(d) For two-stroke engines not equipped with a catalyst, use an NTE
multiplier of 1.2 for HC + NOX and CO. Compare the weighted
value specified in Sec. 1045.515(c)(5) to the NTE standards specified
in paragraph (b) of this section.
(e) For engines not covered by paragraphs (c) and (d) of this
section, use the NTE multipliers from the following table across the
applicable zone specified in Sec. 1045.515:

Table 2 to Sec. 1045.107--NTE Multipliers for Four-Stroke Engines
without Catalysts
------------------------------------------------------------------------
Pollutant Subzone 1 Subzone 2
------------------------------------------------------------------------
HC + NOX........................................ 1.40 1.60
CO.............................................. 1.50 1.50
------------------------------------------------------------------------

Sec. 1045.110 How must my engines diagnose malfunctions?

The following engine-diagnostic requirements apply for engines
equipped with three-way catalysts and closed-loop control of air-fuel
ratios:
(a) Equip your engines with a diagnostic system. Equip each engine
with a diagnostic system that will detect significant malfunctions in
its emission control system using one of the following protocols:
(1) If your emission control strategy depends on maintaining air-
fuel ratios at stoichiometry, an acceptable diagnostic design would
identify a malfunction whenever the air-fuel ratio does not cross
stoichiometry for one minute of intended closed-loop operation. You may
use other diagnostic strategies if we approve them in advance.
(2) If the protocol described in paragraph (a)(1) of this section
does not apply to your engine, you must use an alternative approach that
we approve in advance. Your alternative approach must generally detect
when the emission control system is not functioning properly.
(3) Diagnostic systems approved by the California Air Resources
Board for use with sterndrive/inboard engines fully satisfy the
requirements of this section.
(b) Use a malfunction indicator. The malfunction indicator must be
designed such that the operator can readily see or hear it; visible
signals may be any color except red. Visible malfunction indicators must
display ``Check Engine,'' ``Service Engine Soon,'' or a similar message
that we approve. The malfunction indicator must go on under each of the
following circumstances:
(1) When a malfunction occurs, as described in paragraph (a) of this
section.
(2) When the diagnostic system cannot send signals to meet the
requirement of paragraph (b)(1) of this section.
(3) When the engine's ignition is in the ``key-on'' position before
starting or cranking. The malfunction indicator should turn off after
engine starting if the system detects no malfunction.
(c) Control when the malfunction can turn off. If the malfunction
indicator 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 for three
consecutive engine starts during which the malfunctioning system is
evaluated and found to be working properly, the malfunction indicator
may stay off during later engine operation.
(d) Store trouble codes in computer memory. Record and store in
computer memory any diagnostic trouble codes showing a malfunction that
should activate the malfunction indicator. The stored codes must
identify the malfunctioning system or component as uniquely as possible.
Make these codes

[[Page 569]]

available through the data link connector as described in paragraph (g)
of this section. You may store codes for conditions that do not activate
the malfunction indicator. The system must store a separate code to show
when the diagnostic system is disabled (from malfunction or tampering).
(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 engine can read
and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Consider exceptions for certain conditions. Your diagnostic
systems may disregard trouble codes for the first three minutes after
engine starting. You may ask us to approve diagnostic-system designs
that disregard trouble codes under other conditions that would produce
an unreliable reading, damage systems or components, or cause other
safety risks.
(g) Follow standard references for formats, codes, and connections.
Follow conventions defined in SAE J1939-05 (incorporated by reference in
Sec. 1045.810) or ask us to approve using updated versions of (or
variations from) this standard.

Sec. 1045.112 What are the standards for evaporative emissions?

Fuel systems must meet the evaporative emission requirements of 40
CFR part 1060 as specified in this section. These standards apply over a
useful life period of five years for personal watercraft and ten years
for all other vessels and for portable marine fuel tanks.
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements specified in 40 CFR 1060.102 for EPA NRFL fuel
lines as described in this paragraph (a).
(1) Except as specified in paragraphs (a)(2) and (3) of this
section, the emission standard for fuel lines starts for vessels or
portable marine fuel tanks with a date of manufacture on or after
January 1, 2009.
(2) The emission standard for primer bulbs applies starting January
1, 2011.
(3) The emission standard for under-cowl fuel lines used with
outboard engines apply over a phase-in period as specified in this
paragraph (a)(3).
(i) Except as specified in paragraph (a)(3)(ii) of this section, the
phase-in period is based on total length of fuel lines as specified in
Table 1 to this section. For example, at least 30 percent of the length
of under-cowl fuel lines used on your full lineup of 2010 model year
outboard engines must meet the specified permeation standards. See Sec.
1045.145(k) for administrative requirements related to this phase-in.

Table 1 to Sec. 1045.112--phase-in Schedule for Under-Cowl Fuel Lines
on Outboard Engines
------------------------------------------------------------------------
Percentage
Model year phase-in
------------------------------------------------------------------------
2010....................................................... 30
2011....................................................... 60
2012-2014.................................................. 90
2015 +..................................................... 100
------------------------------------------------------------------------

(ii) You may instead meet the permeation standards of this paragraph
(a) by complying with the specified standards with 100 percent of your
under-cowl fuel lines across your full lineup of 2011 model year
outboard engines. In this case, the requirements of this part would not
apply to under-cowl fuel lines before the 2011 model year. To use this
option, you must notify the Designated Compliance Officer before
December 31, 2009 of your intent to meet permeation standards on all
your under-cowl fuel lines in the 2011 model year.
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. Portable marine fuel tanks
must meet permeation standards starting January 1, 2011. Fuel tanks for
personal watercraft must meet permeation standards starting in the 2011
model year. Other installed fuel tanks must meet permeation standards
starting in the 2012 model year. Vessel manufacturers may generate or
use emission credits to show compliance with the requirements of this
paragraph under the averaging, banking, and trading (ABT) program, as
described in subpart H of this part. Starting in the 2014 model year for
personal watercraft and in the

[[Page 570]]

2015 model year for other installed fuel tanks, family emission limits
may not exceed 5.0 g/m\2\/day if testing occurs at a nominal temperature
of 28 [deg]C, or 8.3 g/m\2\/day if testing occurs at a nominal
temperature of 40 [deg]C. These FEL caps do not apply to fuel caps that
are certified separately to meet permeation standards. Portable marine
fuel tank manufacturers may not generate or use emission credits under
subpart H of this part.
(c) Running loss. The running loss requirements specified in 40 CFR
part 1060 do not apply.
(d) Diurnal emissions. Installed fuel tanks must meet the diurnal
emission requirements specified in 40 CFR 1060.105. Fuel tanks for
personal watercraft must meet diurnal emission standards starting in the
2010 model year. Other installed fuel tanks must meet diurnal emission
standards for vessels produced on or after July 31, 2011, except as
allowed by Sec. 1045.625. Fuel tanks meeting the definition of portable
marine fuel tank in Sec. 1045.801 must comply with the diurnal
requirements specified in 40 CFR part 1060 starting January 1, 2010.
(e) Other requirements. The requirements of 40 CFR 1060.101(e) and
(f) apply to vessel manufacturers even if they do not obtain a
certificate.
(f) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.

Sec. 1045.115 What other requirements apply?

The following requirements apply with respect to engines that are
required to meet the emission standards of this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life.
(b) Torque broadcasting. Starting in the 2013 model year,
electronically controlled engines must broadcast their speed and output
shaft torque (in newton-meters). Engines may alternatively broadcast a
surrogate value for determining torque. Engines must broadcast engine
parameters such that they can be read with a remote device, or broadcast
them directly to their controller area networks. Your broadcasting
protocol must allow for valid measurements using the field-testing
procedures in 40 CFR part 1065, subpart J.
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to convert
these into torque units. We will not ask for hardware or tools if they
are readily available commercially.
(d) Altitude adjustments. Engines must meet applicable emission
standards for valid tests conducted under the ambient conditions
specified in 40 CFR 1065.520. Engines must meet applicable emission
standards at all specified atmospheric pressures, except that for
atmospheric pressures below 94.0 kPa you may rely on an altitude kit for
all testing if you meet the requirements specified in Sec. 1054.205(s).
If your rely on an altitude kit for certification, you must identify in
the owners manual the altitude range for which you expect proper engine
performance and emission control with and without the altitude kit; you
must also state in the owners manual that operating the engine with the
wrong engine configuration at a given altitude may increase its
emissions and decrease fuel efficiency and performance.
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.

[[Page 571]]

(f) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that the
engine may reasonably be expected to encounter during normal operation
and use. This does not apply for altitude kits installed or removed
consistent with Sec. 1045.655. This also does not apply to auxiliary
emission control devices you identify in your application for
certification if any of the following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part.
(2) You show your design is necessary to prevent engine (or vessel)
damage or accidents. For example, you may design your engine to include
emergency operating modes (sometimes known as limp-home operation) that
would allow a vessel to return to land in the event of a malfunction
even if such operating modes result in higher emissions.
(3) The reduced effectiveness applies only to starting the engine.

Sec. 1045.120 What emission-related warranty requirements apply to me?

Table 1 to Sec. 1045.120--Warranty Periods for Sterndrive/Inboard
Engines \1\
------------------------------------------------------------------------
Electronic
Engine type components Mechanical components
------------------------------------------------------------------------
Conventional................. 3 years/480 3 years/480 hours.
hours.
High-performance with maximum 3 years/480 3 years/150 hours.
engine power at or below 485 hours.
kW.
High-performance with maximum 3 years/480 1 year/50 hours.
engine power above 485 kW. hours.
------------------------------------------------------------------------
\1\ The warranty period expires after the specified time period or
number of operating hours, whichever comes first.

[[Page 572]]

develop to control emissions. The emission-related warranty covers these
components even if another company produces the component. Your
emission-related warranty does not cover components whose failure would
not increase an engine'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.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

Sec. 1045.125 What maintenance instructions must I give to buyers?

Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1045.245 and in 40 CFR part 1065.
(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 meet the following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph
(a)(3), (b), or (c) of this section.
(3) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(2) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
(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 engines from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine 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 engine operation
that is not atypical, or that

[[Page 573]]

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 (i.e., 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 changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps during
service accumulation on your emission-data engines.
(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
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines at
the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written 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
engine 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 engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (5) of the
definition of new propulsion marine engine in Sec. 1045.801.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.130 What installation instructions must I give to vessel
manufacturers?

[[Page 574]]

be installed in its certified configuration.
(b) Make sure the 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 vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air Act.''
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1045.205(u) related to in-use measurement and
the requirements of Sec. 1045.655 related to altitude kits.
(4) Describe the steps needed to control evaporative emissions as
described in Sec. 1045.112. This will generally require notification
that the installer and/or vessel manufacturer must meet the requirements
of Sec. 1045.112 and 40 CFR part 1060.
(5) Describe any necessary steps for installing the diagnostic
system described in Sec. 1045.110.
(6) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only for
personal watercraft, tell vessel manufacturers not to install the
engines in vessels longer than 4.0 meters.
(7) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. For example, this may include specified
limits for catalyst systems, such as exhaust backpressure, catalyst
location, and temperature profiles during engine operation.
(8) 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 vessel, as
described in 40 CFR 1068.105.''
(c) You do not need installation instructions for engines you
install in your own vessels.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

Sec. 1045.135 How must I label and identify the engines I produce?

[[Page 575]]

(7) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(8) List specifications and adjustments for engine tuneups; however,
you may omit this information from the label if there is not enough room
for it and you put it in the owners manual instead.
(9) Identify the fuel type and any requirements for fuel and
lubricants; however, you may omit this information from the label if
there is not enough room for it and you put it in the owners manual
instead.
(10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA EXHAUST
REGULATIONS FOR [MODEL YEAR].''
(11) If your durability demonstration for sterndrive/inboard engines
is limited to fresh water, state: ``THIS ENGINE IS NOT INTENDED FOR USE
IN SALTWATER.''
(d) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as California 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 engine 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 1045 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.
(f) If you obscure the engine label while installing the engine in
the vessel such that the label cannot be read during normal maintenance,
you must place a duplicate label on the vessel. If others install your
engine in their vessels in a way that obscures the engine label, we
require them to add a duplicate label on the vessel (see 40 CFR
1068.105); in that case, give them the number of duplicate labels they
request and keep the following records for at least five years:
(1) Written documentation of the request from the vessel
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.

Sec. 1045.140 What is my engine's maximum engine power?

(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt for engines above 30 kW and to the nearest 0.1
kilowatt for engines at or below 30 kW.
(b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for the
engine. This information may also be expressed by a torque curve that
relates maximum available engine torque with engine speed.
(c) The nominal power curve must be within the range of the actual
power curves of production engines considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production engines, we may
require you to amend your application for certification under Sec.
1045.225.
(d) Maximum engine power for an engine family is generally the
weighted average value of maximum engine power of each engine
configuration within the engine family based on your total U.S.-directed
production volume of engines you produce from the engine family.
However, alternative approaches for defining an engine family's maximum
engine power apply in the following circumstances:
(1) For outboard or personal watercraft engines for which you
neither generate nor use emission credits,

[[Page 576]]

you may identify the greatest value for maximum engine power from all
the different configurations within the engine family to determine the
appropriate emission standard under Sec. 1045.103.
(2) For high-performance engines, you must use the smallest value
for maximum engine power from all the different configurations within
the engine family to determine the standards and other requirements that
apply under this subpart B.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.145 Are there interim provisions that apply only for a
limited time?

The provisions in this section apply instead of other provisions in
this part. This section describes how and when these interim provisions
apply.
(a)-(g) [Reserved]
(h) Carryover of California ARB emission data. The provisions of 40
CFR 1065.10(c)(5) allow for the use of emission data generated for the
California Air Resources Board as the basis for EPA certification. For
sterndrive/inboard engines certified in California before the 2010 model
year, you may use such emission data as the basis for meeting the
standards of Sec. 1045.105, as long as you meet the conditions
specified in Sec. 1045.235(d).
(i)-(m) [Reserved]
(n) Continued use of 40 CFR part 91 test data. You may continue to
use test data based on the test procedures that applied for engines
built before the requirements of this part started to apply if we allow
you to use carryover emission data under Sec. 1045.235(d) for your
engine family. You may also use those test procedures for production-
line testing with any engine family whose certification is based on
testing with those procedures. For any EPA testing, we will rely on the
procedures described in subpart F of this part, even if you used
carryover data based on older test procedures as allowed under this
paragraph (n).
(o) Banking early credits for jet boat engines. Banked emission
credits that were originally generated from outboard and personal
watercraft engines under 40 CFR part 91 may be used to certify jet boat
engines under the provisions Sec. 1045.660.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010; 75
FR 68462, Nov. 8, 2010; 86 FR 34513, June 29, 2021]

Subpart C_Certifying Engine Families

Sec. 1045.201 What are the general requirements for obtaining a
certificate of conformity?

Engine manufacturers must certify their engines with respect to the
exhaust emission standards in this part. Manufacturers of engines,
equipment, or fuel-system components may need to certify their products
with respect to evaporative emission standards as described in 40 CFR
1060.1 and 1060.601. The following general requirements apply for
obtaining a certificate of conformity:
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1045.255).
(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. 1045.250.
(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. 1045.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test engines to a facility we
designate for our testing (see Sec. 1045.235(c)).
(h) For engines that become new after being placed into service,
such as engines installed on imported vessels or engines converted to
run on a different fuel, we may specify alternate

[[Page 577]]

certification provisions consistent with the intent of this part. See
Sec. 1045.645 and the definition of ``new propulsion marine engine'' in
Sec. 1045.801.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.205 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.
1045.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the
engine family. For each engine configuration, list the maximum engine
power and the range of values for maximum engine power resulting from
production tolerances, as described in Sec. 1045.140. Describe why your
engines qualify as high-performance engines, if applicable.
(b) Explain how the emission control systems operate. Describe in
detail all system components for controlling exhaust 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 (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include sufficient detail to allow
us to evaluate whether the AECDs are consistent with the defeat device
prohibition of Sec. 1045.115.
(c) Explain how the engine diagnostic system works, if applicable,
describing especially the engine conditions (with the corresponding
diagnostic trouble codes) that cause the malfunction indicator to go on.
Propose the conditions under which the diagnostic system should
disregard trouble codes, as described in Sec. 1045.110(f).
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1045.120
and 1045.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1045.130).
(k) Describe your emission control information label (see Sec.
1045.135).
(l) Identify the emission standards or FELs to which you are
certifying engines in the engine family.
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1045.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
(o) Present emission data to show that you meet emission standards,
as follows:
(1) Present emission data by mode for hydrocarbons (such as THC or
THCE, as applicable), NOX, and CO on an emission-data engine
to show your engines meet the duty-cycle emission standards we specify
in Sec. Sec. 1045.103(a) and 1045.105(a). Show weighted emission
figures before and after applying deterioration factors for each engine.
If we specify more than one grade of any fuel type (for example, low-
temperature and all-season gasoline), you need to submit test data only
for one grade,

[[Page 578]]

unless the regulations of this part specify otherwise for your engine.
(2) Note that Sec. Sec. 1045.235 and 1045.245 allow you to submit
an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1045.515, if applicable. Describe any relevant testing, engineering
analysis, or other information in sufficient detail to support your
statement.
(q) Report test results as follows:
(1) Report all test results involving measurement of pollutants for
which emission standards apply. Include test results from invalid tests
or from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. We may ask you to send
other information to confirm that your tests were valid under the
requirements of this part and 40 CFR parts 1060 and 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1045.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(r) Describe all adjustable operating parameters (see Sec.
1045.115(e)), including production tolerances. 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 engines to settings outside your intended
physically adjustable ranges.
(s) Describe how your engines comply with emission standards at
varying atmospheric pressures. Include a description of altitude kits
you design to comply with the requirements of Sec. 1045.115(d).
Identify the part number of each component you describe. Identify the
altitude range for which you expect proper engine performance and
emission control with and without the altitude kit. State that your
engines will comply with applicable emission standards throughout the
useful life with the altitude kit installed according to your
instructions. Describe any relevant testing, engineering analysis, or
other information in sufficient detail to support your statement. In
addition, describe your plan for making information and parts available
such that you would reasonably expect that altitude kits would be widely
used in the high-altitude counties specified in 40 CFR part 1068,
Appendix III. For example, engine owners should have ready access to
information describing when an altitude kit is needed and how to obtain
this service. Similarly, parts and service information should be
available to qualified service facilities in addition to authorized
service centers if that is needed for owners to have such altitude kits
installed locally.
(t) Provide the information needed to read, record, and interpret
all the information broadcast by an engine'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. If you broadcast
a surrogate parameter for torque values, you must provide us what we
need to convert these into torque units. You may reference any
appropriate publicly released standards that define conventions for
these messages and parameters. Format your information consistent with
publicly released standards.
(u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in vessels and placed in service.
Show how to sample exhaust emissions in a way that prevents diluting the
exhaust sample with ambient air.
(v) 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.
(w) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated

[[Page 579]]

production volumes if they are substantially different than actual
production volumes in earlier years for similar models.
(x) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1045.725 if you
participate in the ABT program.
(y) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(z) 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.
(aa) For imported engines, identify the following:
(1) The port(s) at which you have imported engines over the previous
12 months.
(2) The names and addresses of the agents you have authorized to
import your engines.
(3) 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.

[73 FR 59194, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008; 74
FR 56509, Oct. 30, 2009]

Sec. 1045.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, deterioration factors, testing for service
accumulation, maintenance, and compliance with not-to-exceed standards.
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 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. 1045.220 How do I amend the maintenance instructions in my
application?

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. 1045.125.
You must send the Designated Compliance Officer a written 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 operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines 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 anytime
after you send your request.
(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).

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

[[Page 580]]

Sec. 1045.225 How do I amend my application for certification to
include new or modified engines or change an FEL?

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 amend
your application if any changes occur with respect to any information
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. 1045.230.
(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 for an engine family as described in paragraph (f)
of this section.
(b) To amend your application for certification, send the Designated
Compliance Officer the following information:
(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.
(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. 1045.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the nonconformity
at no expense to the owner. If you do not provide information required
under paragraph (c) of this section within 30 days after we request it,
you must stop producing the new or modified engines.
(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 engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include the new FEL on the emission control
information label for all engines produced after the change. You may ask
us to approve a change to your FEL in the following cases:
(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

[[Page 581]]

data to include a newly added or modified engine, 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 engine family only if you
have test data from production engines showing that emissions are below
the proposed lower FEL. The lower FEL applies only to engines 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.

Sec. 1045.230 How do I select engine families?

(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout their useful life as described in this
section. Your engine family is limited to a single model year.
(b) Group engines into the same engine family if they are the same
in all the following aspects:
(1) The combustion cycle and fuel. See paragraph (e) of this section
for special provisions that apply for dual-fuel engines.
(2) Method of air aspiration (for example, turbocharged vs.
naturally aspirated).
(3) The number, location, volume, and composition of catalytic
converters.
(4) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
(5) Method of control for engine operation, other than governing
(i.e., mechanical or electronic).
(6) The numerical level of the applicable emission standards. For
example, an engine family may not include engines certified to different
family emission limits, though you may change family emission limits
without recertifying as specified in Sec. 1045.225.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine families if you show
the expected emission characteristics are different during the useful
life.
(d) You may group engines that are not identical with respect to the
things listed in paragraph (b) of this section into the same engine
family, as follows:
(1) In unusual circumstances, you may group such engines into the
same engine family if you show that their emission characteristics
during the useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group all
your high-performance engines into a single engine family.
(3) The provisions of this paragraph (e) do not exempt any engines
from meeting all the emission standards and requirements in subpart B of
this part.
(e) You may certify dual-fuel or flexible-fuel engines in a single
engine family. You may include dedicated-fuel versions of this same
engine model in the same engine family, as long as they are identical to
the engine configuration with respect to that fuel type for the dual-
fuel or flexible-fuel version of the engine. For example, if you produce
an engine that can alternately run on gasoline and natural gas, you can
include the gasoline-only and natural gas-only versions of the engine in
the same engine family as the dual-fuel engine if engine operation on
each fuel type is identical with or without installation of components
for operating on the other fuel.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.235 What emission testing must I perform for my application
for a certificate of conformity?

This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. Sec. 1045.103 and
1045.105. See Sec. 1045.205(p) regarding emission testing related to
the not-to-exceed standards. See Sec. Sec. 1045.240 and 1045.245 and 40
CFR part 1065, subpart E, regarding service accumulation before emission
testing.
(a) Select an emission-data engine from each engine family for
testing as

[[Page 582]]

described in 40 CFR 1065.401. Select the engine with a configuration
that is most likely to exceed the exhaust emission standards, using good
engineering judgment. Consider the emission levels of all exhaust
constituents over the full useful life of the engine when operated in a
vessel.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that is
most likely to cause the engine to exceed the applicable HC +
NOX emission standard, though you may ask us to exclude fuel
mixtures that you can show are not likely to occur in use.
(c) We may measure emissions from any of your emission-data engines
or other engines from the engine family, as follows:
(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 one of your engines, the results of
that testing become the official emission results for the engine. Unless
we later invalidate these data, we may decide not to consider your data
in determining if your engine family meets applicable requirements.
(3) We may set the adjustable parameters of your engine to any point
within the physically adjustable ranges (see Sec. 1045.115(e)).
(4) We may calibrate your engine within normal production tolerances
for anything we do not consider an adjustable parameter. For example,
this would apply where we determine that an engine parameter is not an
adjustable parameter (as defined in Sec. 1045.801) but that it is
subject to production variability.
(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 or other
characteristics unrelated to emissions.
(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 of this part that apply to the engine family covered by the
application for certification.
(e) We may require you to test another engine of the same or
different configuration in addition to the engine(s) tested under
paragraph (b) 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.
(g) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065
starting in the 2011 and 2012 model years, respectively. Also measure
N2O with each low-hour certification test using the
procedures specified in 40 CFR part 1065 starting in the 2013 model year
for any engine family that depends on NOX aftertreatment to
meet emission standards. Small-volume engine manufacturers may omit
measurement of N2O and CH4. These measurements are
not required for NTE testing. Use the same units and modal calculations
as for your other results to report a single weighted value for each
constituent. Round the final values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr.
(2) Round N2O to the nearest 0.001 g/kW-hr.

[[Page 583]]

(3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 FR 59194, Oct. 8, 2008, as amended at 74 FR 56510, Oct. 30, 2009; 86
FR 34514, June 29, 2021]

Sec. 1045.240 How do I demonstrate that my engine family complies with
exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the duty-cycle emission standards in Sec. 1045.103
or Sec. 1045.105 if all emission-data engines representing that family
have test results showing official emission results and deteriorated
emission levels at or below these standards. This also applies for all
test points for emission-data engines within the family used to
establish deterioration factors. Note that your FELs are considered to
be the applicable emission standards with which you must comply if you
participate in the ABT program in subpart H of this part. See paragraph
(e) of this section for provisions related to demonstrating compliance
with NTE standards.
(b) Your engine family is deemed not to comply with the duty-cycle
emission standards in Sec. 1045.103 or Sec. 1045.105 if any emission-
data engine 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. Similarly, your
engine family is deemed not to comply if any emission-data engine
representing that family has test results showing any emission level
above the applicable not-to-exceed emission standard for any pollutant.
This also applies for all test points for emission-data engines within
the family used to establish deterioration factors.
(c) Determine a deterioration factor to compare emission levels from
the emission-data engine with the applicable emission standards. Section
1045.245 specifies how to test engines to develop deterioration factors
that represent the expected deterioration in emissions over your
engines' full useful life. Your deterioration factors must take into
account any available data from in-use testing with similar engines. You
may ask us to give you an assigned deterioration factor for your high-
performance engines. Small-volume engine manufacturers may use assigned
deterioration factors that we establish for any engine families
certified under this part. Apply deterioration factors as follows:
(1) Additive deterioration factor for exhaust emissions. For engines
that do not use aftertreatment technology, use an additive deterioration
factor for exhaust emissions. An additive deterioration factor is the
difference between exhaust emissions at the end of useful life and
exhaust emissions at the low-hour test point. Adjust the official
emission results for each tested engine at the selected test point by
adding the factor to the measured emissions. If the deterioration factor
is less than zero, use zero. Additive deterioration factors must be
specified to one more decimal place than the emission standard.
(2) Multiplicative deterioration factor for exhaust emissions. For
engines that use aftertreatment technology, such as catalytic
converters, use a multiplicative deterioration factor for exhaust
emissions. A multiplicative deterioration factor is the ratio of exhaust
emissions at the end of 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 deterioration factor is less than one, use
one. Multiplicative deterioration factors must be specified to one more
significant figure than the emission standard.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in 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. In the case of HC +
NOX standards, add the official emission results and apply
the deterioration factor to the sum of the pollutants before rounding.
However, if your deterioration factors are based on emission
measurements that do not cover the vehicle's full useful life, apply the
deterioration factor to each

[[Page 584]]

pollutant and then add the results before rounding.
(e) Use good engineering judgment to demonstrate compliance with NTE
standards throughout the useful life. You may, but are not required to,
apply the same deterioration factors used to show compliance with the
applicable duty-cycle standards.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23019, Apr. 30, 2010]

Sec. 1045.245 How do I determine deterioration factors from exhaust
durability testing?

This section describes how to determine deterioration factors,
either with pre-existing test data or with new emission measurements.
(a) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar engines if you have
already given us these data for certifying the other engines in the same
or earlier model years. Use good engineering judgment to decide whether
the two engines are similar.
(b) If you are unable to determine deterioration factors for an
engine family under paragraph (a) of this section, select engines,
subsystems, or components for testing. Determine deterioration factors
based on service accumulation and related testing. Include consideration
of wear and other causes of deterioration expected under typical
consumer use, including exposure to saltwater if applicable. Determine
deterioration factors as follows:
(1) You must measure emissions from the emission-data engine at a
low-hour test point and the end of the useful life. You may also test at
evenly spaced intermediate points. Collect emission data using
measurements to one more decimal place than the emission standard.
(2) Operate the engine over a representative duty cycle for a period
at least as long as the useful life (in hours). You may operate the
engine continuously. You may also use an engine installed in a vessel to
accumulate service hours instead of running the engine only in the
laboratory.
(3) In the case of dual-fuel or flexible-fuel engines, you may
accumulate service hours on a single emission-data engine using the type
or mixture of fuel expected to have the highest combustion and exhaust
temperatures. For dual-fuel engines, you must measure emissions on each
fuel type at each test point.
(4) You may perform maintenance on emission-data engines as
described in Sec. 1045.125 and 40 CFR part 1065, subpart E.
(5) If you measure emissions at only two points to calculate your
deterioration factor, base your calculations on a linear relationship
connecting these two data points for each pollutant. If you measure
emissions at three or more points, use a linear least-squares fit of
your test data for each pollutant to calculate your deterioration
factor.
(6) If you test more than one engine to establish deterioration
factors, calculate the deterioration factor for each engine and average
the deterioration factors from all the engines before rounding.
(7) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(8) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) 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 do testing to determine deterioration factors, describe
the form and extent of service accumulation, including the method you
use to accumulate hours.

Sec. 1045.250 What records must I keep and what reports must I send
to EPA?

(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1045.345. In
addition, within 45 days after the end of the model year, you must send
us a report describing information about engines

[[Page 585]]

you produced during the model year as follows:
(1) State the total production volume for each engine family that is
not subject to reporting under Sec. 1045.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in Sec.
1045.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(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. 1045.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine 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, including documentation on routine and
standard tests, as specified in part 40 CFR part 1065, and the date and
purpose of each test.
(v) All tests to diagnose engine or emission control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
you produce under each certificate of conformity.
(c) Keep data from routine emission tests (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. 1045.255 What decisions may EPA make regarding a certificate of
conformity?

[[Page 586]]

(d) We may void a certificate of conformity if you fail to keep
records, send reports, or give us information as required under this
part or the Clean Air Act. Note that these are also violations of 40 CFR
1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1045.820).

[86 FR 34514, June 29, 2021]

Subpart D_Testing Production-line Engines

Sec. 1045.301 When must I test my production-line engines?

(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved
when we grant your certificate. You must promptly notify us if your
actual production exceeds 150 units during the model year. If you exceed
the production limit or if there is evidence of a nonconformity, we may
require you to test production-line engines under this subpart, or under
40 CFR part 1068, subpart E, even if we have approved an exemption under
this paragraph (a)(2).
(3) The requirements of this subpart do not apply to sterndrive/
inboard engines.
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1045.325 and 1045.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all applicable
regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with duty-cycle emission standards if
you double the minimum sampling rate specified in Sec. 1045.310(b). Use
measured test results to determine whether engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your engines are
being produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.

[[Page 587]]

(e) If you certify an engine family with carryover emission data, as
described in Sec. 1045.235(d), 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. The minimum testing
rate is one engine per engine 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 engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.

Sec. 1045.305 How must I prepare and test my production-line engines?

This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must ask
us to approve any deviations from your normal assembly procedures for
other production engines in the engine family.
(a) Test procedures. Test your production-line engines using the
applicable testing procedures in subpart F of this part to show you meet
the duty-cycle emission standards in subpart B of this part. The not-to-
exceed standards apply for this testing, but you need not do additional
testing to show that production-line engines meet the not-to-exceed
standards.
(b) Modifying a test engine. Once an engine is selected for testing
(see Sec. 1045.310), you may adjust, repair, prepare, 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) Engine malfunction. If an engine malfunction prevents further
emission testing, ask us to approve your decision to either repair the
engine or delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the engine has stabilized
emission levels (see paragraph (e) of this section). We may ask you for
information needed to establish an alternate minimum idle speed.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment with
in-use engines.
(e) Stabilizing emission levels. You may operate the engine to
stabilize the emission levels before you test production-line engines.
Using good engineering judgment, operate your engines in a way that
represents the way production engines will be used. You may operate each
engine for no more than the greater of two periods:
(1) 12 hours.
(2) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe or if it would permanently damage the engine. Report to us in
your written report under Sec. 1045.345 all adjustments or repairs you
make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and the
emission results from

[[Page 588]]

all tests. If we determine that you improperly invalidated a test, we
may require you to ask for our approval for future testing before
substituting results of the new tests for invalid ones.

Sec. 1045.310 How must I select engines for production-line testing?

(a) Test engines from each engine family as described in this
section based on test periods, as follows:
(1) For engine families with projected U.S.-directed production
volume of at least 1,600, the test periods are defined as follows:
(i) If your annual production period is 120 days or less, the whole
model year constitutes a single test period.
(ii) If your annual production period is 121 to 210 days, divide the
annual production period evenly into two test periods.
(iii) If your annual production period is 211 to 300 days, divide
the annual production period evenly into three test periods.
(iv) If your annual production period is 301 days or longer, divide
the annual production period evenly into four test periods. For example,
if your annual production period is 392 days (56 weeks), divide the
annual production period into four test periods of 98 days (14 weeks).
(2) For engine families with projected U.S.-directed production
volume below 1,600, the whole model year constitutes a single test
period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then, calculate
the required sample size for the model year as described in paragraph
(c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c) of
this section. Use the last test result from the previous model year only
for this first calculation. For all subsequent calculations, use only
results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC + NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.089

Where:

N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number
of tests completed, n, as specified in the table in paragraph
(c)(1) of this section. It defines 95% confidence intervals
for a one-tail distribution.
[sigma] = Test sample standard deviation (see paragraph (c)(2) of this
section).
x = Mean of emission test results of the sample.
STD = Emission standard (or family emission limit, if applicable).

(1) Determine the 95% confidence coefficient, t95, from
the following table:

------------------------------------------------------------------------
n t95 n t95 n t95
------------------------------------------------------------------------
2 6.31 12 1.80 22 1.72
3 2.92 13 1.78 23 1.72
4 2.35 14 1.77 24 1.71
5 2.13 15 1.76 25 1.71
6 2.02 16 1.75 26 1.71
7 1.94 17 1.75 27 1.71
8 1.90 18 1.74 28 1.70
9 1.86 19 1.73 29 1.70
10 1.83 20 1.73 30 + 1.70
11 1.81 21 1.72 .......... ..........
------------------------------------------------------------------------

(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.090

Where:

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

[[Page 589]]

(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1045.315(a)(2)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the rest
of the year. You may need to adjust your schedule for selecting engines
if the required sample size changes. If your scheduled quarterly testing
for the remainder of the model year is sufficient to meet the calculated
sample size, you may wait until the next quarter to do additional
testing. Continue to randomly select engines from each engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1045.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1045.315, or the remedial steps required under Sec. 1045.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.

[73 FR 59194, Oct. 8, 2008, as amended at 86 FR 34514, June 29, 2021]

Sec. 1045.315 How do I know when my engine family fails the
production-line testing requirements?

This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1045.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine, calculate
the initial results for each test, then add all the test results
together and divide by the number of tests. Round this final calculated
value for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1045.240(c)).
(3) Round deteriorated test results. Round the results to the number
of decimal places in the emission standard expressed to one more decimal
place.
(b) Construct the following CumSum Equation for each engine family
for HC + NOX and CO emissions:

Ci = Max [0 or Ci-1 + Xi - (STD + 0.25
x [sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
engine.
STD = Emission standard (or family emission limit, if applicable).

(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1045.315(a)).
(d) After each new test, recalculate the CumSum statistic.

[[Page 590]]

(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic, Ci, to
the recalculated Action Limit, H, defined as H = 5.0 x [sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec.
1045.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1045.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.

Sec. 1045.320 What happens if one of my production-line engines fails
to meet emission standards?

(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1045.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before your
certificate of conformity can cover that engine:
(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include the test results and describe the remedy for each engine
in the written report required under Sec. 1045.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1045.225).

[73 FR 59194, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008]

Sec. 1045.325 What happens if an engine family fails the production-line
testing requirements?

(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1045.315. The suspension may apply to all
facilities producing engines from an engine family even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when you
receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1045.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1045.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1045.225(f). We will approve your
request if the failure is not caused by a defect and it is clear that
you used good engineering judgment in establishing the original FEL.

Sec. 1045.330 May I sell engines from an engine family with a suspended
certificate of conformity?

You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1045.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines and
remedy any noncompliance at no expense to the owner if later testing
shows that the engine family still does not comply.

[[Page 591]]

Sec. 1045.335 How do I ask EPA to reinstate my suspended certificate?

Sec. 1045.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of this
subpart and your proposed remedy to address a suspended certificate
under Sec. 1045.335 is inadequate to solve the problem or requires you
to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked certificate
of conformity, you must modify the engine family and then show it
complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to evaluate
the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec. 1045.345 What production-line testing records must I send to EPA?

(a) Within 45 days of the end of each test period, send us a report
with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of testing;
test procedure; all initial test results; final test results; and final
deteriorated test results for all tests. Provide the emission results
for all measured pollutants. Include information for both valid and
invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure or
type of engine.
(8) Provide the CumSum analysis required in Sec. 1045.315 and the
sample-size calculation required in Sec. 1045.310 for each engine
family.
(9) Report on each failed engine as described in Sec. 1045.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:

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 1045. We have not changed production
processes or quality-control procedures for test engines in a way that
might affect emission controls. All the

[[Page 592]]

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).

(d) Send electronic reports of production-line testing 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.
(e) We will send copies of your reports to anyone from the public
who asks for them. Section 1045.815 describes how we treat information
you consider confidential.

Sec. 1045.350 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing
for eight years after you complete all the testing required for an
engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1045.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine arrived
at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing not
otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1045.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep records of the engine identification number for each engine
you produce under each certificate of conformity. You may identify these
numbers as a range. Give us these records within 30 days if we ask for
them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.

Subpart E_In-Use Testing

Sec. 1045.401 What testing requirements apply to my engines that have
gone into service?

(a) We may perform in-use testing of any engines subject to the
standards of this part. If you produce outboard or personal watercraft
engines that are subject to the requirements of this part, you must test
them as described in this subpart. The testing requirements described in
this subpart do not apply to sterndrive/inboard engines. This generally
involves testing engines in the field or removing them for measurement
in a laboratory.
(b) We may approve an alternate plan for showing that in-use engines
comply with the requirements of this part if one of the following is
true:
(1) You produce 200 or fewer engines per year in the selected engine
family.
(2) You identify a unique aspect of your engine applications that
keeps you from doing the required in-use testing.
(c) We may void your certificate of conformity for an engine family
if you do not meet your obligations under this part.
(d) Independent of your responsibility to test in-use engines, we
may choose at any time to do our own testing of your in-use engines.
(e) If in-use testing shows that engines fail to meet emission
standards or other requirements of this part, we may pursue a recall or
other remedy as allowed by the Clean Air Act (see Sec. 1045.415).

[[Page 593]]

Sec. 1045.405 How does this program work?

(a) You must test in-use engines for exhaust emissions from the
families we select. We may select up to 25 percent of your engine
families in any model year--or one engine family if you have three or
fewer families. When we select an engine family for testing, we may
specify that you preferentially test engines based on the type of
vessel. In addition, we may identify specific modes of operation or
sampling times. You may choose to test additional engine families that
we do not select.
(b) The provisions of this paragraph (b) describe how test families
are selected, depending on when we receive the application for
certification.
(1) If we receive the application by December 31 of a given calendar
year for the following model year (for example, by December 31, 2009 for
model year 2010), we would expect to select engine families for testing
by February 28 of the model year. If we have not completed the selection
of engine families by February 28, you may select your own engine
families for in-use testing. In this case, you must make your selections
and notify us which engine families you have selected by March 31. You
should consider the following factors in selecting engine families, in
priority order:
(i) Select an engine family that has not recently been tested in an
in-use testing regimen (and passed) under the provisions of this
subpart. This should generally involve engine families that have not
been selected in the previous two model years. If design changes have
required new testing for certification, we would consider that this
engine family has not been selected for in-use testing.
(ii) Select an engine family if we have approved an alternative
approach to establishing a deterioration factor under Sec.
1045.245(b)(8).
(iii) Select the engine family with the highest projected U.S.-
directed production volume.
(2) If we receive an application for a given model year after
December 31 of the previous calendar year, you must conduct in-use
testing with that engine family without regard to the limitations
specified in paragraph (a) of this section, unless we waive this
requirement. We will generally waive testing under this paragraph (b)(2)
only for small-volume engine manufacturers or in the case where similar
testing was recently completed for a related engine family.
(c) Send us an in-use testing plan for engine families selected for
testing as described in this paragraph (c). Complete the testing within
36 months after we direct you to test a particular engine family. Send
us a complete in-use testing plan according to the following deadlines:
(1) Within six months after we direct you to test a particular
engine family.
(2) By February 28 of the following year if you select engine
families for testing under paragraph (b)(1) of this section.
(3) Within six months after we approve certification for engine
families subject to the requirements of paragraph (b)(2) of this
section.
(4) If we request additional information or require you to modify
your plan to meet the requirements of this subpart, you must provide the
information or the modified plan within 30 days of our request.
(d) You may need to test engines from more than one model year at a
given time.
(e) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time to
complete testing or we may waive the in-use testing requirement for an
engine family. For example, if your test fleet is destroyed by severe
weather during service accumulation and we agree that completion of
testing is not possible, we would generally waive testing requirements
for that engine family.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]

Sec. 1045.410 How must I select, prepare, and test my in-use engines?

(a) You may make arrangements to select representative test engines
from your own fleet or from other independent sources.

[[Page 594]]

(b) For the selected engine families, select engines that you or
your customers have--
(1) Operated for at least 50 percent of the engine family's useful
life (see Sec. 1045.103(e));
(2) Not maintained or used in an abnormal way; and
(3) Documented in terms of total hours of operation, maintenance,
operating conditions, and storage.
(c) Use the following methods to determine the number of engines you
must test in each engine family:
(1) Test at least two engines if you produce 2,000 or fewer engines
in the model year from all engine families, or if you produce 500 or
fewer engines from the selected engine family. Otherwise, test at least
four engines.
(2) If you successfully complete an in-use test program on an engine
family and later certify an equivalent engine family with carryover
emission data, as described in Sec. 1045.235(d)(1), then test at least
one engine instead of the testing rates in paragraph (c)(1) of this
section.
(3) If you test the minimum required number of engines and all
comply fully with emission standards, you may stop testing.
(4) For each engine that fails any applicable emission standard,
test two more. Regardless of measured emission levels, you do not have
to test more than ten engines in an engine family. You may do more tests
than we require.
(5) You may concede that the engine family does not comply before
testing a total of ten engines.
(6) In appropriate extreme and unusual circumstances that could not
have been avoided by the exercise of prudence, diligence, and due care,
we may waive the in-use testing requirement for an engine family.
(d) You may do minimal maintenance to set components of a test
engine to specifications for anything we do not consider an adjustable
parameter (see Sec. 1045.205(r)). Limit maintenance to what is in the
owner's instructions for engines with that amount of service and age.
Document all maintenance and adjustments.
(e) You may do repeat measurements with a test engine; however, you
must conduct the same number of tests on each engine.
(f) For a test program on an engine family, choose one of the
following methods to test your engines:
(1) Remove the selected engines for testing in a laboratory. Use the
applicable procedures in subpart F of this part to show compliance with
the duty-cycle standards in Sec. 1045.103(a) or Sec. 1045.105(a). We
may direct you to measure emissions on the dynamometer using the test
procedures in Sec. 1045.515 to show compliance with the not-to-exceed
standards in Sec. 1045.107.
(2) Test the selected engines while they remain installed in the
vessel. Use the procedures in Sec. 1045.515. Measure emissions during
normal operation of the vessel to show compliance with the not-to-exceed
standards in Sec. 1045.107. We may direct you to include specific areas
of normal operation.
(g) You may ask us to waive parts of the prescribed test procedures
if they are not necessary to determine in-use compliance.
(h) Calculate the average emission levels for an engine family from
the results for the set of tested engines. Round them to the number of
decimal places in the emission standards expressed to one more decimal
place.

Sec. 1045.415 What happens if in-use engines do not meet requirements?

(a) Determine the reason each in-use engine exceeds the emission
standards.
(b) If the average emission levels calculated in Sec. 1045.410(h)
exceed any of the emission standards that apply, notify us within
fifteen days of completing testing on this family. Otherwise follow the
reporting instructions in Sec. 1045.420.
(c) We will consider failure rates, average emission levels, and any
defects--among other things--to decide on taking remedial action under
this subpart (see 40 CFR 1068.505). We may consider the results from any
voluntary additional testing you perform. We may also consider
information related to testing from other engine families showing that
you designed them to exceed the minimum requirements for controlling
emissions. We may order a recall before or after you complete testing of
an engine family if we

[[Page 595]]

determine a substantial number of engines do not conform to section 213
of the Clean Air Act or to this part. The scope of the recall may
include other engine families in the same or different model years if
the cause of the problem identified in paragraph (a) of this section
applies more broadly than the tested engine family, as allowed by the
Clean Air Act.
(d) If in-use testing reveals a design or manufacturing defect that
prevents engines from meeting the requirements of this part, you must
correct the defect as soon as possible for any future production for
engines in every family affected by the defect. See 40 CFR 1068.501 for
additional requirements related to defect reporting.
(e) You may voluntarily recall an engine family for emission
failures, as described in 40 CFR 1068.535, unless we have ordered a
recall for that family under 40 CFR 1068.505.
(f) You have the right to a hearing before we order you to recall
your engines or implement an alternative remedy (see Sec. 1045.820).

Sec. 1045.420 What in-use testing information must I report to EPA?

(a) In a report to us within three months after you finish testing
an engine family, do all the following:
(1) Identify the engine family, model, serial number, and date of
manufacture.
(2) [Reserved]
(3) Describe the specific reasons for disqualifying any engines for
not being properly maintained or used.
(4) For each engine selected for testing, include the following
information:
(i) Estimate the hours each engine was used before testing.
(ii) Describe all maintenance, adjustments, modifications, and
repairs to each test engine.
(5) State the date and time of each test attempt.
(6) Include the results of all emission testing, including
incomplete or invalidated tests, if any.
(b) Send electronic reports of in-use testing 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.
(c) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1045.815 for information on how we treat
information you consider confidential.
(d) We may ask for more information.

Sec. 1045.425 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time, so it is important to keep
required information readily available.
(b) Keep paper records of your in-use testing for one full year
after you complete all the testing required for an engine family in a
model year. You may use any additional storage formats or media if you
like.
(c) Keep a copy of the written reports described in Sec. 1045.420.
(d) Keep any additional records related to the procurement process.

Subpart F_Test Procedures

Sec. 1045.501 How do I run a valid emission test?

[[Page 596]]

for general testing. For service accumulation, use the test fuel or any
commercially available fuel that is representative of the fuel that in-
use engines will use.
(2) You may alternatively use ethanol-blended fuel meeting the
specifications described in 40 CFR 1065.710(b) for general testing
without our advance approval. If you use the ethanol-blended fuel for
certifying a given engine family, you may also use it for production-
line testing or any other testing you perform for that engine family
under this part. If you use the ethanol-blended fuel for certifying a
given engine family, we may use the ethanol-blended fuel or the
specified neat gasoline test fuel with that engine family.
(d) Laboratory conditions. Ambient conditions for duty-cycle testing
must be within ranges specified in 40 CFR 1065.520, subject to the
provisions of Sec. 1045.115(d). Emissions may not be corrected for the
effects of test temperature or pressure. Humidity levels must represent
actual in-use humidity levels; however, you may correct emissions for
humidity as specified in 40 CFR 1065.670.
(e) Engine stabilization. Instead of the provisions of 40 CFR
1065.405, you may consider emission levels stable without measurement
after 12 hours of engine operation.
(f) Maximum test speed. Instead of the provisions of 40 CFR
1065.510(f), you may declare a value of maximum test speed for
laboratory testing that is within 500 rpm of the corresponding measured
value for maximum test speed.
(g) Special and alternate procedures. If you are unable to run the
duty cycle specified in this part for your engine (such as with
constant-speed engines), use an alternate test cycle that will result in
a cycle-weighted emission measurement equivalent to the expected average
in-use emissions. This cycle must be approved under 40 CFR 1065.10. You
may use other special or alternate procedures to the extent we allow
them under 40 CFR 1065.10.
(h) Laboratory testing with portable analyzers. You may use field-
grade equipment for any laboratory testing with high-performance
engines, as specified in 40 CFR 1065.901(b), without requesting
approval.

[73 FR 59194, Oct. 8, 2008, as amended at 74 FR 56510, Oct. 30, 2009; 86
FR 34514, June 29, 2021]

Sec. 1045.505 How do I test engines using discrete-mode or ramped-modal
duty cycles?

(a) This section describes how to test engines under steady-state
conditions. We allow you to perform tests with either discrete-mode or
ramped-modal sampling. You must use the modal testing method for
certification and all other testing you perform for an engine family. If
we test your engines to confirm that they meet emission standards, we
will use the modal testing method you select for your own testing. If
you submit certification test data collected with both discrete-mode and
ramped-modal testing (either in your original application or in an
amendment to your application), either method may be used for subsequent
testing. We may also perform other testing as allowed by the Clean Air
Act. Conduct duty-cycle testing as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle using
the weighting factors specified for each mode. In each mode, operate the
engine for at least 5 minutes, then sample emissions for at least 1
minute. Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
(2) For ramped-modal testing, start sampling at the beginning of the
first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065.
(b) Measure emissions by testing the engine on a dynamometer to
determine whether it meets the emission standards in Sec. Sec.
1045.103(a) and 1045.105(a). Use the 5-mode duty cycle or the
corresponding ramped-modal cycle described in Appendix I of this part.
(c) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510; this may involve a

[[Page 597]]

nonzero torque setting if that represents in-use operation.
(d) For full-load operating modes, operate the engine at wide-open
throttle.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.

Sec. 1045.515 What are the test procedures related to not-to-exceed
standards?

(a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec. 1045.107.
These procedures may include any normal engine operation and ambient
conditions that the engines may experience in use. Paragraphs (b) and
(c) of this section define the limits of what we will consider normal
engine operation and ambient conditions. Use the test procedures we
specify in Sec. 1045.501, except for the provisions we specify in this
section. Measure emissions with one of the following procedures:
(1) Remove the selected engines for testing in a laboratory. You may
use an engine dynamometer to simulate normal operation, as described in
this section.
(2) Test the selected engines while they remain installed on a
vessel. In 40 CFR part 1065, subpart J, we describe the equipment and
sampling methods for testing engines in the field. Use fuel meeting the
specifications of 40 CFR part 1065, subpart H, or a fuel typical of what
you would expect the engine to use in service.
(b) Engine testing may occur under a range of ambient conditions as
follows:
(1) Engine testing may occur under the following ranges of ambient
conditions without correcting measured emission levels:
(i) Barometric pressure must be between 94.0 and 103.325 kPa.
(ii) Ambient air temperature must be between 13 and 35 [deg]C.
(iii) Ambient water temperature must be between 5 and 27 [deg]C.
(iv) Any ambient humidity level.
(2) Engine testing may occur outside the conditions described in
paragraph (b)(1) of this section, as long as measured values are
corrected to be equivalent to the nearest end of the specified range
using good engineering practice.
(c) An engine's emissions may not exceed the NTE standards in Sec.
1045.107 under the following ranges of engine operation:
(1) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would exclude engine
operation after starting until the thermostat starts modulating coolant
temperature. The sampling period may also not include engine starting.
For testing under paragraphs (c)(4) and (6) of this section, the NTE
standards apply for any continuous sampling period of at least 30
seconds.
(2) Engine operation during the emission sampling period may include
any nominally steady-state combination of speeds and loads within the
applicable zone defined by segments on an engine's power vs. speed map
specified in paragraphs (c)(3) through (6) of this section, except as
follows:
(i) You may request that we specify a narrower zone, as long as the
modified zone includes all points where your engines are expected to
normally operate in use, but not including any points at which engine
speed is below 40 percent of maximum test speed or engine load is below
25.3 percent of maximum torque at maximum test speed. However, we may
perform valid tests at any speeds and loads within the zones specified
in paragraphs (c)(3) through (6) of this section that we observe with
in-use engines. The engine must comply with emission standards at all
such speeds and loads unless we determine that one of following criteria
are true:
(A) Such speeds and loads occur very infrequently. This
determination may consider whether the operation would be expected to
result in damage to the engine or vessel or be inherently unsafe.
(B) Such speeds and loads result from the engine being installed in
a manner that is not consistent with your emission-related installation
instructions.
(ii) You must notify us if you design your engines for normal in-use
operation outside the specified zone. If we learn that normal in-use
operation for your engines includes other speeds and loads, we may
specify a broader zone, as long as the modified zone is limited to
normal in-use operation for speeds

[[Page 598]]

greater than 40 percent of maximum test speed and loads greater than
25.3 percent of maximum torque at maximum test speed.
(3) The NTE zone for testing engines under this section is defined
by the following segments on an engine's torque vs. speed map, as
illustrated in Figures 1 through 3 of this section:
(i) Speed at or above 40 percent of maximum test speed.
(ii) Speeds and torques below the line defined by the following
equation:

Normalized torque = 1.5 x normalized speed-0.16

(iii) Speeds and torques at or below the engine's mapped torque
values.
(iv) Speeds at or below 100 percent of maximum test speed, except as
specified in paragraph (c)(5) of this section.
(v) Speeds and torques above the line defined by the following
equation:

Normalized torque = (normalized speed)\1.5\-0.08

(vi) Torques at or above 25.3 percent of maximum torque at maximum
test speed, except as specified in paragraph (c)(5) of this section.
(4) For engines equipped with a catalyst, the NTE zone described in
paragraph (c)(3) of this section is divided into the following subzones
for determining the applicable NTE standards, as illustrated in Figure 1
of this section:
(i) Subzone 1 includes all operation in the NTE zone characterized
by speeds and torques above the line represented by the following
equation:

(percent torque) = 1.2-0.5 x (percent speed)

(ii) Subzone 2 includes all operation in the NTE zone not included
in Subzone 1.
[GRAPHIC] [TIFF OMITTED] TR08OC08.075

[[Page 599]]

(5) For two-stroke engines not equipped with a catalyst, the NTE
zone described in paragraph (c)(3) of this section is divided into
subzones for testing to determine compliance with the applicable NTE
standards. Measure emissions to get an NTE result by collecting
emissions at five points as described in this paragraph (c)(5).
Calculate a weighted test result for these emission measurements using
the weighting factors from Appendix II of this part for the
corresponding modal result (similar to discrete-mode testing for
certification). Test engines over the following modes corresponding to
the certification duty cycle:
(i) Mode 1: Operate the engine at wide open throttle. For laboratory
testing, this may involve any torque value between the boundaries
specified in paragraph (c)(3) of this section.
(ii) Mode 2: Operate the engine at a nominal speed that is 80
percent of maximum test speed at any torque value between the boundaries
specified in paragraph (c)(3) of this section.
(iii) Mode 3: Operate the engine at a nominal speed that is 60
percent of maximum test speed at any torque value between the boundaries
specified in paragraph (c)(3) of this section.
(iv) Mode 4: Operate the engine at a nominal speed that is 40
percent of maximum test speed at any torque value between the boundaries
specified in paragraphs (c)(3)(ii) and (v) of this section.
(v) Mode 5: Operate the engine at idle.
[GRAPHIC] [TIFF OMITTED] TR08OC08.076

(6) For any engines not covered by paragraphs (c)(4) and (5) of this
section, the NTE zone described in paragraph (c)(3) of this section is
divided into the following subzones for determining the applicable NTE
standards, as illustrated in Figure 2 of this section:
(i) Subzone 1 includes all operation in the NTE zone at speeds above
50 percent of maximum test speed.
(ii) Subzone 2 includes all operation in the NTE zone not included
in Subzone 1.

[[Page 600]]

[GRAPHIC] [TIFF OMITTED] TR08OC08.077

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]

Sec. 1045.520 What testing must I perform to establish deterioration
factors?

Sections 1045.240 and 1045.245 describe the required methods for
testing to establish deterioration factors for an engine family.

Subpart G_Special Compliance Provisions

Sec. 1045.601 What compliance provisions apply to these engines?

Engine and vessel 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
requirements and prohibitions in 40 CFR part 1068, and the provisions of
the Clean Air Act.

Sec. 1045.605 What provisions apply to engines already certified under
the motor vehicle or Large SI programs?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new propulsion marine engines into U.S.
commerce if they are already certified to the requirements that apply to
spark-ignition engines under 40 CFR parts 85 and 86 or part 1048 for the
appropriate model year. If you comply with all the provisions of this
section, we consider the certificate issued under 40 CFR part 86 or 1048
for each engine to also be a valid certificate of conformity under this
part 1045 for its model year, without a separate application for
certification under the requirements of this part 1045.
(b) Vessel-manufacturer provisions. If you are not an engine
manufacturer, you may produce vessels using motor vehicle engines or
nonroad spark-ignition engines under this section as long

[[Page 601]]

as you meet all the requirements and conditions specified in paragraph
(d) of this section. If you modify the engine in any of the ways
described in paragraph (d)(2) of this section, we will consider you a
manufacturer of a new propulsion marine engine. Such engine
modifications prevent you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted under
this section must meet all the applicable requirements from 40 CFR parts
85 and 86, or part 1048. This applies to engine manufacturers, vessel
manufacturers who use these engines, and all other persons as if these
engines were used in applications other than for installation as
propulsion marine engines. The prohibited acts of 40 CFR 1068.101(a)(1)
apply to these new engines and vessels; however, we consider the
certificate issued under 40 CFR part 86 or 1048 for each engine to also
be a valid certificate of conformity under this part 1045 for its model
year. If we make a determination that these engines do not conform to
the regulations during their useful life, we may require you to recall
them under 40 CFR part 86 or 1068.
(d) Specific requirements. If you are an engine or vessel
manufacturer and meet all the following criteria and requirements
regarding your new propulsion marine engine, the engine is eligible for
an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity
issued under 40 CFR part 86 or 1048.
(2) You must not make any changes to the certified engine that could
reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any of
the following changes to one of these engines, you do not qualify for
this exemption:
(i) Change any fuel-system or evaporative-system parameters from the
certified configuration (this does not apply to refueling controls).
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the marine engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 10 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application without regard to which company
manufactures the vessel or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86 or 1048.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vessel. In the supplemental label, do the following:
(i) Include the heading: ``MARINE ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR MARINE USE WITHOUT
AFFECTING ITS EMISSION CONTROLS.''
(iv) If the modified engine is certified as a motor vehicle engine,
also state: ``THE EMISSION CONTROL SYSTEM DEPENDS ON THE USE OF FUEL
MEETING SPECIFICATIONS THAT APPLY FOR MOTOR VEHICLE APPLICATIONS.
OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL LAW.''
(v) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the vessel or, if

[[Page 602]]

the vessel obscures the engine's emission control information label, the
vessel manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or vessel models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produce each listed [engine or vessel] model
without making any changes that could increase its certified emission
levels, as described in 40 CFR 1045.605.''
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1045 and the
certificate issued under 40 CFR part 86 or 1048 will not be deemed to
also be a certificate issued under this part 1045. Introducing these
engines into U.S. commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on one of the duty cycles specified in subpart F of this part.
(g) Participation in averaging, banking and trading. Engines adapted
for marine use under this section may not generate or use emission
credits under this part 1045. These engines may generate credits under
the ABT provisions in 40 CFR part 86. These engines must use emission
credits under 40 CFR part 86 if they are certified to an FEL above a
standard that applies under 40 CFR part 86.

Sec. 1045.610 What provisions apply to using engines already certified
to Small SI emission standards?

This section applies to marine engines that are identical to land-
based engines certified under 40 CFR part 90 or 1054. See Sec. 1045.605
for provisions that apply to marine engines that are certified under
other programs.
(a) If an engine meets all the following criteria, it is exempt from
the requirements of this part:
(1) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
nonhandheld engines under 40 CFR part 90 or 1054 for the appropriate
model year.
(2) You must show that fewer than 5 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application without regard to which company
manufactures the vessel or equipment.
Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(b) The only requirements or prohibitions from this part that apply
to an engine that meets the criteria in paragraph (a) of this section
are in this section.
(c) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 90 or 1054. The
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these
engines were not used as propulsion marine engines.
(d) You may use the provisions of Sec. 1045.605 in addition to the
provisions of this section for engines certified under 40 CFR part 1054.
Where Sec. 1045.605 references 40 CFR parts 85, 86, and/or 1048, apply
the applicable provisions of 40 CFR part 1054 instead. Include the
engines you sell under this section in your demonstration that you meet
the sales limit in Sec. 1045.605(d)(3).

Sec. 1045.620 What are the provisions for exempting engines used solely
for competition?

The provisions of this section apply for new engines and vessels
built on or after January 1, 2010.

[[Page 603]]

(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely for
competition. The basis of our determination is described in paragraphs
(c) and (d) of this section. Exemptions granted under this section are
good for only one model year and you must request renewal for each
subsequent model year. We will not approve your renewal request if we
determine the engine will not be used solely for competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
(1) Neither the engine nor any vessels containing the engine may be
displayed for sale in any public dealership or otherwise offered for
sale to the general public. Note that this does not preclude display of
these engines as long as they are not available for sale to the general
public.
(2) Sale of the vessel in which the engine is installed must be
limited to professional racing teams, professional racers, or other
qualified racers. For replacement engines, the sale of the engine itself
must be limited to professional racing teams, professional racers, other
qualified racers, or to the original vessel manufacturer.
(3) The engine and the vessel in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you have
clear and convincing evidence that the engines will be used solely for
competition.
(e) Engines are considered to be used solely for competition only if
their use is limited to competition events sanctioned by the U.S. Coast
Guard or another public organization with authorizing permits for
participating competitors. Operation of such engines may include only
racing events, trials to qualify for racing events, and practice
associated with racing events. Authorized attempts to set speed records
are also considered racing events. Engines will not be considered to be
used solely for competition if they are ever used for any recreational
or other noncompetitive purpose. Use of exempt engines in any
recreational events, such as poker runs and lobsterboat races, is a
violation of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need to
determine whether the engines are used solely for competition. This
would include documentation regarding the number of engines and the
ultimate purchaser of each engine as well as any documentation showing a
vessel manufacturer's request for an exempted engine. Keep these records
for five years.

Sec. 1045.625 What requirements apply under the Diurnal Transition
Program?

The provisions of this section allow vessel manufacturers to produce
a certain number of vessels with installed fuel tanks that do not meet
the diurnal emission standards specified in Sec. 1045.112(d) and 40 CFR
1060.105. The provisions of this section do not apply for portable
marine fuel tanks, personal watercraft, or outboard engines with under-
cowl fuel tanks. Vessels you produce under this section are exempt from
the prohibitions in 40 CFR 1068.101(a)(1) with respect to diurnal
emissions, subject to the provisions of this section.
(a) General. If you are a vessel manufacturer, you may introduce
into U.S. commerce limited numbers of exempted vessels under this
section. You may use the exemptions in this section only if you have
primary responsibility for designing and manufacturing vessels and your
manufacturing procedures include installing some engines in these
vessels. Consider all U.S.-directed vessel sales in showing that you
meet the

[[Page 604]]

requirements of this section, including those from any parent or
subsidiary companies and those from any other companies you license to
produce vessels for you. These provisions are available for vessels you
produce during the periods specified in paragraph (b) of this section.
(b) Allowances. You may choose one of the following options to
produce exempted vessels under this section:
(1) Percent-of-production allowances. You may produce up to 50
percent of your vessels from July 31, 2011 through July 31, 2012 that
are exempt from the diurnal emission standards. Calculate this
percentage based on your total U.S.-directed production volume.
(2) Small-volume allowances. Small-volume vessel manufacturers may
produce up to 1200 vessels from July 31, 2011 through July 31, 2013 that
are exempt from the diurnal emission standards.
(c) Vessel labeling. You must add a permanent label, written legibly
in English, to a readily visible part of each exempted vessel you
produce under this section. You may combine this with the label required
under 40 CFR 1060.135. This label must include at least the following
items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) The vessel's date of manufacture.
(4) The following statement: ``THIS VESSEL IS EXEMPT FROM DIURNAL
STANDARDS UNDER 40 CFR 1045.625.''
(d) Notification and reporting. You must notify us of your intent to
use the provisions of this section and send us an annual report to
verify that you are not exceeding the allowances, as follows:
(1) Before you produce vessels that are exempt under this section,
send the Designated Compliance Officer a written notice of your intent
with the following information:
(i) Identify your company's name and address, and your parent
company's name and address, if applicable.
(ii) Identify the name, e-mail address, and phone number of a person
to contact for further information.
(iii) Identify the name and address of the company you expect to
produce the fuel tanks you will be using for the vessels exempted under
this section.
(iv) If you qualify as a small-volume vessel manufacturer, state
whether you will comply under paragraph (b)(1) or (b)(2) of this
section.
(v) Include your production figures for the period from July 31,
2009 through July 31, 2010, including figures broken down by model.
(2) Send the Designated Compliance Officer a written report by
December 31, 2012. If you are a small-volume manufacturer using the
provisions of paragraph (b)(2) of this section to produce exempted
vessels after July 31, 2012, send us a second report by December 31,
2013. These reports must include the total number of vessels and the
number of exempted vessels you sold in the preceding year for each
model, based on actual U.S.-directed production information. You may
omit the count of compliant vessels if you include in the report a
statement that you are not using the percent-of-production allowances in
paragraph (b)(1) of this section. If you initially comply using the
percent-of-production allowances in paragraph (b)(1) of this section,
you may not use the small-volume allowances in paragraph (b)(2) of this
section for later production.
(3) If you send your initial notification under paragraph (d)(1) of
this section after the specified deadline, we may approve your use of
allowances under this section. In your request, describe why you were
unable to meet the deadline. We will not approve your request if the
delay could have been avoided with reasonable care and discretion.
(e) Recordkeeping. Keep the following records of all exempted
vessels you produce under this section:
(1) The model number, serial number, and the date of manufacture for
each vessel.
(2) The total number or percentage of exempted vessels as described
in paragraph (b) of this section and all documentation supporting your
calculation.
(3) The notifications and reports we require under paragraph (d) of
this section.
(f) Provisions for fuel tank manufacturers. As a fuel tank
manufacturer, you may produce fuel tanks as needed for

[[Page 605]]

vessel manufacturers under this section without our prior approval.
These fuel tanks are exempt from the diurnal emission standards. Note
that this diurnal exemption does not affect the requirements related to
permeation emissions specified in Sec. 1045.112. You must have written
assurance from vessel manufacturers that they need a certain number of
exempted fuel tanks under this section. You must keep records of the
number of exempted fuel tanks you sell to each vessel manufacturer.
(g) Enforcement. Producing more exempted vessels than we allow under
this section violates the prohibitions in 40 CFR 1068.101(a)(1). Vessel
manufacturers and fuel tank manufacturers must keep the records we
require under this section until at least December 31, 2017 and give
them to us if we ask for them (see 40 CFR 1068.101(a)(2)).

Sec. 1045.630 What is the personal-use exemption.

This section applies to individuals who manufacture recreational
vessels for personal use with used engines. If you and your vessel meet
all the conditions of this section, the vessel and its engine are
considered to be exempt from the standards and requirements of this part
that apply to new engines, including standards and requirements related
to evaporative emissions. For example, you are not required to use
certified fuel system components or otherwise obtain certificates of
conformity showing that the vessel meets evaporative emission standards,
and you do not need to install a certified engine.
(a) The vessel may not be manufactured from a previously certified
vessel, nor may it be manufactured from a partially complete vessel that
is equivalent to a certified vessel. The vessel must be manufactured
primarily from unassembled components, but may incorporate some
preassembled components. For example, fully preassembled steering
assemblies may be used. You may also power the vessel with an engine
that was previously used in a highway or land-based nonroad application.
(b) The vessel may not be sold within five years after the date of
final assembly.
(c) No individual may manufacture more than one vessel in any five-
year period under this exemption.
(d) You may not use the vessel in any revenue-generating service or
for any other commercial purpose. For example, this exemption does not
apply for vessels used in commercial fishing or charter service.
(e) This exemption may not be used to circumvent the requirements of
this part or the requirements of the Clean Air Act. For example, this
exemption would not cover a case in which a person sells an almost
completely assembled vessel to another person, who would then complete
the assembly. This would be considered equivalent to the sale of the
complete new vessel. This section also does not allow engine
manufacturers to produce new engines that are exempt from emission
standards and it does not provide an exemption from the prohibition
against tampering with certified engines.

Sec. 1045.635 What special provisions apply for small-volume engine
manufacturers?

This section describes how we apply the special provisions in this
part for small-volume engine manufacturers.
(a) Special provisions apply for certain small-volume engine
manufacturers, as illustrated by the following examples:
(1) Additional lead time and other provisions related to the
transition to new emission standards. See Sec. 1045.145.
(2) More flexible arrangements for creating engine families for
high-performance engines. See Sec. 1045.230.
(3) Assigned deterioration factors. See Sec. 1045.240.
(4) Waived requirements for production-line testing. See Sec.
1045.301.
(5) Additional special provisions apply for small-volume engine and
vessel manufacturers. For example, see Sec. 1045.625 and 40 CFR
1068.250.
(b) If you use any of the provisions of this part that apply
specifically to small-volume engine manufacturers and we find that you
do not qualify to use these provisions, we may consider you to be in
violation of the requirements that apply for companies that are not
small-volume engine manufacturers. If your number of employees

[[Page 606]]

grows to the point that you no longer qualify as a small-volume engine
manufacturer, we will work with you to determine a reasonable schedule
for complying with additional requirements that apply. For example, if
you no longer qualify as a small-volume engine manufacturer shortly
before you certify your engines for the next model year, we might allow
you to use assigned deterioration factors for one more model year.

Sec. 1045.640 What special provisions apply to branded engines?

The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1045.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1045.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

Sec. 1045.645 What special provisions apply for converting an engine
to use an alternate fuel?

A certificate of conformity is no longer valid for an engine if the
engine is modified such that it is not in a configuration covered by the
certificate. This section applies if such modifications are done to
convert the engine to run on a different fuel type. Such engines may
need to be recertified as specified in this section if the certificate
is no longer valid for that engine.
(a) Converting a certified new engine to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified engine is not
covered by a certificate of conformity.
(b) Converting a certified engine that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
engine is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified engine for a
partial useful life. For example, if the engine is modified halfway
through its original useful life period, you may generally certify the
engine based on completing the original useful life period; or if the
engine is modified after the original useful life period is past, you
may generally certify the engine based on testing that does not involve
further durability demonstration.
(c) Engines may be certified using the certification procedures for
new engines as specified in this part or using the certification
procedures for aftermarket parts as specified in 40 CFR part 85, subpart
V. Unless the original engine manufacturer continues to be responsible
for the engine as specified in paragraph (d) of this section, you must
remove the original engine manufacturer's emission control information
label if you recertify the engine.
(d) The original manufacturer is not responsible for operation of
modified engines in configurations resulting from modifications
performed by others. In cases where the modification allows an engine to
be operated in either its original configuration or a modified
configuration, the original manufacturer remains responsible for
operation of the modified engine in its original configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted engines. Such entities are engine
manufacturers for purposes of this part.

Sec. 1045.650 Do delegated-assembly provisions apply for marine engines?

The provisions of 40 CFR 1068.261 related to delegated final
assembly do not apply for marine spark-ignition engines certified under
this part 1045. This means that for engines requiring exhaust
aftertreatment (such as catalysts), the engine manufacturers must either
install the aftertreatment on the engine before introducing it into

[[Page 607]]

U.S. commerce or ship the aftertreatment along with the engine.

Sec. 1045.655 What special provisions apply for installing and removing
altitude kits?

An action for the purpose of installing or modifying altitude kits
and performing other changes to compensate for changing altitude is not
considered a prohibited act under 40 CFR 1068.101(b) as long as it is
done consistent with the manufacturer's instructions.

Sec. 1045.660 How do I certify outboard or personal watercraft engines
for use in jet boats?

(a) This section describes how to certify outboard or personal
watercraft engines for use in jet boats. To be certified under this
section, the jet boat engines must be identical in all physical respects
to the corresponding outboard or personal watercraft engines, but may
differ slightly with respect to engine calibrations.
(b) The outboard or personal watercraft engines must meet all the
applicable requirements for outboard or personal watercraft engines. Jet
boat engines certified under this section must meet all the applicable
requirements for sterndrive/inboard engines.
(c) The jet boat engines must be in an engine family separate from
the corresponding outboard or personal watercraft engines.
(d) Jet boat engine families may use emission credits from outboard
or personal watercraft engine families, as described in Sec.
1045.701(d).
(e) Jet-boat engines certified under the provisions of this section
must meet emission standards over the same useful-life period that
applies to the corresponding outboard or personal watercraft engine
family, as described in Sec. 1045.103(e).

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1045.701 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. This applies for engines
with respect to exhaust emissions and for vessels with respect to
evaporative emissions. Participation in this program is voluntary.
(b) The definitions of subpart I 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) Averaging set means a set of engines (or vessels) in which
emission credits may be exchanged only with other engines (or vessels)
in the same averaging set.
(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) Family means engine family for exhaust credits or emission
family for evaporative credits.
(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) Standard means the emission standard that applies under subpart
B of this part for engines or fuel-system components not participating
in the ABT program of this subpart.
(9) Trade means to exchange emission credits, either as a buyer or
seller.
(c) You may not average or exchange banked or traded exhaust credits
with evaporative credits, or vice versa. Evaporative credits generated
by any vessels under this part may be used by any vessels under this
part. Exhaust credits may be exchanged only within an averaging set.
Except as specified in paragraph (d) of this section, the following
criteria define the applicable exhaust averaging sets:
(1) Sterndrive/inboard engines.
(2) Outboard and personal watercraft engines.
(d) Sterndrive/inboard engines certified under Sec. 1045.660 for
jet boats may use HC + NOX and CO exhaust credits generated
from outboard and personal watercraft engines, as long as the credit-
using engine is the same model as an

[[Page 608]]

engine model from an outboard or personal watercraft family. Such
emission credits that you generate under this part 1045 may be used for
averaging, but not for banking or trading. The FEL caps for such jet
boat families are the HC + NOX and CO standard for outboard
and personal watercraft engines. U.S.-directed sales from jet boat
engines using the provisions of this paragraph (d) may not be greater
than the U.S.-directed sales of the same engine model for outboard or
personal watercraft engines.
(e) You may not generate evaporative credits based on permeation
measurements from metal fuel tanks or portable marine fuel tanks.
(f) 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
exhaust emissions from an engine exceed an exhaust FEL or standard (for
example, during a selective enforcement audit), you may use emission
credits to recertify the family with a higher FEL that applies only to
future production.
(g) Emission credits may be used for averaging in the model year
they are generated or banked for averaging in future model years, except
that CO emission credits for outboard and personal watercraft engines
may not be banked or traded.
(h) You may increase or decrease an exhaust FEL during the model
year by amending your application for certification under Sec.
1045.225.
(i) Engine and vessel manufacturers certifying with respect to
evaporative emissions may use emission credits to demonstrate compliance
under this subpart. Component manufacturers may establish FELs for their
certified products, but they may not generate or use emission credits
under this subpart.
(j) In your application for certification, base your showing of
compliance on projected production volumes for engines or vessels
intended for sale in the United States. As described in Sec. 1045.730,
compliance with the requirements of this subpart is determined at the
end of the model year based on actual production volumes for engines or
vessels intended for sale in the United States. Do not include any of
the following engines or vessels to calculate emission credits:
(1) Engines or vessels exempted under subpart G of this part or
under 40 CFR part 1068.
(2) Engines or vessels intended for export.
(3) Engines or vessels that are subject to state emission standards
for that model year. However, this restriction does not apply if we
determine that the state standards and requirements are equivalent to
those of this part and that products sold in such a state will not
generate credits under the state program. For example, you may not
include engines or vessels certified for California if California has
more stringent emission standards for these products or if your products
generate or use emission credits under the California program.
(4) Engines or vessels not subject to the requirements of this part,
such as those excluded under Sec. 1045.5.
(5) Any other engines or vessels where we indicate elsewhere in this
part 1045 that they are not to be included in the calculations of this
subpart.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]

Sec. 1045.705 How do I generate and calculate exhaust emission credits?

The provisions of this section apply for calculating exhaust
emission credits for HC + NOX or CO. You may generate exhaust
emission credits only if you are a certifying engine manufacturer.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg) using consistent units throughout the following
equation:

[[Page 609]]

Emission credits (kg) = (STD-FEL) x (Volume) x (Power) x (UL) x (LF) x
(10^-3)

Where:

STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the averaging,
banking, and trading program within the given family during
the model year, as described in Sec. 1045.701(j).
Power = maximum engine power for the family, in kilowatts (see Sec.
1045.140).
UL = The useful life for the given family.
LF = load factor. Use 0.207. We may specify a different load factor if
we approve the use of special test procedures for an engine
family under 40 CFR 1065.10(c)(2), consistent with good
engineering judgment.

(b) [Reserved]

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]

Sec. 1045.706 How do I generate and calculate evaporative emission
credits?

The provisions of this section apply for calculating evaporative
emission credits. This applies only for fuel tank permeation. You may
generate credits only if you are a certifying vessel manufacturer. This
may include outboard engine manufacturers if they install under-cowl
fuel tanks.
(a) For each participating vessel, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg) using consistent units throughout the following
equation:

Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365) x
(10^-3)
Where:

STD = the emission standard, in g/m\2\/day.
FEL = the family emission limit for the family, in g/m\2\/day, as
described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in the
family, in m\2\.
UL = 5 years, which represents the useful life for the given family.
AF = adjustment factor. Use 1.0 for fuel tank testing performed at 28
[deg]C and 0.60 for testing performed at 40 [deg]C.

(b) For calculating credits under paragraph (a) of this section, the
emission standard and FEL must both be based on test measurements at the
same temperature (28 [deg] or 40 [deg]C). Determine the FEL for
calculating emission credits (relative to testing at 28 [deg]C) as
follows:
(1) To use an FEL below 5.0 g/m\2\/day, it must be based on emission
measurements.
(2) The provisions of this paragraph (b)(2) apply for all emission
families with FELs at or above 5.0 g/m\2\/day. To calculate emission
credits for such emission families, you must choose from one of the
following options and apply it to all your emission families with FELs
at or above 5.0 g/m\2\/day:
(i) Option 1: Establish all your FELs based on emission
measurements. This may include measurements from a certifying fuel tank
manufacturer.
(ii) Option 2: Use an assigned FEL of 10.4 g/m\2\/day. This would
apply without regard to whether any of these emission families have
measured emission levels below 10.4 g/m\2\/day. If any of your fuel
tanks were otherwise certified (by you or the fuel tank manufacturer)
with an FEL between 5.0 and 10.4 g/m\2\/day, the assigned FEL of 10.4 g/
m\2\/day applies only for emission credit calculations.

Sec. 1045.710 How do I average emission credits?

[[Page 610]]

standard, you must obtain enough emission credits to offset the family's
deficit by the due date for the final report required in Sec. 1045.730.
The emission credits used to address the deficit may come from your
other families that generate emission credits in the same model year,
from emission credits you have banked, or from emission credits you
obtain through trading.

Sec. 1045.715 How do I bank emission credits?

(a) Banking is the retention of emission credits by the manufacturer
generating the emission credits for use in future model years for
averaging or trading. You may use banked emission credits only within
the averaging set in which they were generated, except as described in
this subpart.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1045.730. 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.

Sec. 1045.720 How do I trade emission credits?

(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 may be
used only within the averaging set in which they were generated, except
as described in this subpart.
(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 engine or
vessel 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. 1045.255(e) for cases involving fraud.
We may void the certificates of all families participating in a trade
that results in a manufacturer having a negative balance of emission
credits. See Sec. 1045.745.

Sec. 1045.725 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 family that will
be certified using the ABT program. You must also declare the FELs you
select for the 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 emission standard.
(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 a negative credit balance 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. 1045.730 What ABT reports must I send to EPA?

[[Page 611]]

(1) Family designation.
(2) The emission standards that would otherwise apply to the 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 under each FEL.
(4) The projected and actual production volumes for the model year
with a point of retail sale in the United States, as described in Sec.
1045.701(j). For fuel tanks, state the production volume in terms of
total surface area and production volume for each tank configuration and
state the total surface area for the emission family. If you changed an
FEL during the model year, identify the actual production volume
associated with each FEL.
(5) Maximum engine power for each engine configuration, and your
declared value of maximum engine power for the engine family (see Sec.
1045.140).
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
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 families in each averaging set in the applicable model
year is not negative.
(2) State whether you will retain 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 families that generated emission credits for the trade,
including the number of emission credits from each family.
(2) As the buyer, you must include the following information in your
report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each family (if
known).
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(f) 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 (f)(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.

Sec. 1045.735 What records must I keep?

[[Page 612]]

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. 1045.725 and
1045.730.
(d) Keep records of the engine identification number for each engine
or vessel you produce that generates or uses emission credits under the
ABT program. You may identify these numbers as a range.
(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. 1045.745 What can happen if I do not comply with the provisions
of this subpart?

(a) For each 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 a
family if you fail to comply with any provisions of this subpart.
(b) You may certify your family to an FEL above an emission standard
based on a projection that you will have enough emission credits to
offset the deficit for the 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
a family.
(c) We may void the certificate of conformity for a 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. 1045.820).

Subpart I_Definitions and Other Reference Information

Sec. 1045.801 What definitions apply to this part?

The following definitions apply to this part. The definitions apply
to all 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 engine 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 that is difficult to access if it
cannot be adjusted to affect emissions without significantly degrading
engine performance, or if you otherwise 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
decrease emissions in the engine exhaust before it is exhausted to the
environment. Exhaust-gas recirculation (EGR), turbochargers, and oxygen
sensors are not aftertreatment.
Alcohol-fueled engine means 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.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Applicable emission standard or applicable standard means an
emission standard to which an engine (or vessel) is subject.
Additionally, if an engine (or vessel) has been or is being certified to
another standard or FEL, applicable emission standard means the FEL or
other standard to which the engine (or vessel) has been or is being
certified. This definition does not apply to subpart H of this part.
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.

[[Page 613]]

Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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. 1045.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient or
steady-state testing.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Conventional sterndrive/inboard engine means a sterndrive/inboard
engine that is not a high-performance engine.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft and
other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
Days means calendar days unless otherwise specified. For example,
when we specify working days we mean calendar days, excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave. NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at the
end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1045.240 and 1045.245), 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. 1045.505.
Dual fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels.
Emission control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability.

[[Page 614]]

Engine family has the meaning given in Sec. 1045.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Evaporative means relating to fuel emissions controlled by 40 CFR
part 1060. This generally includes emissions that result from permeation
of fuel through the fuel-system materials or from ventilation of the
fuel system.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1045.5, is not
subject to this part 1045.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation (EGR) 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 emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of the emission standards specified in
subpart B of this part 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 (exhaust) or
emission family (evaporative) with respect to all required testing.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels.
Fuel line means hose, tubing, and primer bulbs containing or exposed
to liquid fuel, including hose or tubing that delivers fuel to or from
the engine, as follows:
(1) This includes flexible molded sections for transporting liquid
fuel to or from the engine, but does not include inflexible components
for connecting hose or tubing.
(2) This includes hose or tubing for the vent line or filler neck if
fuel systems are designed such that any portion of the vent-line or
filler-neck material continues to be exposed to liquid fuel after
completion of a refueling event in which an operator fills the fuel tank
using typical methods. For example, we would not consider a filler neck
to be a fuel line if an operator stops refueling after an initial
automatic shutoff that signals the fuel tank is full, where any liquid
fuel in the filler neck during the refueling procedure drains into the
fuel tank.
(3) This does not include primer bulbs that contain liquid fuel only
for priming the engine before starting.
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. In the case where the fuel tank cap or other components
(excluding fuel lines) are directly mounted on the fuel tank, they are
considered to be a part of the fuel tank.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as low-temperature or all-season gasoline.
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.
High-performance means relating to a sterndrive/inboard engine with
maximum engine power above 373 kW that has design features to enhance
power output such that the expected operating time until rebuild is
substantially shorter than 480 hours.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in subpart B of
this part.
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.

[[Page 615]]

Jet boat means a vessel that uses an installed internal combustion
engine powering a water jet pump as its primary source of propulsion and
is designed with open area for carrying passengers. Jet boat engines
qualify as sterndrive/inboard engines.
Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 30 hours of operation.
Manufacture means the physical and engineering process of designing,
constructing, and assembling an engine or vessel.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person
who manufactures an engine, or vessel for sale in the United States or
otherwise introduces a new marine engine into U.S. commerce. This
includes importers who import engines or vessels for resale, but not
dealers. All manufacturing entities under the control of the same person
are considered to be a single manufacturer.
Marine engine means a nonroad engine that is installed or intended
to be installed on a vessel. This includes a portable auxiliary marine
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1045.140.
Maximum test speed has one of the following meanings:
(1) For all testing with two-stroke engines and for testing four-
stroke engines on an engine dynamometer, maximum test speed has the
meaning given in 40 CFR 1065.1001 and Sec. 1045.501.
(2) For testing a four-stroke engine that remains installed in a
vessel, maximum test speed means the engine speed during sustained
operation with maximum operator demand.
Model year means one of the following things:
(1) For freshly manufactured vessels and engines (see definition of
``new propulsion marine engine,'' paragraph (1)), model year means one
of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different than
the calendar year. This must include January 1 of the calendar year for
which the model year is named. It may not begin before January 2 of the
previous calendar year and it must end by December 31 of the named
calendar year. For seasonal production periods not including January 1,
model year means the calendar year in which the production occurs,
unless you choose to certify the applicable engine family with the
following model year. For example, if your production period is June 1,
2010 through November 30, 2010, your model year would be 2010 unless you
choose to certify the engine family for model year 2011.
(2) For an engine that is converted to a propulsion marine engine
after being certified and placed into service as a motor vehicle engine,
a nonroad engine that is not a propulsion marine engine, or a stationary
engine, model year means the calendar year in which the engine was
originally produced. For an engine that is converted to a propulsion
marine engine after being placed into service as a motor vehicle engine,
a nonroad engine that is not a propulsion marine engine, or a stationary
engine without having been certified, model year means the calendar year
in which the engine becomes a new propulsion marine engine. (See
definition of ``new propulsion marine engine,'' paragraph (2).)
(3) [Reserved]
(4) For engines that are not freshly manufactured but are installed
in new vessels, model year means the calendar year in which the engine
is installed in the new vessel (see definition of ``new propulsion
marine engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of

[[Page 616]]

``new propulsion marine engine,'' model year has the meaning given in
paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new propulsion marine engine,'' model year means the
calendar year in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new propulsion marine nonroad engine,'' model year means
the calendar year in which the engine is first assembled in its imported
configuration, unless specified otherwise in this part or in 40 CFR part
1068.
New portable marine fuel tanks and fuel lines means portable marine
fuel tanks and fuel lines that have not yet been placed into service, or
which are otherwise offered for sales as new products.
New propulsion marine engine or new engine means any of the
following things:
(1) A freshly manufactured propulsion marine engine for which the
ultimate purchaser has never received the equitable or legal title. This
kind of engine might commonly be thought of as ``brand new.'' In the
case of this paragraph (1), the engine is new from the time it is
produced until the ultimate purchaser receives the title or the product
is placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine, a
nonroad engine that is not a propulsion marine engine, or a stationary
engine that is later used or intended to be used as a propulsion marine
engine. In this case, the engine is no longer a motor vehicle,
nonpropulsion, or stationary engine and becomes a ``new propulsion
marine engine.'' The engine is no longer new when it is placed into
service as a marine propulsion engine. This paragraph (2) applies for
engines we exclude under Sec. 1045.5, where that engine is later
installed as a propulsion engine in a vessel that is covered by this
part 1045.
(3) [Reserved]
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. This
generally includes installation of used engines in new vessels. The
engine is no longer new when the ultimate purchaser receives a title for
the vessel or the product is placed into service, whichever comes first.
(5) An imported marine engine, subject to the following provisions:
(i) An imported marine engine covered by a certificate of conformity
issued under this part that meets the criteria of one or more of
paragraphs (1) through (4) of this definition, where the original engine
manufacturer holds the certificate, is new as defined by those
applicable paragraphs.
(ii) An imported engine that will be covered by a certificate of
conformity issued under this part, where someone other than the original
engine manufacturer holds the certificate (such as when the engine is
modified after its initial assembly), is a new propulsion marine engine
when it is imported. It is no longer new when the ultimate purchaser
receives a title for the engine or it is placed into service, whichever
comes first.
(iii) An imported propulsion marine engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new. This addresses uncertified engines and vessels
initially placed into service that someone seeks to import into the
United States. Importation of this kind of engine (or vessel containing
such an engine) is generally prohibited by 40 CFR part 1068. However,
the importation of such an engine is not prohibited if the engine has an
earlier model year than that identified in the following table, since it
is not subject to standards:

Applicability of Emission Standards for Propulsion Marine Engines
------------------------------------------------------------------------
Initial model
year of
Engine type emission
standards
------------------------------------------------------------------------
Outboard............................................... 1998
Personal watercraft.................................... 1999
Sterndrive/inboard..................................... 2010
------------------------------------------------------------------------

New vessel means either of the following things:
(1) A vessel for which the ultimate purchaser has never received the
equitable or legal title. The product is no longer new when the ultimate
purchaser receives this title or it is placed into service, whichever
comes first.

[[Page 617]]

(2) An imported vessel that has already been placed into service,
where it has an engine not covered by a certificate of conformity issued
under this part at the time of importation that was manufactured after
the requirements of this part start to apply (see Sec. 1045.1).
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.
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, or vessels, or equipment
that include nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft.
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.
Outboard engine means an assembly of a spark-ignition engine and
drive unit used to propel a vessel from a properly mounted position
external to the hull of the vessel. An outboard drive unit is partially
submerged during operation and can be tilted out of the water when not
in use.
Owners manual means a document or collection of documents prepared
by the engine 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 part 1065.1001.
Personal watercraft means a vessel less than 4.0 meters (13 feet) in
length that uses an installed spark-ignition engine powering a water jet
pump as its primary source of propulsion and is designed with no open
load carrying area that would retain water. The vessel is designed to be
operated by a person or persons positioned on, rather than within the
confines of the hull. A vessel using an outboard engine as its primary
source of propulsion is not a personal watercraft.
Personal watercraft engine means a spark-ignition engine used to
propel a personal watercraft.
Placed into service means put into initial use for its intended
purpose.
Point of first retail sale means the location at which the initial
retail sale occurs. This generally means an equipment dealership, but
may also include an engine seller or distributor in cases where loose
engines are sold to the general public for uses such as replacement
engines.
Portable marine fuel tank has the meaning given in 40 CFR 1060.801.
Ramped-modal means relating to the ramped-modal type of steady-state
test described in Sec. 1045.505.
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 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-volume engine manufacturer means an engine manufacturer with
250 or fewer employees. This includes any employees working for a parent
company and all its subsidiaries.
Small-volume vessel manufacturer means a vessel manufacturer with
500 or fewer employees. This includes any employees working for a parent
company and all its subsidiaries.

[[Page 618]]

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 means relating to emission tests in which engine speed
and load are held at a finite set of essentially constant values.
Steady-state tests are either discrete-mode tests or ramped-modal tests.
Sterndrive/inboard engine means a spark-ignition engine that is used
to propel a vessel, but is not an outboard engine or a personal
watercraft engine. A sterndrive/inboard engine may be either a
conventional sterndrive/inboard engine or a high-performance engine.
Engines on propeller-driven vessels, jet boats, air boats, and
hovercraft are all sterndrive/inboard engines.
Stoichiometric means relating to the particular ratio of air and
fuel such that if the fuel were fully oxidized, there would be no
remaining fuel or oxygen. For example, stoichiometric combustion in a
gasoline-fueled engine typically occurs at an air-to-fuel mass ratio of
about 14.7:1.
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.
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.
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 a hydrogen-to-carbon mass 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 hydrocarbons, alcohols and aldehydes, or other organic
compounds that are measured separately as contained in a gas sample,
expressed as exhaust hydrocarbon from petroleum-fueled engines. The
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means, with respect to any new vessel or new
marine propulsion engine, the first person who in good faith purchases
such new vessel or new engine for purposes other than resale.
Under-cowl fuel line means a fuel line that is entirely contained
within the cowl of an outboard engine. This does not include a fuel line
that crosses through the cowl housing.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year for an engine family means the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer for
which the manufacturer has a reasonable assurance that sale was or will
be made to ultimate purchasers in the United States.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a given
number of hours of operation or calendar years, whichever comes first.
It is the period during which an engine is required to comply with all
applicable emission standards. See Sec. Sec. 1045.103(e), 1045.105(e),
and 1045.112. If an engine has no hour meter, the specified number of
hours does not limit the period during which an in-use engine is
required to comply with emission standards unless the degree of service
accumulation can be verified separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means marine vessel.
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.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.

[[Page 619]]

We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other engines with
multiple possible fueling rates, wide-open throttle also means the
maximum fueling rate at maximum throttle opening under test conditions.

[73 FR 59194, Oct. 8, 2008, as amended at 75 FR 23020, Apr. 30, 2010]

Sec. 1045.805 What symbols, acronyms, and abbreviations does this part use?

The following symbols, acronyms, and abbreviations apply to this
part:
ABT Averaging, banking, and trading.
AECD Auxiliary emission control device.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatt.
m meter.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.

Sec. 1045.810 What materials does this part reference?

Documents listed in this section have been incorporated by reference
into this part. The Director of the Federal Register approved the
incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR
part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation
Docket and Information Center, 1301 Constitution Ave. NW., Room B102,
EPA West Building, Washington, DC 20460 or 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.
(a) SAE material. Table 1 to this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone may
purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://
www.sae.org. Table 1 follows:

Table 1 to Sec. 1045.810--SAE Materials
------------------------------------------------------------------------
Part 1045
Document number and name reference
------------------------------------------------------------------------
SAE J1939-05, Marine Stern Drive and Inboard Spark-Ignition 1045.110
Engine On-Board Diagnostics Implementation Guide, February
2008......................................................
------------------------------------------------------------------------

(b) [Reserved]

Sec. 1045.815 What provisions apply to confidential information?

(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever we
need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you, as
described in 40 CFR 2.204.

[[Page 620]]

Sec. 1045.820 How do I 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. 1045.825 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 and
vessels regulated under this part:
(a) We specify the following requirements related to engine and
vessel certification in this part 1045:
(1) In Sec. 1045.20 we require vessel manufacturers to label their
vessels if they are relying on component certification.
(2) In Sec. 1045.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel
manufacturers.
(3) In Sec. 1045.145 we include various reporting and recordkeeping
requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1045.345 and 1045.350 we specify certain records
related to production-line testing.
(6) In Sec. Sec. 1045.420 and 1045.425 we specify certain records
related to in-use testing.
(7) 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.
(8) In Sec. Sec. 1045.725, 1045.730, and 1045.735 we specify
certain records related to averaging, banking, and trading.
(b) We specify the following requirements related to vessel or
component certification in 40 CFR part 1060:
(1) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(2) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify products.
(3) In 40 CFR 1060.301 we require manufacturers to make engines or
vessels available for our testing if we make such a request.
(4) In 40 CFR 1060.505 we specify information needs for establishing
various changes to published test procedures.
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for reporting
information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing test
information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require vessel manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.

[[Page 621]]

(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.

Sec. Appendix I to Part 1045--Summary of Previous Emission Standards

(a) The following standards, which EPA originally adopted under 40
CFR part 91, apply to outboard and personal watercraft engines produced
from model year 2006 through 2009:
(1) For engines at or below 4.3 kW, the HC+NOX standard
is 81.00 g/kW-hr.
(2) For engines above 4.3 kW, the following HC+NOX
standard applies:
HC+NOX standard = (151 + 557/P0.9) [sdot] 0.250 + 6.00

Where:

STD = The HC+NOX emission standard, in g/kW-hr.
P = The average power of an engine family, in kW.

(b) Table 1 of this appendix describes the phase-in standards for
outboard and personal watercraft engines for model years 1998 through
2005. For engines with maximum engine power above 4.3 kW, the standard
is expressed by the following formula, in g/kW-hr, with constants for
each year identified in Table 1 of this appendix:
[GRAPHIC] [TIFF OMITTED] TR29JN21.168

Table 1 of Appendix I--HC+NOX Phase-In Standards for Outboard and Personal Watercraft Engines
----------------------------------------------------------------------------------------------------------------
Maximum engine power 4.3 kW
Model year power <4.3 kW -----------------------------------
A B
----------------------------------------------------------------------------------------------------------------
1998...................................................... 278.00 0.917 2.44
1999...................................................... 253.00 0.833 2.89
2000...................................................... 228.00 0.750 3.33
2001...................................................... 204.00 0.667 3.78
2002...................................................... 179.00 0.583 4.22
2003...................................................... 155.00 0.500 4.67
2004...................................................... 130.00 0.417 5.11
2005...................................................... 105.00 0.333 5.56
----------------------------------------------------------------------------------------------------------------

[86 FR 34514, June 29, 2021]

Appendix II to Part 1045--Duty Cycles for Propulsion Marine Engines

(a) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
E4 Mode No. Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................ Maximum test speed.............. 100 0.06
2............................................ 80%............................. 71.6 0.14
3............................................ 60%............................. 46.5 0.15
4............................................ 40%............................. 25.3 0.25
5............................................ Warm idle....................... 0 0.40
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Except as noted in Sec. 1045.505, the percent torque is relative to maximum torque at maximum test speed.

(b) The following duty cycle applies for ramped-modal testing:

[[Page 622]]

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC Mode (seconds) Engine speed \1 2\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state...................... 225 Idle................... 0
1b Transition........................ 20 Linear transition...... Linear transition
2a Steady-state...................... 63 Maximum test speed..... 100
2b Transition........................ 20 Linear transition...... Linear transition
*3a Steady-state..................... 271 40%.................... 25.3%
3b Transition........................ 20 Linear transition...... Linear transition
4a Steady-state...................... 151 80%.................... 71.6%
4b Transition........................ 20 Linear transition...... Linear transition
5a Steady-state...................... 161 60%.................... 46.5%
5b Transition........................ 20 Linear transition...... Linear transition
6 Steady-state....................... 229 Warm idle.............. 0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
linear progressions of speed and torque from the speed setting and torque setting of the current mode to the
speed setting and torque setting of the next mode.
\3\ Except as noted in Sec. 1045.505, the percent torque is relative to maximum torque at maximum test speed.

PART 1048_CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-IGNITION ENGINES--Table of Contents

Subpart A_Overview and Applicability

Sec.
1048.1 Does this part apply to me?
1048.2 Who is responsible for compliance?
1048.5 Which engines are excluded from this part's requirements?
1048.10 How is this part organized?
1048.15 Do any other regulation parts apply to me?
1048.20 What requirements from this part apply to excluded stationary
engines?
1048.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1048.101 What exhaust emission standards must my engines meet?
1048.105 What evaporative emissions standards and requirements apply?
1048.110 How must my engines diagnose malfunctions?
1048.115 What other requirements apply?
1048.120 What warranty requirements apply to me?
1048.125 What maintenance instructions must I give to buyers?
1048.130 What installation instructions must I give to equipment
manufacturers?
1048.135 How must I label and identify the engines I produce?
1048.140 What are the provisions for certifying Blue Sky Series engines?
1048.145 Are there interim provisions that apply only for a limited
time?

Subpart C_Certifying Engine Families

1048.201 What are the general requirements for obtaining a certificate
of conformity?
1048.205 What must I include in my application?
1048.210 May I get preliminary approval before I complete my
application?
1048.220 How do I amend the maintenance instructions in my application?
1048.225 How do I amend my application for certification to include new
or modified engine configurations?
1048.230 How do I select engine families?
1048.235 What emission testing must I perform for my application for a
certificate of conformity?
1048.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1048.245 How do I demonstrate that my engine family complies with
evaporative emission standards?
1048.250 What records must I keep and make available to EPA?
1048.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D_Testing Production-line Engines

1048.301 When must I test my production-line engines?
1048.305 How must I prepare and test my production-line engines?
1048.310 How must I select engines for production-line testing?
1048.315 How do I know when my engine family fails the production-line
testing requirements?
1048.320 What happens if one of my production-line engines fails to meet
emission standards?
1048.325 What happens if an engine family fails the production-line
testing requirements?
1048.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1048.335 How do I ask EPA to reinstate my suspended certificate?

[[Page 623]]

1048.340 When may EPA revoke my certificate under this subpart and how
may I sell these engines again?
1048.345 What production-line testing records must I send to EPA?
1048.350 What records must I keep?

Subpart E_Testing In-use Engines

1048.401 What testing requirements apply to my engines that have gone
into service?
1048.405 How does this program work?
1048.410 How must I select, prepare, and test my in-use engines?
1048.415 What happens if in-use engines do not meet requirements?
1048.420 What in-use testing information must I report to EPA?
1048.425 What records must I keep?

Subpart F_Test Procedures

1048.501 How do I run a valid emission test?
1048.505 How do I test engines using steady-state duty cycles, including
ramped-modal testing?
1048.510 What transient duty cycles apply for laboratory testing?
1048.515 What are the field-testing procedures?

Subpart G_Compliance Provisions

1048.601 What compliance provisions apply to these engines?
1048.605 What provisions apply to engines certified under the motor
vehicle program?
1048.610 What provisions apply to vehicles certified under the motor
vehicle program?
1048.612 What is the exemption for delegated final assembly?
1048.615 What are the provisions for exempting engines designed for lawn
and garden applications?
1048.620 What are the provisions for exempting large engines fueled by
natural gas or liquefied petroleum gas?
1048.625 What special provisions apply to engines using noncommercial
fuels?
1048.630 What are the provisions for exempting engines used solely for
competition?
1048.635 What special provisions apply to branded engines?
1048.640 What special provisions apply for small-volume engine
manufacturers?

Subpart H [Reserved]

Subpart I_Definitions and Other Reference Information

1048.801 What definitions apply to this part?
1048.805 What symbols, acronyms, and abbreviations does this part use?
1048.810 What materials does this part reference?
1048.815 What provisions apply to confidential information?
1048.820 How do I request a hearing?
1048.825 What reporting and recordkeeping requirements apply under this
part?

Appendix I to Part 1048 [Reserved]
Appendix II to Part 1048--Large Spark-ignition (SI) Composite Transient
Cycle

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

Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1048.1 Does this part apply to me?

(a) The regulations in this part 1048 apply for all new, spark-
ignition nonroad engines (defined in Sec. 1048.801) with maximum engine
power above 19 kW, except as provided in Sec. 1048.5.
(b) This part 1048 applies for engines built on or after January 1,
2004. You need not follow this part for engines you produce before
January 1, 2004. See Sec. Sec. 1048.101 through 1048.115, Sec.
1048.145, and the definition of model year in Sec. 1048.801 for more
information about the timing of new requirements.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes
certain engines used in stationary applications. These engines may be
required by 40 CFR part 60, subpart JJJJ, to comply with some of the
provisions of this part 1048; otherwise, these engines are only required
to comply with the requirements in Sec. 1048.20. In addition, the
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines
for nonstationary purposes unless they are certified under this part
1048 to the same standards that would apply to nonroad engines for the
same model year.
(d) In certain cases, the regulations in this part 1048 apply to
engines with maximum engine power at or below 19 kW that would otherwise
be covered by 40 CFR part 90 or 1054. See 40 CFR 90.913 or 1054.615 for
provisions related to this allowance.

[70 FR 40465, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008; 73
FR 59231, Oct. 8, 2008]

Sec. 1048.2 Who is responsible for compliance?

The regulations in this part 1048 contain provisions that affect
both engine

[[Page 624]]

manufacturers and others. However, the requirements of this part are
generally addressed to the engine manufacturer. The term ``you''
generally means the engine manufacturer, as defined in Sec. 1048.801,
especially for issues related to certification (including production-
line testing, reporting, etc.).

[73 FR 59231, Oct. 8, 2008]

Sec. 1048.5 Which engines are excluded from this part's requirements?

This part does not apply to the following nonroad engines:
(a) Engines that are certified to meet the requirements of 40 CFR
part 1051, or are otherwise subject to 40 CFR part 1051 (for example,
engines used in snowmobiles and all-terrain vehicles).
(b) Propulsion marine engines. See 40 CFR parts 91 and 1045. This
part applies with respect to auxiliary marine engines.
(c) Engines that are certified to meet the requirements of 40 CFR
parts 92 or 1033 (locomotive engines), or are otherwise subject to 40
CFR parts 92 or 1033.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008]

Sec. 1048.10 How is this part organized?

This part 1048 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1048
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 engines under this part.
Note that Sec. 1048.145 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
production-line engines.
(e) Subpart E of this part describes general 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 and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment manufacturers, owners, operators, rebuilders,
and all others.
(h) [Reserved]
(i) Subpart I of this part contains definitions and other reference
information.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008]

Sec. 1048.15 Do any other regulation parts apply to me?

(a) Part 1060 of this chapter describes standards and procedures for
controlling evaporative emissions from engines fueled by gasoline or
other volatile liquid fuels and the associated fuel systems. These
requirements apply to engine manufacturers as specified in this part
1048. Part 1060 applies optionally for equipment manufacturers and fuel-
system component manufacturers for certifying their products.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1048 describes how to apply the provisions of part 1065
of this chapter to determine whether engines meet the exhaust emission
standards in this part.
(c) The 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 engines subject to this part
1048, or equipment containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment 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) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.

[70 FR 40465, July 13, 2005, as amended at 73 FR 59232, Oct. 8, 2008; 74
FR 8426, Feb. 24, 2009; 75 FR 23021, Apr. 30, 2010]

[[Page 625]]

Sec. 1048.20 What requirements from this part apply to excluded
stationary engines?

(a) You must add a permanent label or tag to each new engine you
produce or import that is excluded under Sec. 1048.1(c) as a stationary
engine and is not required by 40 CFR part 60, subpart JJJJ, to meet the
standards and other requirements of this part 1048 that are equivalent
to the requirements applicable to nonroad SI engines for the same model
year. To meet labeling requirements, you must do the following things:
(1) Attach the label or tag in one piece so no one can remove it
without destroying or defacing it.
(2) Secure it to a part of the engine needed for normal operation
and not normally requiring replacement.
(3) Make sure it is durable and readable for the engine's entire
life.
(4) Write it in English.
(5) Follow the requirements in Sec. 1048.135(g) regarding duplicate
labels if the engine label is obscured in the final installation.
(b) Engine labels or tags required under this section must have the
following information:
(1) Include the heading ``EMISSION CONTROL INFORMATION''.
(2) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(3) State the engine displacement (in liters) and maximum engine
power.
(4) State: ``THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 40 CFR
PART 1048 AS A ``STATIONARY ENGINE'' AND THE OWNER/OPERATOR MUST COMPLY
WITH THE REQUIREMENTS OF 40 CFR PART 60. INSTALLING OR USING THIS ENGINE
IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTY.''.
(c) Stationary engines required by 40 CFR part 60, subpart JJJJ, to
meet the requirements of this part 1048 must meet the labeling
requirements of 40 CFR 60.4242.

[70 FR 40466, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008]

Sec. 1048.30 Submission of information.

(a) This part includes various requirements to record data or other
information. Refer to Sec. 1048.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for certification,
or one year after you generate the data if they do not support an
application for certification. You must promptly send us organized,
written records in English if we ask for them. We may review them at any
time.
(b) The regulations in Sec. 1048.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1048.801).
(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.

[75 FR 23021, Apr. 30, 2010]

Subpart B_Emission Standards and Related Requirements

Sec. 1048.101 What exhaust emission standards must my engines meet?

The exhaust emission standards of this section apply by model year.
You may certify engines earlier than we require. The Tier 1 standards
apply only to steady-state testing, as described in paragraph (b) of
this section. The Tier 2 standards apply to steady-state, transient, and
field testing, as described in paragraphs (a), (b), and (c) of this
section.
(a) Emission standards for transient testing. Starting in the 2007
model year, transient exhaust emissions from your engines may not exceed
the Tier 2 emission standards, as follows:

[[Page 626]]

(1) Measure emissions using the applicable transient test procedures
described in subpart F of this part.
(2) The Tier 2 HC + NOX standard is 2.7 g/kW-hr and the
Tier 2 CO standard is 4.4 g/kW-hr. For severe-duty engines, the Tier 2
HC + NOX standard is 2.7 g/kW-hr and the Tier 2 CO standard
is 130.0 g/kW-hr. The following engines are not subject to the transient
standards in this paragraph (a):
(i) High-load engines.
(ii) Engines with maximum engine power above 560 kW.
(iii) Engines with maximum test speed above 3400 rpm.
(iv) Constant-speed engines and severe-duty engines.
(3) You may optionally certify your engines according to the
following formula instead of the standards in paragraph (a)(1) of this
section: (HC + NOX) x CO\0.784\ <=8.57. The HC +
NOX and CO emission levels you select to satisfy this
formula, rounded to the nearest 0.1 g/kW-hr, become the emission
standards that apply for those engines. You may not select an HC +
NOX emission standard higher than 2.7 g/kW-hr or a CO
emission standard higher than 20.6 g/kW-hr. The following table
illustrates a range of possible values under this paragraph (a)(3):

Table 1 of Sec. 1048.101--Examples of Possible Tier 2 Duty-cycle
Emission Standards
------------------------------------------------------------------------
CO (g/kW-
HC + NOX (g/kW-hr) hr)
------------------------------------------------------------------------
2.7........................................................ 4.4
2.2........................................................ 5.6
1.7........................................................ 7.9
1.3........................................................ 11.1
1.0........................................................ 15.5
0.8........................................................ 20.6
------------------------------------------------------------------------

(b) Standards for steady-state testing. Except as we allow in
paragraph (d) of this section, steady-state exhaust emissions from your
engines may not exceed emission standards, as follows:
(1) Measure emissions using the applicable steady-state test
procedures described in subpart F of this part:
(2) The following table shows the Tier 1 exhaust emission standards
that apply to engines from 2004 through 2006 model years:

Table 2 of Sec. 1048.101--Tier 1 Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
General emission Alternate emission
standards standards for severe-
Testing -------------------------- duty engines
-------------------------
HC + NOX CO HC + NOX CO
----------------------------------------------------------------------------------------------------------------
Certification and production-line testing................... 4.0 50.0 4.0 130.0
In-use testing.............................................. 5.4 50.0 5.4 130.0
----------------------------------------------------------------------------------------------------------------

(3) Starting in the 2007 model year, steady-state exhaust emissions
from your engines may not exceed the numerical emission standards in
paragraph (a) of this section. See paragraph (d) of this section for
alternate standards that apply for certain engines.
(c) Standards for field testing. Starting in 2007, exhaust emissions
may not exceed field-testing standards, as follows:
(1) Measure emissions using the field-testing procedures in subpart
F of this part:
(2) The HC + NOX standard is 3.8 g/kW-hr and the CO
standard is 6.5 g/kW-hr. For severe-duty engines, the HC +
NOX standard is 3.8 g/kW-hr and the CO standard is 200.0 g/
kW-hr. For natural gas-fueled engines, you are not required to measure
nonmethane hydrocarbon emissions or total hydrocarbon emissions for
testing to show that the engine meets the emission standards of this
paragraph (c); that is, you may assume HC emissions are equal to zero.
(3) You may apply the following formula to determine alternate
emission standards that apply to your engines instead of the standards
in paragraph (c)(1) of this section: (HC + NOX) x CO\0.791\
<=16.78. HC + NOX emission levels may not exceed 3.8 g/kW-hr
and CO emission levels may not exceed 31.0 g/kW-hr. The following table
illustrates a range of possible values under this paragraph (c)(2):

[[Page 627]]

Table 3 of Sec. 1048.101--Examples of Possible Tier 2 Field-testing
Emission Standards
------------------------------------------------------------------------
CO (g/kW-
HC + NOX (g/kW-hr) hr)
------------------------------------------------------------------------
3.8........................................................ 6.5
3.1........................................................ 8.5
2.4........................................................ 11.7
1.8........................................................ 16.8
1.4........................................................ 23.1
1.1........................................................ 31.0
------------------------------------------------------------------------

(d) Engine protection. For engines that require enrichment at high
loads to protect the engine, you may ask to meet alternate Tier 2
standards of 2.7 g/kW-hr for HC + NOX and 31.0 g/kW-hr for CO
instead of the emission standards described in paragraph (b)(2) of this
section for steady-state testing. If we approve your request, you must
still meet the transient testing standards in paragraph (a) of this
section and the field-testing standards in paragraph (c) of this
section. To qualify for this allowance, you must do all the following
things:
(1) Show that enrichment is necessary to protect the engine from
damage.
(2) Show that you limit enrichment to operating modes that require
additional cooling to protect the engine from damage.
(3) Show in your application for certification that enrichment will
rarely occur in use in the equipment in which your engines are
installed. For example, an engine that is expected to operate 5 percent
of the time in use with enrichment would clearly not qualify.
(4) Include in your installation instructions any steps necessary
for someone installing your engines to prevent enrichment during normal
operation (see Sec. 1048.130).
(e) Fuel types. The exhaust emission standards in this section apply
for engines using each type of fuel specified in 40 CFR part 1065,
subpart H, on which the engines in the engine family are designed to
operate, except for engines certified under Sec. 1048.625. For engines
certified under Sec. 1048.625, the standards of this section apply to
emissions measured using the specified test fuel. You must meet the
numerical emission standards for hydrocarbons in this section based on
the following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Natural gas-fueled engines: NMHC emissions.
(2) Alcohol-fueled engines: THCE emissions.
(3) Other engines: THC emissions.
(f) Small engines. Certain engines with total displacement at or
below 1000 cc may comply with the requirements of 40 CFR part 90 or 1054
instead of complying with the requirements of this part, as described in
Sec. 1048.615.
(g) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (c) of this section over their full
useful life. For severe-duty engines, the minimum useful life is 1,500
hours of operation or seven years, whichever comes first. For all other
engines, the minimum useful life is 5,000 hours of operation or seven
years, whichever comes first.
(1) Specify a longer useful life in hours for an engine family under
either of two conditions:
(i) If you design, advertise, or market your engine to operate
longer than the minimum useful life (your recommended hours until
rebuild may indicate a longer design life).
(ii) If your basic mechanical warranty is longer than the minimum
useful life.
(2) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have 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. The

[[Page 628]]

useful life value may not be shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(h) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. Sec. 1048.505 and 1048.510, including certification,
production-line, and in-use testing. The field-testing standards apply
for all testing performed according to the procedures of subpart F of
this part.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40466, July 13, 2005; 73
FR 3613, Jan. 18, 2008; 73 FR 59232, Oct. 8, 2008]

Sec. 1048.105 What evaporative emission standards and requirements apply?

Starting in the 2007 model year, new engines that run on a volatile
liquid fuel (such as gasoline) must meet the emission standards of this
section over a useful life of five years, except as specified in
paragraph (f) of this section. Note that Sec. 1048.245 allows you to
use design-based certification instead of generating new emission data.
(a) Fuel line permeation. For nonmetallic fuel lines, you must
specify and use products that meet the Category 1 specifications for
permeation in the November 1996 or November 2004 versions of SAE J2260
(both incorporated by reference in Sec. 1048.810).
(b) [Reserved]
(c) Diurnal emissions. Evaporative hydrocarbon emissions may not
exceed 0.2 grams per gallon of fuel tank capacity when measured using
the test procedures specified in Sec. 1048.501. Diurnal emission
controls must continue to function during engine operation.
(d) Running loss. Liquid fuel in the fuel tank may not reach boiling
during continuous engine operation in the final installation at an
ambient temperature of 30 [deg]C. Note that gasoline with a Reid vapor
pressure of 62 kPa (9 psi) begins to boil at about 53 [deg]C at
atmospheric pressure, and at about 60 [deg]C for fuel tanks that hold
pressure as described in Sec. 1048.245(e)(1)(i).
(e) Installation. If other companies install your engines in their
equipment, you may introduce your engines into U.S. commerce without
meeting all the requirements in this section. However, you must give
equipment manufacturers any appropriate instructions so that fully
assembled equipment will meet all the requirements in this section, as
described in Sec. 1048.130. Your instructions may specify that
equipment manufacturers may alternatively use other fuel-system
components that have been certified under 40 CFR part 1060. Introducing
equipment into U.S. commerce without meeting all the requirements of
this section violates 40 CFR 1068.101(a)(1).
(f) Motor vehicles and marine vessels. Motor vehicles and marine
vessels may contain engines subject to the exhaust emission standards in
this part 1048. Evaporative emission standards apply to these products
as follows:
(1) Marine vessels using spark-ignition engines are subject to the
requirements of 40 CFR part 1045. The vessels are not required to comply
with the evaporative emission standards and related requirements of this
part 1048.
(2) Motor vehicles are subject to the requirements of 40 CFR part
86. They are not required to comply with the evaporative emission
standards and related requirements of this part 1048.

[73 FR 59232, Oct. 8, 2008, as amended at 78 FR 36396, June 17, 2013]

Sec. 1048.110 How must my engines diagnose malfunctions?

[[Page 629]]

apply to your engine, you must use an alternative approach that we
approve in advance. Your alternative approach must generally detect when
the emission-control system is not functioning properly.
(b) Use a malfunction-indicator light (MIL). The MIL must be readily
visible to the operator; it may be any color except red. When the MIL
goes on, it must display ``Check Engine,'' ``Service Engine Soon,'' or a
similar message that we approve. You may use sound in addition to the
light signal. The MIL must go on under each of the following
circumstances:
(1) When a malfunction occurs, as described in paragraph (a) of this
section.
(2) When the diagnostic system cannot send signals to meet the
requirement of paragraph (b)(1) of this section.
(3) When the engine's ignition is in the ``key-on'' position before
starting or cranking. The MIL should go out after engine starting if the
system detects no malfunction.
(c) Control when the MIL can go out. If the MIL goes on to show a
malfunction or system error, it must remain on during all later engine
operation until servicing corrects the malfunction. If the engine is not
serviced, but the malfunction or system error does not recur for three
consecutive engine starts during which the malfunctioning system is
evaluated and found to be working properly, the MIL may stay off during
later engine operation.
(d) Store trouble codes in computer memory. 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 (g) 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.
(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 engine can read
and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
(f) Consider exceptions for certain conditions. Your diagnostic
systems may disregard trouble codes for the first three minutes after
engine starting. You may ask us to approve diagnostic-system designs
that disregard trouble codes under other conditions that would produce
an unreliable reading, damage systems or components, or cause other
safety risks. This might include operation at altitudes over 8,000 feet.
(g) Follow standard references for formats, codes, and connections.
Follow conventions defined in 40 CFR 1045.110 or in the following
documents (incorporated by reference in Sec. 1048.810) or ask us to
approve using updated versions of (or variations from) these documents:
(1) ISO 9141-2 Road vehicles-Diagnostic systems--Part 2: CARB
requirements for interchange of digital information, February 1994.
(2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol
2000--Part 4: Requirements for emission-related systems, June 2000.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59232, Oct. 8, 2008]

Sec. 1048.115 What other requirements apply?

Engines that are required to meet the emission standards of this
part must meet the following requirements:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Engines 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 the following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
(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

[[Page 630]]

the exhaust upstream of exhaust aftertreatment during all operation are
not considered to be discharged directly into the ambient atmosphere.
(b) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value for determining
torque. Engines must broadcast engine parameters such that they can be
read with a remote device, or broadcast them directly to their
controller area networks. This information is necessary for testing
engines in the field (see Sec. 1048.515). This requirement applies
beginning in the 2007 model year. Small-volume engine manufacturers may
omit this requirement.
(c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to convert
these into torque units. We will not ask for hardware or tools if they
are readily available commercially.
(d) [Reserved]
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing.
(f) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(g) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission-control device that
reduces the effectiveness of emission controls under conditions that the
engine may reasonably be expected to encounter during normal operation
and use. This does not apply to auxiliary-emission control devices you
identify in your certification application if any of the following is
true:
(1) The conditions of concern were substantially included in the
applicable test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40467, July 13, 2005; 73
FR 59233, Oct. 8, 2008]

Sec. 1048.120 What emission-related warranty requirements apply to me?

(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new nonroad engine, 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. Your emission-related warranty for evaporative
emission controls must be valid for at least two years. Your emission-
related warranty for exhaust emission controls must be valid for at
least 50 percent of the engine's useful life in hours of operation or at
least three years, whichever comes first. In the case of a high-cost
warranted part, the warranty must be valid for at least 70 percent of
the engine's useful life in hours of operation or at least five years,
whichever comes first. You may offer an emission-related warranty more
generous than we require. The emission-related warranty for the engine
may not be shorter than any published warranty you offer without charge
for the engine. Similarly,

[[Page 631]]

the emission-related warranty for any component may not be shorter than
any published warranty you offer without charge for that component. If
an engine has no hour meter, we base the warranty periods in this
paragraph (b) only on the engine's age (in years). The warranty period
begins when the engine is placed into service.
(c) Components covered. The emission-related warranty covers all
your components whose failure would increase an engine's emissions of
any regulated pollutant, including 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 these components
even if another company produces the component for you. Your emission-
related warranty does not cover components whose failure would not
increase an engine'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.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40467, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008; 75
FR 23021, Apr. 30, 2010]

Sec. 1048.125 What maintenance instructions must I give to buyers?

Give the ultimate purchaser of each new nonroad engine written
instructions for properly maintaining and using the engine, including
the emission-control system. The maintenance instructions also apply to
service accumulation on your emission-data engines, as described in 40
CFR part 1065.
(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 meet the following conditions:
(1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
(i) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the engine's
performance.
(ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance more
frequently than the following minimum intervals, except as specified in
paragraphs (a)(3), (b) and (c) of this section:
(i) For catalysts, fuel injectors, electronic control units,
superchargers, and turbochargers: The useful life of the engine family.
(ii) For gaseous fuel-system components (cleaning without
disassembly only) and oxygen sensors: 2,500 hours.
(3) If your engine family has an alternate useful life under Sec.
1048.101(g) that is shorter than the period specified in paragraph
(a)(2)(ii) of this section, you may not schedule critical emission-
related maintenance more frequently than the alternate useful life,
except as specified in paragraph (c) of this section.
(4) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other

[[Page 632]]

available information to establish alternate specifications for
maintenance intervals, if appropriate.
(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 engines from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as substandard
fuel or atypical engine operation. For example, you may specify more
frequent cleaning of fuel system components for engines you have reason
to believe will be using fuel that causes substantially more engine
performance problems than commercial fuels of the same type that are
generally available across the United States. 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 engine 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 (i.e., 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 changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps during
service accumulation on your emission-data engines.
(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
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines at
the least frequent intervals that you recommend to the ultimate
purchaser (but not the intervals recommended for severe service).
(f) Source of parts and repairs. State clearly on the first page of
your written 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
engine 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 engine will work properly only

[[Page 633]]

with the identified component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before January 1, 2004.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[70 FR 40468, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008; 75
FR 23021, Apr. 30, 2010]

Sec. 1048.130 What installation instructions must I give to equipment
manufacturers?

(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, 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 piece of nonroad equipment violates federal law
(40 CFR 1068.105(b)), subject to fines or other penalties as described
in the Clean Air Act.''.
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1048.205(v).
(4) Describe the steps needed to control evaporative emissions, as
described in Sec. Sec. 1048.105 and 1048.245.
(5) Describe any necessary steps for installing the diagnostic
system described in Sec. 1048.110.
(6) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only for
constant-speed operation, tell equipment manufacturers not to install
the engines in variable-speed applications. Also, if you need to avoid
sustained high-load operation to meet the field-testing emission
standards we specify in Sec. 1048.101(c) or to comply with the
provisions of Sec. 1048.101(d), describe how the equipment manufacturer
must properly size the engines for a given application.
(7) 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.
(8) 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 equipment,
as described in 40 CFR 1068.105.''.
(c) You do not need installation instructions for engines you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40469, July 13, 2005]

Sec. 1048.135 How must I label and identify the engines I produce?

(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.

[[Page 634]]

(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``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 provisions of Sec. 1048.635.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the engine's displacement (in liters); however, you may
omit this from the label if all the engines in the engine family have
the same per-cylinder displacement and total displacement.
(5) State the date of manufacture [DAY (optional), MONTH, and YEAR];
however, you may omit this from the label if you stamp, engrave, or
otherwise permanently identify it elsewhere on the engine, in which case
you must also describe in your application for certification where you
will identify the date on the engine.
(6) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(7) State: ``THIS ENGINE IS CERTIFIED TO OPERATE ON [specify
operating fuel or fuels].''
(8) Identify any requirements for fuel and lubricants. You may omit
this information from the label if there is not enough room for it and
you put it in the owners manual instead.
(9) List specifications and adjustments for engine tuneups; show the
proper position for the transmission during tuneup and state which
accessories should be operating. You may omit this information from the
label if there is not enough room for it and you put it in the owners
manual instead.
(10) State the useful life for your engine family if it has a longer
useful life under Sec. 1048.101(g)(1) or a shortened useful life under
Sec. 1048.101(g)(2).
(11) Identify the emission standards to which you have certified the
engine (in g/kW-hr).
(12) Include one of the following compliance statements:
(i) For engines that may be used in nonroad or stationary equipment,
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR]
NONROAD AND STATIONARY ENGINES.''
(ii) For engines that will be used only in nonroad equipment, state:
``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR]
NONROAD ENGINES.''
(iii) For engines that will be used only in stationary equipment,
state: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR]
STATIONARY ENGINES.''
(13) Include any of the following additional statements for special
situations if they apply to your engines:
(i) If your engines are certified only for constant-speed operation,
state: ``USE IN CONSTANT-SPEED APPLICATIONS ONLY.''
(ii) If your engines are certified only for variable-speed
operation, state: ``USE IN VARIABLE-SPEED APPLICATIONS ONLY.''
(iii) If your engines are certified only for high-load engines,
state: ``THIS ENGINE IS NOT INTENDED FOR OPERATION AT LESS THAN 75
PERCENT OF FULL LOAD.''
(iv) If you certify your engines under Sec. 1048.101(d), and show
in your application for certification that in-use engines will
experience infrequent high-load operation, state: ``THIS ENGINE IS NOT
INTENDED FOR OPERATION AT MORE THAN PERCENT OF FULL LOAD.'' Specify the
appropriate percentage of full load based on the nature of the engine
protection. You may add other statements to discourage operation in
engine-protection modes.
(v) If your engines are certified to the voluntary standards in
Sec. 1048.140, state: ``BLUE SKY SERIES'' and identify the

[[Page 635]]

standard to which you certify the engines.
(d) You may add information to the emission control information
label to identify other emission standards that the engine meets or does
not meet (such as California standards). You may also add other
information to ensure that the engine will be properly maintained and
used.
(e) You may ask us to approve modified labeling requirements in this
part 1048 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.
(f) If you obscure the engine label while installing the engine in
the equipment such that the label cannot be read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures the
engine label, we require them to add a duplicate label on the equipment
(see 40 CFR 1068.105); in that case, give them the number of duplicate
labels they request and keep the following records for at least five
years:
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.

[70 FR 40469, July 13, 2005, as amended at 73 FR 59233, Oct. 8, 2008]

Sec. 1048.140 What are the provisions for certifying Blue Sky Series
engines?

This section defines voluntary standards for a recognized level of
superior emission control for engines designated as ``Blue Sky Series''
engines. If you certify an engine family under this section, it is
subject to all the requirements of this part as if these voluntary
standards were mandatory. To receive a certificate of conformity as
``Blue Sky Series,'' you must certify to one of the sets of exhaust
emission standards in the following table:

Table 1 of Sec. 1048.140--Standards for Blue Sky Series Engines (g/kW-
hr)
------------------------------------------------------------------------
Standards for steady-state and Standards for field-testing
transient test procedures procedures
------------------------------------------------------------------------
HC + NOX CO HC + NOX CO
------------------------------------------------------------------------
0.80 4.4 1.10 6.6
0.60 4.4 0.84 6.6
0.40 4.4 0.56 6.6
0.20 4.4 0.28 6.6
0.10 4.4 0.14 6.6
------------------------------------------------------------------------

[73 FR 59234, Oct. 8, 2008]

Sec. 1048.145 Are there interim provisions that apply only for a
limited time?

The interim provisions in this section apply instead of other
provisions in this part. This section describes when these interim
provisions expire.
(a)-(f) [Reserved]
(g) Small-volume provisions. If you qualify for the hardship
provisions in Sec. 1068.250 of this chapter, we may approve extensions
of up to four years total.

[86 FR 34515, June 29, 2021]

Subpart C_Certifying Engine Families

Sec. 1048.201 What are the general requirements for obtaining a certificate
of conformity?

[[Page 636]]

(e) An authorized representative of your company must approve and
sign the application.
(f) See Sec. 1048.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test engines to a facility we
designate for our testing (see Sec. 1048.235(c)).
(h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec. 1048.801.

[70 FR 40470, July 13, 2005, as amended at 73 FR 59234, Oct. 8, 2008; 75
FR 23022, Apr. 30, 2010]

Sec. 1048.205 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.
1048.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
types on which your engines are designed to operate (for example,
gasoline and natural gas). List each distinguishable engine
configuration in the engine family.
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls, if applicable. Also describe in detail
all system components for controlling exhaust 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 (b),
treat as separate AECDs any devices that modulate or activate
differently from each other. Include sufficient detail to allow us to
evaluate whether the AECDs are consistent with the defeat device
prohibition of Sec. 1048.115.
(c) Explain how the engine diagnostic system works, describing
especially the engine conditions (with the corresponding diagnostic
trouble codes) that cause the malfunction-indicator light to go on.
Propose what you consider to be extreme conditions under which the
diagnostic system should disregard trouble codes, as described in Sec.
1048.110.
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1048.501).
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of each test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065, subpart H.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1048.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a piece of nonroad
equipment (see Sec. 1048.130).
(k) Identify each high-cost warranted part and show us how you
calculated its replacement cost, including the estimated retail cost of
the part, labor rates, and labor hours to diagnose and replace defective
parts.
(l) Describe your emission control information label (see Sec.
1048.135).
(m) Identify the emission standards to which you are certifying
engines in the engine family.
(n) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1048.240). Present any emission test
data you used for this.
(o) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.

[[Page 637]]

(p) Present emission data to show that you meet emission standards,
as follows:
(1) Present exhaust emission data for HC, NOX, and CO on
an emission-data engine to show your engines meet the applicable duty-
cycle emission standards we specify in Sec. 1048.101. Show emission
figures before and after applying deterioration factors for each engine.
Include emission results for each mode if you do discrete-mode testing
under Sec. 1048.505. Include test data for each type of fuel from 40
CFR part 1065, subpart H, on which you intend for engines in the engine
family to operate (for example, gasoline, liquefied petroleum gas,
methanol, or natural gas). If we specify more than one grade of any fuel
type (for example, a summer grade and winter grade of gasoline), you
need to submit test data only for one grade unless the regulations of
this part specify otherwise for your engine. Note that Sec. 1048.235
allows you to submit an application in certain cases without new
emission data.
(2) If your engine family includes a volatile liquid fuel (and you
do not use design-based certification under Sec. 1048.245), present
evaporative test data to show your vehicles meet the evaporative
emission standards we specify in subpart B of this part. Show these
figures before and after applying deterioration factors, where
applicable.
(q) State that all the engines in the engine family comply with the
field-testing emission standards we specify in Sec. 1048.101(c) for all
normal operation and use when tested as specified in Sec. 1048.515.
Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(r) For engines not subject to transient testing requirements in
Sec. 148.101(a), include information showing how your emission controls
will function during normal in-use transient operation. For example,
this might include the following:
(1) Emission data from transient testing of engines using
measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient
emissions with that from engines for which you have emission data over
the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design
parameters for controlling transient emissions.
(s) Report test results as follows:
(1) Report all test results involving measurement of pollutants for
which emission standards apply. Include test results from invalid tests
or from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. We may ask you to send
other information to confirm that your tests were valid under the
requirements of this part and 40 CFR part 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1048.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(t) Describe all adjustable operating parameters (see Sec.
1048.115(e)), including production tolerances. 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 engines to settings outside your intended
physically adjustable ranges.
(u) Provide the information to read, record, and interpret all the
information broadcast by an engine'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. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(v) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines

[[Page 638]]

are installed in equipment and placed in service. If this cannot be done
by simply adding a 20-centimeter extension to the exhaust pipe, show how
to sample exhaust emissions in a way that prevents diluting the exhaust
sample with ambient air.
(w) State whether your certification is intended to include engines
used in stationary applications. Also state whether your certification
is limited for certain engines. If this is the case, describe how you
will prevent use of these engines in applications for which they are not
certified. This applies for engines such as the following:
(1) Constant-speed engines.
(2) Variable-speed engines.
(x) 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.
(y) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes if
they are substantially different than actual production volumes in
earlier years for similar models.
(z) Include other applicable information, such as information
specified in this part or part 1068 of this chapter related to requests
for exemptions.
(aa) 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.

[70 FR 40470, July 13, 2005, as amended at 73 FR 3613, Jan. 18, 2008; 73
FR 59234, Oct. 8, 2008; 74 FR 56510, Oct. 30, 2009]

Sec. 1048.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission-
control devices, 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.

[70 FR 40472, July 13, 2005]

Sec. 1048.220 How do I amend the maintenance instructions in my
application?

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. 1048.125.
You must send the Designated Compliance Officer a written 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 operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those engines 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 anytime
after you send your request. For example, this paragraph (b) would cover
adding instructions to increase the frequency of a maintenance step for
engines in severe-duty applications.
(c) You need not request approval if you are making only minor
corrections

[[Page 639]]

(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).

[70 FR 40472, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 75
FR 23022, Apr. 30, 2010]

Sec. 1048.225 How do I amend my application for certification to include
new or modified engine configurations?

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 amend
your application if any changes occur with respect to any information
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. 1048.230.
(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.
(b) To amend your application for certification, send the Designated
Compliance Officer the following information:
(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.
(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. 1048.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the nonconformity
at no expense to the owner. If you do not provide information required
under paragraph (c) of this section within 30 days after we request it,
you must stop producing the new or modified engines.

[73 FR 59235, Oct. 8, 2008]

Sec. 1048.230 How do I select engine families?

(a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this section.
Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in
all of the following aspects:

[[Page 640]]

(1) The combustion cycle.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Configuration of the fuel system (for example, fuel-injected vs.
carbureted gasoline engines).
(4) Method of air aspiration.
(5) The number, location, volume, and composition of catalytic
converters.
(6) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine families if you show
the expected emission characteristics are different during the useful
life.
(d) In unusual circumstances, you may group engines that are not
identical with respect to the things listed in paragraph (b) of this
section in the same engine family if you show that their emission
characteristics during the useful life will be similar.
(e) You may create separate families for exhaust emissions and
evaporative emissions. If we do this, list both families on the emission
control information label.
(f) Where necessary, you may divide an engine family into sub-
families to meet different emission standards, as specified in Sec.
1048.101(a)(2). For issues related to compliance and prohibited actions,
we will generally apply decisions to the whole engine family. For engine
labels and other administrative provisions, we may approve your request
for separate treatment of sub-families.

[70 FR 40473, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 75
FR 23022, Apr. 30, 2010]

Sec. 1048.235 What emission testing must I perform for my application
for a certificate of conformity?

This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. Sec. 1048.101(a) and (b)
and 1048.105 during certification. See Sec. 1048.205(q) regarding
emission testing related to the field-testing standards. See Sec.
1048.240 and 40 CFR part 1065, subpart E, regarding service accumulation
before emission testing.
(a) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part.
(b) Select emission-data engines according to the following
criteria:
(1) Exhaust testing. For each fuel type from each engine family,
select an emission-data engine with a configuration that is most likely
to exceed the exhaust emission standards, using good engineering
judgment. Consider the emission levels of all exhaust constituents over
the full useful life of the engine when operated in a piece of
equipment.
(2) Evaporative testing. For each engine family that includes a
volatile liquid fuel, select a test fuel system with a configuration
that is most likely to exceed the evaporative emission standards, using
good engineering judgment.
(c) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test engine to a test
facility we designate. The test 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 one of your test engines, the results
of that testing become the official emission results for the engine.
Unless we later invalidate these data, we may decide not to consider
your data in determining if your engine family meets applicable
requirements.
(3) Before we test one of your engines, we may set its adjustable
parameters to any point within the physically adjustable ranges (see
Sec. 1048.115(e)).
(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 where we determine
that an engine parameter is not an adjustable parameter

[[Page 641]]

(as defined in Sec. 1048.801) but that it is subject to production
variability.
(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 or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec. 1048.225.
(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 another engine of the same or
different configuration in addition to the engine tested under paragraph
(b) 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.
(g) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065
starting in the 2011 and 2012 model years, respectively. Also measure
N2O with each low-hour certification test using the
procedures specified in 40 CFR part 1065 starting in the 2013 model year
for any engine family that depends on NOx aftertreatment to meet
emission standards. Small-volume engine manufacturers may omit
measurement of N2O and CH4. These measurements are
not required for measurements using field-testing procedures. Use the
same units and modal calculations as for your other results to report a
single weighted value for each constituent. Round the final values as
follows:
(1) Round CO2 to the nearest 1 g/kW-hr.
(2) Round N2O to the nearest 0.001 g/kW-hr.
(3) Round CH4 to the nearest 0.001 g/kW-hr.

[70 FR 40473, July 13, 2005, as amended at 73 FR 59235, Oct. 8, 2008; 74
FR 56510, Oct. 30, 2009]

Sec. 1048.240 How do I demonstrate that my engine family complies with
exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1048.101(a) and (b) if all emission-data engines representing that
family have test results showing official emission results and
deteriorated emission levels at or below these standards. This includes
all test points over the course of the durability demonstration. This
also applies for all test points for emission-data engines within the
family used to establish deterioration factors. See paragraph (e) of
this section for provisions related to demonstrating compliance with
field-testing standards.
(b) Your engine family is deemed not to comply if any emission-data
engine 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 from Sec. 1048.101(a) and (b).
Similarly, your engine family is deemed not to comply if any emission-
data engine representing that family has test results showing any
emission level above the applicable field-testing standard for any
pollutant. This also applies for all test points for emission-data
engines within the family used to establish deterioration factors.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Specify the deterioration
factors based on emission measurements using four significant figures,
consistent with good engineering judgment. For example, your
deterioration factors must take into account any available data from in-
use testing with similar engines (see subpart E of this part). Small-
volume engine manufacturers may use assigned deterioration factors that
we establish. In addition, anyone

[[Page 642]]

may use assigned deterioration factors for engine families with a
projected U.S.-directed production volume at or below 300 engines. Apply
deterioration factors as follows:
(1) Multiplicative deterioration factor. Except as specified in
paragraph (c)(2) of this section, use a multiplicative deterioration
factor for exhaust emissions. A multiplicative deterioration factor is
the ratio of exhaust emissions at the end of 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.
(2) Additive deterioration factor. Use an additive deterioration
factor for exhaust emissions if engines do not use aftertreatment
technology. Also, you may use an additive deterioration factor for
exhaust emissions for a particular pollutant if all the emission-data
engines in the engine family have low-hour emission levels at or below
0.3 g/kW-hr for HC + NOX or 0.5 g/kW-hr for CO, unless a
multiplicative deterioration factor is more appropriate. For example,
you should use a multiplicative deterioration factor if emission
increases are best represented by the ratio of exhaust emissions at the
end of the useful life to exhaust emissions at the low-hour test point.
An additive deterioration factor is the difference between exhaust
emissions at the end of useful life and exhaust emissions at the low-
hour test point. 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.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in 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. In the case of HC +
NOX standards, apply the deterioration factor to each
pollutant and then add the results before rounding.
(e) Use good engineering judgment to demonstrate compliance with
field-testing standards throughout the useful life. You may, but are not
required to, apply the same deterioration factors used to show
compliance with the applicable duty-cycle standards.

[70 FR 40474, July 13, 2005, as amended at 73 FR 59236, Oct. 8, 2008; 75
FR 23022, Apr. 30, 2010]

Sec. 1048.245 How do I demonstrate that my engine family complies with
evaporative emission standards?

(a) For certification, your engine family is considered in
compliance with the evaporative emission standards in subpart B of this
part if you do either of the following:
(1) You have test results showing that evaporative emissions in the
family are at or below the standards throughout the useful life.
(2) Where applicable, you comply with the design specifications in
paragraph (e) of this section.
(b) Your engine family does not comply if any fuel system
representing that family has test results showing emission levels above
the standards.
(c) Use good engineering judgment to develop a test plan to
establish deterioration factors to show how much emissions increase at
the end of the useful life.
(d) If you adjust the emission levels for deterioration, round them
to the same number of decimal places as the emission standard. Compare
the rounded emission levels to the emission standard for each test fuel
system.
(e) You may demonstrate that your engine family complies with the
evaporative emission standards by demonstrating that you use the
following control technologies:
(1) For certification to the standards specified in Sec.
1048.105(c), with the following technologies:
(i) Use a tethered or self-closing gas cap on a fuel tank that stays
sealed up to a positive pressure of 24.5 kPa (3.5 psig); however, they
may contain air inlets that open when there is a vacuum pressure inside
the tank. Nonmetal fuel tanks must also use one of the qualifying
designs for controlling permeation emissions specified in 40 CFR
1060.240.

[[Page 643]]

(ii) [Reserved]
(2) For certification to the standards specified in Sec.
1048.105(d), demonstrating that you use design features to prevent fuel
boiling under all normal operation. If you install engines in equipment,
you may do this using fuel temperature data measured during normal
operation. Otherwise, you may do this by including appropriate
information in your emission-related installation instructions.
(3) We may establish additional options for design-based
certification where we find that new test data demonstrate that a
technology will ensure compliance with the emission standards in this
section.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005; 73
FR 59236, Oct. 8, 2008; 75 FR 23022, Apr. 30, 2010]

Sec. 1048.250 What records must I keep and make available to EPA?

(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1048.345. In
addition, within 45 days after the end of the model year, you must send
us a report describing information about engines you produced during the
model year as follows:
(1) State the total production volume for each engine family that is
not subject to reporting under Sec. 1048.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in Sec.
1048.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(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. 1048.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine 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, including documentation on routine and
standard tests, as specified in part 40 CFR part 1065, and the date and
purpose of each test.
(v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
you produce under each certificate of conformity.
(c) Keep data from routine emission tests (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.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005; 73
FR 59236, Oct. 8, 2008]

Sec. 1048.255 What decisions may EPA make regarding a certificate of
conformity?

[[Page 644]]

(b) We may deny an application for certification if we determine
that an 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 an application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(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 an application to
include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part.
(d) We may void a certificate of conformity 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 a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1048.820).

[86 FR 34515, June 29, 2021]

Subpart D_Testing Production-line Engines

Sec. 1048.301 When must I test my production-line engines?

(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) [Reserved]
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved
when we grant your certificate. You must promptly notify us if your
actual production exceeds 150 units during the model year. If you exceed
the production limit or if there is evidence of a nonconformity, we may
require you to test production-line engines under this subpart, or under
40 CFR part 1068, subpart E, even if we have approved an exemption under
this paragraph (a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1048.325 and 1048.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
part 1068 of this chapter. Individual engines in families that pass
these production-line testing requirements must also conform to all
applicable regulations of this part and part 1068 of this chapter.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:

[[Page 645]]

(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with duty-cycle emission standards if
you double the minimum sampling rate specified in Sec. 1048.310(b). Use
measured test results to determine whether engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your engines are
being produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.
(e) If you certify an engine family with carryover emission data, as
described in Sec. 1048.235(d), 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. The minimum testing
rate is one engine per engine 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 engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.

[73 FR 59236, Oct. 8, 2008]

Sec. 1048.305 How must I prepare and test my production-line engines?

[[Page 646]]

(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment with
in-use equipment.
(e) Stabilizing emission levels. Before you test production-line
engines, you may operate the engine to stabilize the emission levels.
Using good engineering judgment, operate your engines in a way that
represents the way production engines will be used. You may operate each
engine for no more than the greater of two periods:
(1) 50 hours.
(2) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E).
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe, or if it would permanently damage the engine. Report to us, in
your written report under Sec. 1048.345, all adjustments or repairs you
make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and the
emission results from all tests. If we determine that you improperly
invalidated a test, we may require you to ask for our approval for
future testing before substituting results of the new tests for invalid
ones.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73
FR 59237, Oct. 8, 2008]

Sec. 1048.310 How must I select engines for production-line testing?

(a) Use test results from two engines each quarter to calculate the
required sample size for the model year for each engine family.
(b) Early in each calendar quarter, randomly select and test two
engines from the end of the assembly line for each engine family.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC + NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.091

Where:

------------------------------------------------------------------------
n t95 n t95 n t95
------------------------------------------------------------------------
2 6.31 12 1.80 22 1.72
3 2.92 13 1.78 23 1.72
4 2.35 14 1.77 24 1.71
5 2.13 15 1.76 25 1.71
6 2.02 16 1.75 26 1.71
7 1.94 17 1.75 27 1.71
8 1.90 18 1.74 28 1.70
9 1.86 19 1.73 29 1.70
10 1.83 20 1.73 30 + 1.70
11 1.81 21 1.72 ......................
------------------------------------------------------------------------

(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:

Where:
[GRAPHIC] [TIFF OMITTED] TR08OC08.092

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1048.315(a)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.

[[Page 647]]

(f) Distribute the remaining tests evenly throughout the rest of the
year. You may need to adjust your schedule for selecting engines if the
required sample size changes. If your scheduled quarterly testing for
the remainder of the model year is sufficient to meet the calculated
sample size, you may wait until the next quarter to do additional
testing. Continue to randomly select engines from each engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1048.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph (g)(4) if it fails
to meet an applicable emission standard. You may stop testing after you
test one percent of your production volume even if you have not tested
the number of engines specified in paragraph (b) of this section. For
example, if projected volume is 475 engines, test two engines in each of
the first two quarters and one engine in the third quarter to fulfill
your testing requirements under this section for that engine family.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1048.315, or the remedial steps required under Sec. 1048.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73
FR 59237, Oct. 8, 2008]

Sec. 1048.315 How do I know when my engine family fails the production
-line testing requirements?

This section describes the pass/fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec. 1048.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine, calculate
the initial results for each test, then add all the test results
together and divide by the number of tests. Round this final calculated
value for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1048.240(c)).
(3) Round deteriorated test results. Round the results to the number
of decimal places in the emission standard expressed to one more decimal
place.
(b) Construct the following CumSum Equation for each engine family
for HC + NOX and CO emissions:

Ci = Max [0 or Ci-1 + Xi - (STD + 0.25
x [sigma])]

Where:

(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1048.315(a)).
(d) After each new test, recalculate the CumSum statistic.

[[Page 648]]

(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic,
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x
[sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens.
(h) If you amend the application for certification for an engine
family (see Sec. 1048.225), do not change any previous calculations of
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73
FR 59238, Oct. 8, 2008]

Sec. 1048.320 What happens if one of my production-line engines fails
to meet emission standards?

If you have a production-line engine with final deteriorated test
results exceeding one or more emission standards (see Sec.
1048.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before your
certificate of conformity can cover that engine:
(a) Correct the problem and retest the engine to show it complies
with all emission standards.
(b) Include the test results and describe the remedy for each engine
in the written report required under Sec. 1048.345.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59238, Oct. 8, 2008]

Sec. 1048.325 What happens if an engine family fails the production
-line testing requirements?

(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1048.315. The suspension may apply to all
facilities producing engines from an engine family, even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when you
receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1048.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1048.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005; 73
FR 59238, Oct. 8, 2008]

Sec. 1048.330 May I sell engines from an engine family with a suspended
certificate of conformity?

You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1048.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines and
remedy any noncompliance at no expense to the owner if later testing
shows that the engine family still does not comply.

Sec. 1048.335 How do I ask EPA to reinstate my suspended certificate?

[[Page 649]]

Sec. 1048.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of this
subpart and your proposed remedy to address a suspended certificate
under Sec. 1048.325 is inadequate to solve the problem or requires you
to change the engine's design or emission-control system.
(b) To sell engines from an engine family with a revoked certificate
of conformity, you must modify the engine family and then show it
complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to evaluate
the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec. 1048.345 What production-line testing records must I send to EPA?

(a) Within 30 calendar days of the end of each calendar quarter,
send us a report with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of testing;
test procedure; all initial test results; final test results; and final
deteriorated test results for all tests. Provide the emission results
for all measured pollutants. Include information for both valid and
invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure or
type of equipment.
(8) Provide the CumSum analysis required in Sec. 1048.315 and the
sample-size calculation required in Sec. 1048.310 for each engine
family.
(9) Report on each failed engine as described in Sec. 1048.320.
(10) State the date the calendar quarter ended for each engine
family.
(b) We may ask you to add information to your written report, so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:

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 1048. We have not changed production
processes or quality-control procedures for test engines 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)

[[Page 650]]

asks for them. See Sec. 1048.815 for information on how we treat
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005; 73
FR 59238, Oct. 8, 2008]

Sec. 1048.350 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing
for eight years after you complete all the testing required for an
engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1048.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine arrived
at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing not
otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1048.345 that you do not
include in your written reports.
(e) If we ask, you must give us projected or actual production
figures for an engine family. We may ask you to divide your production
figures by maximum engine power, displacement, fuel type, or assembly
plant (if you produce engines at more than one plant).
(f) Keep records of the engine identification number for each engine
you produce under each certificate of conformity. You may identify these
numbers as a range. Give us these records within 30 days if we ask for
them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005; 73
FR 59239, Oct. 8, 2008]

Subpart E_Testing In-use Engines

Sec. 1048.401 What testing requirements apply to my engines that have
gone into service?

(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart. This
generally involves testing engines in the field or removing them for
measurement in a laboratory.
(b) We may approve an alternate plan for showing that in-use engines
comply with the requirements of this part if one of the following is
true:
(1) You produce 200 or fewer engines per year in the selected engine
family.
(2) Removing the engine from most of the applications for that
engine family causes significant, irreparable damage to the equipment.
(3) You identify a unique aspect of your engine applications that
keeps you from doing the required in-use testing.
(c) We may void your certificate of conformity for an engine family
if you do not meet your obligations under this part.
(d) Independent of your responsibility to test in-use engines, we
may choose at any time to do our own testing of your in-use engines.
(e) If in-use testing shows that engines fail to meet emission
standards or other requirements of this part, we may pursue a recall or
other remedy as allowed by the Act (see Sec. 1048.415).

Sec. 1048.405 How does this program work?

(a) You must test in-use engines, for exhaust emissions, from the
families we select. We may select up to 25 percent of your engine
families in any model year--or one engine family if you have three or
fewer families. We will select engine families for testing before the
end of the model year. When we select an engine family for testing, we
may specify that you preferentially test engines based on fuel type or

[[Page 651]]

equipment type. In addition, we may identify specific modes of operation
or sampling times. You may choose to test additional engine families
that we do not select.
(b) Send us an in-use testing plan within six months after we direct
you to test a particular engine family. If we request additional
information or require you to modify your plan to meet the requirements
of this subpart, you must provide the information or the modified plan
within 30 days of our request. Complete the testing within 36 months
after we direct you to test a particular engine family.
(c) You may need to test engines from more than one model year at a
given time.
(d) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time to
complete testing or we may waive the in-use testing requirement for an
engine family. For example, if your test fleet is destroyed by severe
weather during service accumulation and we agree that completion of
testing is not possible, we would generally waive testing requirements
for that engine family.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008; 75
FR 23022, Apr. 30, 2010]

Sec. 1048.410 How must I select, prepare, and test my in-use engines?

(a) You may make arrangements to select representative test engines
from your own fleet or from other independent sources.
(b) For the selected engine families, select engines that you or
your customers have--
(1) Operated for at least 50 percent of the engine family's useful
life (see Sec. 1048.101(d));
(2) Not maintained or used in an abnormal way; and
(3) Documented in terms of total hours of operation, maintenance,
operating conditions, and storage.
(c) Use the following methods to determine the number of engines you
must test in each engine family:
(1) Test at least two engines if you produce 2,000 or fewer engines
in the model year from all engine families, or if you produce 500 or
fewer engines from the selected engine family. Otherwise, test at least
four engines.
(2) If you successfully complete an in-use test program on an engine
family and later certify an equivalent engine family with carryover
emission data, as described in Sec. 1048.235(c), then test at least one
engine instead of the testing rates in paragraph (c)(1) of this section.
(3) If you test the minimum required number of engines and all
comply fully with emission standards, you may stop testing.
(4) For each engine that fails any applicable standard, test two
more. Regardless of measured emission levels, you do not have to test
more than ten engines in an engine family. You may do more tests than we
require.
(5) You may concede that the engine family does not comply before
testing a total of ten engines.
(d) You may do minimal maintenance to set components of a test
engine to specifications for anything we do not consider an adjustable
parameter (see Sec. 1048.205(p)). Limit maintenance to what is in the
owner's instructions for engines with that amount of service and age.
Document all maintenance and adjustments.
(e) You may do repeat measurements with a test engine; however, you
must conduct the same number of tests on each engine.
(f) For a test program on an engine family, choose one of the
following methods to test your engines:
(1) Remove the selected engines for testing in a laboratory. Use the
applicable steady-state and transient procedures in subpart F of this
part to show compliance with the duty-cycle standards in Sec.
1048.101(a) and (b). We may direct you to measure emissions on the
dynamometer using the supplemental test procedures in Sec. 1048.515 to
show compliance with the field-testing standards in Sec. 1048.101(c).
(2) Test the selected engines while they remain installed in the
equipment. Use the field testing procedures in subpart F of this part.
Measure emissions during normal operation of the equipment to show
compliance with the field-testing standards in

[[Page 652]]

Sec. 1048.101(c). We may direct you to include specific areas of normal
operation.
(g) You may ask us to waive parts of the prescribed test procedures
if they are not necessary to determine in-use compliance.
(h) Calculate the average emission levels for an engine family from
the results for the set of tested engines. Round them to the number of
decimal places in the emission standards expressed to one more decimal
place.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008]

Sec. 1048.415 What happens if in-use engines do not meet requirements?

(a) Determine the reason each in-use engine exceeds the emission
standards.
(b) If the average emission levels calculated in Sec. 1048.410(h)
exceed any of the emission standards that apply, notify us within
fifteen days of completing testing on this family. Otherwise follow the
reporting instructions in Sec. 1048.420.
(c) We will consider failure rates, average emission levels, and any
defects--among other things--to decide on taking remedial action under
this subpart (see 40 CFR 1068.505). We may consider the results from any
voluntary additional testing you perform. We may also consider
information related to testing from other engine families showing that
you designed them to exceed the minimum requirements for controlling
emissions. We may order a recall before or after you complete testing of
an engine family if we determine a substantial number of engines do not
conform to section 213 of the Act or to this part. The scope of the
recall may include other engine families in the same or different model
years if the cause of the problem identified in paragraph (a) of this
section applies more broadly than the tested engine family, as allowed
by the Act.
(d) If in-use testing reveals a design or manufacturing defect that
prevents engines from meeting the requirements of this part, you must
correct the defect as soon as possible for any future production for
engines in every family affected by the defect. See 40 CFR 1068.501 for
additional requirements related to defect reporting.
(e) You may voluntarily recall an engine family for emission
failures, as described in 40 CFR 1068.535, unless we have ordered a
recall for that family under 40 CFR 1068.505.
(f) You have the right to a hearing before we order you to recall
your engines or implement an alternative remedy (see Sec. 1048.820).

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59239, Oct. 8, 2008]

Sec. 1048.420 What in-use testing information must I report to EPA?

(a) In a report to us within three months after you finish testing
an engine family, do all the following:
(1) Identify the engine family, model, serial number, and date of
manufacture.
(2) For each engine inspected or considered for testing, identify
whether the diagnostic system was functioning.
(3) Describe the specific reasons for disqualifying any engines for
not being properly maintained or used.
(4) For each engine selected for testing, include the following
information:
(i) Estimate the hours each engine was used before testing.
(ii) Describe all maintenance, adjustments, modifications, and
repairs to each test engine.
(5) State the date and time of each test attempt.
(6) Include the results of all emission testing, including
incomplete or invalidated tests, if any.
(b) Send electronic reports of in-use testing 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.
(c) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1048.815 for information on how we treat
information you consider confidential.
(d) We may ask for more information.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]

Sec. 1048.425 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time.

[[Page 653]]

(b) Keep paper records of your in-use testing for one full year
after you complete all the testing required for an engine family in a
model year. You may use any additional storage formats or media if you
like.
(c) Keep a copy of the written reports described in Sec. 1048.420.
(d) Keep any additional records related to the procurement process.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40476, July 13, 2005]

Subpart F_Test Procedures

Sec. 1048.501 How do I run a valid emission test?

(a) Use the equipment and procedures for spark-ignition engines in
40 CFR part 1065 to determine whether engines meet the duty-cycle
emission standards in Sec. 1048.101(a) and (b). Measure the emissions
of all the pollutants we regulate in Sec. 1048.101 using the sampling
procedures specified in 40 CFR part 1065. Measure CO2,
N2O, and CH4 as described in Sec. 1048.235. Use
the applicable duty cycles specified in Sec. Sec. 1048.505 and
1048.510.
(b) Section 1048.515 describes the supplemental procedures for
evaluating whether engines meet the field-testing emission standards in
Sec. 1048.101(c).
(c) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, to perform valid tests for all the testing we require in this
part, except as noted in Sec. 1048.515.
(1) Use gasoline meeting the specifications described in 40 CFR
1065.710(c) for general testing. For service accumulation, use the test
fuel or any commercially available fuel that is representative of the
fuel that in-use engines will use.
(2) You may alternatively use ethanol-blended fuel meeting the
specifications described in 40 CFR 1065.710(b) for general testing
without our advance approval. If you use the ethanol-blended fuel for
certifying a given engine family, you may also use it for production-
line testing or any other testing you perform for that engine family
under this part. If you use the ethanol-blended fuel for certifying a
given engine family, we may use the ethanol-blended fuel or the
specified neat gasoline test fuel with that engine family.
(d) In place of the provisions of 40 CFR 1065.405, you may consider
emission levels stable without measurement after 50 hours of engine
operation.
(e) To test engines for evaporative emissions, use the equipment and
procedures specified for testing diurnal emissions as described in 40
CFR 1060.525, subject to the following provisions:
(1) Precondition nonmetal fuel tanks as specified in 40 CFR
1060.520(a) and (b).
(2) For engines equipped with carbon canisters that store fuel
vapors that will be purged for combustion in the engine, precondition
the canister as specified in 40 CFR 86.132-96(h) and then operate the
engine for 60 minutes over repeat runs of the duty cycle specified in
Appendix I of this part.
(3) Start the diurnal emission test after the engine is stabilized
at room temperatures, but within 36 hours after the engine operation
specified in paragraph (e)(2) of this section.
(4) You may not separately measure permeation emissions from
nonmetal fuel tanks for subtracting from the diurnal emission
measurement.
(5) Note that you may omit testing for evaporative emissions during
certification if you certify by design, as specified in Sec. 1048.245.
(f) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(g) 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.

[70 FR 40476, July 13, 2005, as amended at 73 FR 59239, Oct. 8, 2008; 74
FR 56510, Oct. 30, 2009; 86 FR 34515, June 29, 2021]

Sec. 1048.505 How do I test engines using steady-state duty cycles,
including ramped-modal testing?

[[Page 654]]

testing. In all cases, you must use the duty cycle you select in your
application for certification for all testing you perform for that
engine family. If we test your engines to confirm that they meet
emission standards, we will use the duty cycles you select for your own
testing. If you submit certification test data using more than one duty
cycle, any of the selected duty cycles may be used for any subsequent
testing. We may also perform other testing as allowed by the Clean Air
Act.
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles described in 40 CFR Part 1065.
(b) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether it
meets the steady-state emission standards in Sec. 1048.101(b):
(1) For engines from an engine family that will be used only in
variable-speed applications, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Torque Weighting
C2 mode No. Engine speed \1\ (percent) \2\ factors
----------------------------------------------------------------------------------------------------------------
1............................................. Maximum test speed.............. 25 0.06
2............................................. Intermediate test............... 100 0.02
3............................................. Intermediate test............... 75 0.05
4............................................. Intermediate test............... 50 0.32
5............................................. Intermediate test............... 25 0.30
6............................................. Intermediate test............... 10 0.10
7............................................. Warm idle....................... 0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1 2\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 119 Warm idle............. 0
1b Transition...................... 20 Linear transition..... Linear transition.
2a Steady-state.................... 29 Intermediate speed.... 100
2b Transition...................... 20 Intermediate speed.... Linear transition.
3a Steady-state.................... 150 Intermediate speed.... 10
3b Transition...................... 20 Intermediate speed.... Linear transition.
4a Steady-state.................... 80 Intermediate speed.... 75
4b Transition...................... 20 Intermediate speed.... Linear transition.
5a Steady-state.................... 513 Intermediate speed.... 25
5b Transition...................... 20 Intermediate speed.... Linear transition.
6a Steady-state.................... 549 Intermediate speed.... 50
6b Transition...................... 20 Linear transition..... Linear transition.
7a Steady-state.................... 96 Maximum test speed.... 25
7b Transition...................... 20 Linear transition..... Linear transition.
8 Steady-state..................... 124 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 torque setting of the current mode to the torque setting of the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.

(2) For engines from an engine family that will be used only at a
single, rated speed, use the 5-mode duty cycle or the corresponding
ramped-modal cycle described in 40 CFR part 1039, Appendix II, paragraph
(a).
(3) Use a duty cycle from both paragraphs (b)(1) and (b)(2) of this
section if you will not restrict an engine family to constant-speed or
variable-speed applications.

[[Page 655]]

(4) Use a duty cycle specified in paragraph (b)(2) of this section
for all severe-duty engines.
(5) For high-load engines, use one of the following duty cycles:
(i) The following duty cycle applies for discrete-mode testing:

Table 3 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Torque (percent) Minimum time in Weighting
Mode No. Engine speed \1\ mode (minutes) factors
----------------------------------------------------------------------------------------------------------------
1............................ Maximum test speed......... 100 3.0 0.50
2............................ Maximum test speed......... 75 3.0 0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.

(ii) The following duty cycle applies for discrete-mode testing:

Table 4 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC modes (seconds) Engine speed (percent) Torque (percent) \1 2\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 290 Engine governed....... 100
1b Transition...................... 20 Engine governed....... Linear transition.
2 Steady-state..................... 290 Engine governed....... 75
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

[73 FR 59239, Oct. 8, 2008, as amended at 75 FR 23022, Apr. 30, 2010;79
FR 23751. Apr. 28, 2014]

Sec. 1048.510 What transient duty cycles apply for laboratory testing?

(a) Starting with the 2007 model year, measure emissions by testing
the engine on a dynamometer with the duty cycle described in Appendix II
to determine whether it meets the transient emission standards in Sec.
1048.101(a).
(b) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
(c) Warm up the test engine as follows before running a transient
test:
(1) Operate the engine for the first 180 seconds of the appropriate
duty cycle, then allow it to idle without load for 30 seconds. At the
end of the 30-second idling period, start measuring emissions as the
engine operates over the prescribed duty cycle. For severe-duty engines,
this engine warm-up procedure may include up to 15 minutes of operation
over the appropriate duty cycle.
(2) If the engine was already operating before a test, use good
engineering judgment to let the engine cool down enough so measured
emissions during the next test will accurately represent those from an
engine starting at room temperature. For example, if an engine starting
at room temperature warms up enough in three minutes to start closed-
loop operation and achieve full catalyst activity, then minimal engine
cooling is necessary before starting the next test.
(3) You are not required to measure emissions while the engine is
warming up. However, you must design your emission-control system to
start working as soon as possible after engine starting. In your
application for certification, describe how your engine meets this
objective (see Sec. 1048.205(b)).

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005; 73
FR 59241, Oct. 8, 2008; 75 FR 23023, Apr. 30, 2010]

Sec. 1048.515 What are the field-testing procedures?

(a) This section describes the procedures to determine whether your
engines meet the field-testing emission standards in Sec. 1048.101(c).
These procedures may include any normal engine operation and ambient
conditions that the engines may experience in use. Paragraph (b) of this
section defines

[[Page 656]]

the limits of what we will consider normal engine operation and ambient
conditions. Use the test procedures we specify in Sec. 1048.501, except
for the provisions we specify in this section. Measure emissions with
one of the following procedures:
(1) Remove the selected engines for testing in a laboratory. You may
use an engine dynamometer to simulate normal operation, as described in
this section.
(2) Test the selected engines while they remain installed in the
equipment. In 40 CFR part 1065, subpart J, we describe the equipment and
sampling methods for testing engines in the field. Use fuel meeting the
specifications of 40 CFR part 1065, subpart H, or a fuel typical of what
you would expect the engine to use in service.
(b) An engine's emissions may not exceed the levels we specify in
Sec. 1048.101(c) for any continuous sampling period of at least 120
seconds under the following ranges of operation and operating
conditions:
(1) Engine operation during the emission sampling period may include
any normal operation, subject to the following restrictions:
(i) Average power must be at least 5 percent of maximum brake power.
(ii) Continuous time at idle must not be greater than 120 seconds.
(iii) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would exclude engine
operation after starting until the thermostat starts modulating coolant
temperature.
(iv) The sampling period may not include engine starting.
(v) For engines that qualify for the alternate Tier 2 emission
standards in Sec. 1048.101(d), operation at 90 percent or more of
maximum power must be less than 10 percent of the total sampling time.
You may request our approval for a different power threshold.
(2) Engine testing may occur under any normal conditions without
correcting measured emission levels, subject to the following
restrictions:
(i) Barometric pressure must be between 80.0 and 103.3 kPa (600 and
775 mm Hg).
(ii) Ambient air temperature must be between 13[deg] and 35 [deg]C.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40478, July 13, 2005; 73
FR 59241, Oct. 8, 2008]

Subpart G_Compliance Provisions

Sec. 1048.601 What compliance provisions apply to these engines?

(a) Engine and equipment manufacturers, as well as owners,
operators, and rebuilders of engines subject to the requirements of this
part, and all other persons, must observe the provisions of this part,
the requirements and prohibitions in 40 CFR part 1068, and the
provisions of the Act.
(b) This paragraph (b) describes how the replacement-engine
provisions of 40 CFR 1068.240 apply for engines subject to the
requirements of this part in conjunction with the secondary engine
manufacturer provisions in 40 CFR 1068.262. For cases in which the
secondary engine manufacturer completes assembly of the engine, these
provisions apply as written. If the secondary engine manufacturer
arranges for a third party to complete engine assembly, the following
additional provisions apply:
(1) The ultimate purchaser must purchase (or otherwise order) the
replacement engine from the secondary engine manufacturer. The secondary
engine manufacturer must provide assembly instructions to the engine
assembler (unless the engine being replaced was not subject to emission
standards). The secondary engine manufacturer may arrange for the
original engine manufacturer to ship the engine directly to the engine
assembler. However, if the secondary engine manufacturer does not take
possession of the engine, it must supply the engine label specified in
40 CFR 1068.240 to the engine assembler and the engine assembler must
apply the label before shipping the engine.
(2) The secondary engine manufacturer and engine assembler are both
responsible if the engine is installed in new equipment or otherwise
violates the circumvention provisions of 40 CFR 1068.240.

[[Page 657]]

(3) Consider the following example. A secondary engine manufacturer
receiving a valid request for a replacement engine for which it does not
already have an engine available in inventory may order a partially
complete engine from an original engine manufacturer and have it shipped
directly to an independent engine assembler. In this case, the secondary
engine manufacturer must state in its order that the partially complete
engine should be labeled as being exempt under 40 CFR 1068.240 and
identify the engine assembler's address; the secondary engine
manufacture must also provide instructions to the engine assembler. The
original engine manufacturer would label the engine as described in 40
CFR 1068.262, identifying the replacement-engine exemption as the basis
for shipping an uncertified engine, and ship the engine directly to the
assembler. The engine assembler would complete the assembly by applying
the label and otherwise following the instructions provided by the
secondary engine manufacturer.

[73 FR 59241, Oct. 8, 2008]

Sec. 1048.605 What provisions apply to engines certified under the
motor vehicle program?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new nonroad engines into commerce if
they are already certified to the requirements that apply to engines
under 40 CFR parts 85 and 86 for the appropriate model year. If you
comply with all the provisions of this section, we consider the
certificate issued under 40 CFR part 86 for each engine to also be a
valid certificate of conformity under this part 1048 for its model year,
without a separate application for certification under the requirements
of this part 1048. See Sec. 1048.610 for similar provisions that apply
to engines certified to chassis-based standards for motor vehicles.
(b) Equipment-manufacturer provisions. If you are not an engine
manufacturer, you may produce nonroad equipment using motor-vehicle
engines under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. If you modify the
motor-vehicle engine in any of the ways described in paragraph (d)(2) of
this section, we will consider you a manufacturer of a new nonroad
engine. Such engine modifications prevent you from using the provisions
of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted under
this section must meet all the applicable requirements from 40 CFR parts
85 and 86. This applies to engine manufacturers, equipment manufacturers
who use these engines, and all other persons as if these engines were
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1)
apply to these new engines and equipment; however, we consider the
certificate issued under 40 CFR part 86 for each engine to also be a
valid certificate of conformity under this part 1048 for its model year.
If we make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are an engine manufacturer or
equipment manufacturer and meet all the following criteria and
requirements regarding your new nonroad engine, the engine is eligible
for an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity
issued under 40 CFR part 86.
(2) You must not make any changes to the certified engine that could
reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any of
the following changes to one of these engines, you do not qualify for
this exemption:
(i) Change any fuel system or evaporative system parameters from the
certified configuration (this does not apply to refueling controls).
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes

[[Page 658]]

aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which company
manufactures the vehicle or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the label we require under
40 CFR part 86.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
equipment. In the supplemental label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''.
(iv) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the equipment or, if the equipment
obscures the engine's emission control information label, the equipment
manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or equipment models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produce each listed [engine or equipment] model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1048.605.''.
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1048 and the
certificate issued under 40 CFR part 86 will not be deemed to also be a
certificate issued under this part 1048. Introducing these engines into
commerce without a valid exemption or certificate of conformity under
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines adapted
for nonroad use under this section may generate credits under the ABT
provisions in 40 CFR part 86. These engines must use emission credits
under 40 CFR part 86 if they are certified to an FEL that exceeds an
applicable standard under 40 CFR part 86.

[70 FR 40479, July 13, 2005, as amended at 73 FR 59241, Oct. 8, 2008]

Sec. 1048.610 What provisions apply to vehicles certified under the
motor vehicle program?

[[Page 659]]

under 40 CFR parts 85 and 86 for the appropriate model year. If you
comply with all of the provisions of this section, we consider the
certificate issued under 40 CFR part 86 for each motor vehicle to also
be a valid certificate of conformity for the engine under this part 1048
for its model year, without a separate application for certification
under the requirements of this part 1048. See Sec. 1048.605 or similar
provisions that apply to motor-vehicle engines produced for nonroad
equipment. The provisions of this section do not apply to engines
certified to meet the requirements for highway motorcycles.
(b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor
vehicles under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. If you modify the
motor vehicle or its engine in any of the ways described in paragraph
(d)(2) of this section, we will consider you a manufacturer of a new
nonroad engine. Such modifications prevent you from using the provisions
of this section.
(c) Liability. Engines, vehicles, and equipment for which you meet
the requirements of this section are exempt from all the requirements
and prohibitions of this part, except for those specified in this
section. Engines exempted under this section must meet all the
applicable requirements from 40 CFR parts 85 and 86. This applies to
engine manufacturers, equipment manufacturers, and all other persons as
if the nonroad equipment were motor vehicles. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we
consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the engine
under this part 1048 for its model year. If we make a determination that
these engines, vehicles, or equipment do not conform to the regulations
during their useful life, we may require you to recall them under 40 CFR
part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
nonroad equipment and its engine, the engine is eligible for an
exemption under this section:
(1) Your equipment must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could reasonably expect to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following
changes, you do not qualify for this exemption:
(i) Change any fuel system or evaporative system parameters from the
certified configuration, including refueling emission controls.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The equipment must have the vehicle emission control information
and fuel labels we require under 40 CFR 86.007-35.
(5) You must add a permanent supplemental label to the equipment in
a position where it will remain clearly visible. In the supplemental
label, do the following:

[[Page 660]]

(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled equipment.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the equipment models you expect to produce under this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
(ii) List the equipment models you expect to produce under this
exemption in the coming year.
(iii) State: ``We produced each listed engine or equipment model for
nonroad application without making any changes that could increase its
certified emission levels, as described in 40 CFR 1048.610.''.
(e) Failure to comply. If your engines, vehicles, or equipment do
not meet the criteria listed in paragraph (d) of this section, the
engines will be subject to the standards, requirements, and prohibitions
of this part 1048, and the certificate issued under 40 CFR part 86 will
not be deemed to also be a certificate issued under this part 1048.
Introducing these engines into commerce without a valid exemption or
certificate of conformity under this part violates the prohibitions in
40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may generate credits under
the ABT provisions in 40 CFR part 86. These vehicles must be included in
the calculation of the applicable fleet average in 40 CFR part 86.

[70 FR 40480, July 13, 2005, as amended at 73 FR 59241, Oct. 8, 2008]

Sec. 1048.612 What is the exemption for delegated final assembly?

The provisions of 40 CFR 1068.261 related to delegated final
assembly apply for engines certified under this part 1048, with the
following exceptions and clarifications:
(a) The provisions related to reduced auditing rates in 40 CFR
1068.261(d)(3)(iii) apply starting with the 2014 model year.
(b) [Reserved]

[73 FR 59242, Oct. 8, 2008]

Sec. 1048.615 What are the provisions for exempting engines designed
for lawn and garden applications?

This section is intended for engines designed for lawn and garden
applications, but it applies to any engines meeting the criteria in
paragraph (a) of this section.
(a) If an engine meets all the following criteria, it is exempt from
the requirements of this part:
(1) The engine must have a nominal displacement of 1000 cc or less.
(2) The engine must have a maximum engine power at or below 30 kW.
(3) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
Class II engines under 40 CFR part 90 or 1054 for the appropriate model
year.
(b) The only requirements or prohibitions from this part that apply
to an engine that meets the criteria in paragraph (a) of this section
are in this section.
(c) If your engines do not meet the criteria listed in paragraph (a)
of this section, they will be subject to the provisions of this part.
Introducing these engines into commerce without a valid

[[Page 661]]

exemption or certificate of conformity violates the prohibitions in 40
CFR 1068.101.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 90 or 1054. The
requirements and restrictions of 40 CFR part 90 or 1054 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these
engines had a total maximum engine power at or below 19 kW.

[73 FR 59242, Oct. 8, 2008]

Sec. 1048.620 What are the provisions for exempting large engines
fueled by natural gas or liquefied petroleum gas?

(a) If an engine meets all the following criteria, it is exempt from
the requirements of this part:
(1) The engine must operate solely on natural gas or liquefied
petroleum gas.
(2) The engine must have maximum engine power at or above 250 kW.
(3) The engine must be in an engine family that has a valid
certificate of conformity showing that it meets emission standards for
engines of that power rating under 40 CFR part 89 or 1039.
(b) The only requirements or prohibitions from this part that apply
to an engine that is exempt under this section are in this section.
(c) If your engines do not meet the criteria listed in paragraph (a)
of this section, they will be subject to the provisions of this part.
Introducing these engines into commerce without a valid exemption or
certificate of conformity violates the prohibitions in 40 CFR 1068.101.
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 89 or 1039. The
requirements and restrictions of 40 CFR part 89 or 1039 apply to anyone
manufacturing these engines, anyone manufacturing equipment that uses
these engines, and all other persons in the same manner as if these were
nonroad diesel engines.
(e) You may request an exemption under this section by submitting an
application for certification for the engines under 40 CFR part 89 or
1039.

[70 FR 40481, July 13, 2005]

Sec. 1048.625 What special provisions apply to engines using
noncommercial fuels?

In Sec. 1048.115(e), we generally require that engines meet
emission standards for any adjustment within the full range of any
adjustable parameters. For engines that use noncommercial fuels
significantly different than the specified test fuel of the same type,
you may ask to use the parameter-adjustment provisions of this section
instead of those in Sec. 1048.115(e). Engines certified under this
section must be in a separate engine family.
(a) If we approve your request, the following provisions apply:
(1) You must certify the engine using the test fuel specified in
Sec. 1048.501.
(2) You may produce the engine without limits or stops that keep the
engine adjusted within the certified range.
(3) You must specify in-use adjustments different than the
adjustable settings appropriate for the specified test fuel, consistent
with the provisions of paragraph (b)(1) of this section.
(b) To produce engines under this section, you must do the
following:
(1) Specify in-use adjustments needed so the engine's level of
emission control for each regulated pollutant is equivalent to that from
the certified configuration.
(2) Add the following information to the emission control
information label specified in Sec. 1048.135:
(i) Include instructions describing how to adjust the engine to
operate in a way that maintains the effectiveness of the emission-
control system.
(ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(3) Keep records to document the destinations and quantities of
engines produced under this section.

[70 FR 40481, July 13, 2005]

[[Page 662]]

Sec. 1048.630 What are the provisions for exempting engines used
solely for competition?

We may grant you an exemption from the standards and requirements of
this part for a new engine on the grounds that it is to be used solely
for competition under the provisions of 40 CFR 1054.620. The
requirements of this part do not apply to engines that we exempt for use
solely for competition.

[73 FR 59242, Oct. 8, 2008]

Sec. 1048.635 What special provisions apply to branded engines?

The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1048.135(c)(2):
(a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1048.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

[70 FR 40481, July 13, 2005, as amended at 73 FR 59242, Oct. 8, 2008]

Sec. 1048.640 What special provisions apply for small-volume engine
manufacturers?

This section describes how we apply the special provisions in this
part for small-volume engine manufacturers.
(a) Special provisions apply for small-volume engine manufacturers,
as illustrated by the following examples:
(1) Waived requirements related to torque broadcasting. See Sec.
1048.115.
(2) Assigned deterioration factors to reduce testing burden. See
Sec. 1048.240.
(3) Additional special provisions apply for small-volume engine and
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR
1068.250.
(b) If you use any of the provisions of this part that apply
specifically to small-volume engine manufacturers and we find that you
do not qualify to use these provisions, we may consider you to be in
violation of the requirements that apply for companies that are not
small-volume engine manufacturers. If you no longer qualify as a small-
volume engine manufacturer (based on increased production volumes or
other factors), we will work with you to determine a reasonable schedule
for complying with additional requirements that apply. For example, if
you no longer qualify as a small-volume engine manufacturer shortly
before you certify your engines for the next model year, we might allow
you to use assigned deterioration factors for one more model year.

[73 FR 59242, Oct. 8, 2008]

Subpart H [Reserved]

Subpart I_Definitions and Other Reference Information

Sec. 1048.801 What definitions apply to this part?

[[Page 663]]

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), turbochargers, and oxygen
sensors are not aftertreatment.
Aircraft means any vehicle capable of sustained air travel above
treetop heights.
Alcohol-fueled engine means 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.
All-terrain vehicle has the meaning given in 40 CFR 1051.801.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
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.
Blue Sky Series engine means an engine meeting the requirements of
Sec. 1048.140.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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. 1048.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient or
steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Constant-speed engine means an engine that is certified only for
constant-speed operation. This may include engines that allow the
operator to adjust the set point for fixing the appropriate governed
speed. See subparts B and C of this part for specific provisions related
to certifying engines only for constant-speed operation. Engines whose
constant-speed governor function is removed or disabled are no longer
constant-speed engines.
Constant-speed operation has the meaning given in 40 CFR 1065.1001.
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.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
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.
Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave. NW., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection

[[Page 664]]

Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
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. 1048.505.
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 has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
Engine family has the meaning given in Sec. 1048.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1048.5, is not
subject to this part 1048.
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.
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 gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as winter-grade and summer-grade gasoline.
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.
High-cost warranted part means a component covered by the emission-
related warranty with a replacement cost (at the time of certification)
exceeding $400 (in 1998 dollars). Adjust this value using the most
recent annual average consumer price index information published by the
U.S. Bureau of Labor Statistics. For this definition, replacement cost
includes the retail cost of the part plus labor and standard diagnosis.
High-load engine means an engine for which the engine manufacturer
can provide clear evidence that operation below 75 percent of maximum
load in its final application will be rare.
Hydrocarbon (HC) means the hydrocarbon group on which the emission

[[Page 665]]

standards are based for each fuel type, as described in Sec.
1048.101(e).
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.
Intermediate test speed has the meaning given in 40 CFR 1065.1001.
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 125 hours of operation.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, or piece of equipment for sale in the United States or
otherwise introduces a new nonroad engine into commerce in the United
States. This includes importers who import engines, equipment, or
vehicles for resale.
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
engine only if its fueling, cooling, or exhaust system is an integral
part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has one of the following meanings:
(1) For engines at or below 100 kW, maximum engine power has the
meaning given in 40 CFR 90.3 for 2010 and earlier model years and in 40
CFR 1054.140 for 2011 and later model years.
(2) For engines above 100 kW, maximum engine power has the meaning
given in 40 CFR 1039.140.
Maximum test speed has one of the following meanings:
(1) For variable-speed engines, maximum test speed has the meaning
given in 40 CFR 1065.1001.
(2) For transient testing of constant-speed engines, maximum test
speed means the highest speed at which the engine produces zero torque.
(3) For steady-state testing of constant-speed engines, maximum test
speed means the speed at which the engine produces peak torque.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured equipment and engines (see definition
of ``new nonroad engine,'' paragraph (1)), model year means one of the
following:
(i) Calendar year.
(ii) Your annual new model production period if it is different than
the calendar year.
This must include January 1 of the calendar year for which the model
year is named. It may not begin before January 2 of the previous
calendar year and it must end by December 31 of the named calendar year.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad engine,''
paragraph (2)).
(3) For a nonroad engine excluded under Sec. 1048.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced (see
definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has

[[Page 666]]

the meaning given in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine,'' model year means the calendar year
in which the engine is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar year
in which the engine is assembled in its imported configuration, unless
specified otherwise in this part or in 40 CFR part 1068.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced until
the ultimate purchaser receives the title or the product is placed into
service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or a
stationary engine that is later used or intended to be used in a piece
of nonroad equipment. In this case, the engine is no longer a motor
vehicle or stationary engine and becomes a ``new nonroad engine.'' The
engine is no longer new when it is placed into nonroad service. This
paragraph (2) applies if a motor vehicle engine or a stationary engine
is installed in nonroad equipment, or if a motor vehicle or a piece of
stationary equipment is modified (or moved) to become nonroad equipment.
(3) A nonroad engine that has been previously placed into service in
an application we exclude under Sec. 1048.5, when that engine is
installed in a piece of equipment that is covered by this part 1048. The
engine is no longer new when it is placed into nonroad service covered
by this part 1048. For example, this would apply to a marine-propulsion
engine that is no longer used in a marine vessel but is instead
installed in a piece of nonroad equipment subject to the provisions of
this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a title
for the equipment or the product is placed into service, whichever comes
first.
(5) An imported nonroad engine, subject to the following provisions:
(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or more
of paragraphs (1) through (4) of this definition, where the original
engine manufacturer holds the certificate, is new as defined by those
applicable paragraphs.
(ii) An imported engine covered by a certificate of conformity
issued under this part, where someone other than the original engine
manufacturer holds the certificate (such as when the engine is modified
after its initial assembly), is a new nonroad engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new. This addresses uncertified engines and equipment
initially placed into service that someone seeks to import into the
United States. Importation of this kind of engine (or equipment
containing such an engine) is generally prohibited by 40 CFR part 1068.
However, the importation of such an engine is not prohibited if the
engine has a model year before 2004, since it is not subject to
standards.
New nonroad equipment means either of the following things:
(1) A nonroad piece of equipment for which the ultimate purchaser
has never received the equitable or legal title. The product is no
longer new when the ultimate purchaser receives this title or the
product is placed into service, whichever comes first.
(2) An imported nonroad piece of equipment with an engine not
covered by a certificate of conformity issued

[[Page 667]]

under this part at the time of importation and manufactured after
January 1, 2004.
Noncommercial fuel means a combustible product that is not marketed
as a commercial fuel, but is used as a fuel for nonroad engines. For
example, this includes methane that is produced and released from
landfills or oil wells, or similar unprocessed fuels that are not
intended to meet any otherwise applicable fuel specifications. See Sec.
1048.625 for provisions related to engines designed to burn
noncommercial fuels.
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.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
Nonroad means relating to nonroad engines or equipment that includes
nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft. This part does not apply to all nonroad engines (see Sec.
1048.5).
Nonroad equipment means a piece of equipment that is powered by one
or more nonroad engines.
Off-highway motorcycle has the meaning given in 40 CFR 1051.801.
(Note: highway motorcycles are regulated under 40 CFR part 86.)
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.
Owners manual means a document or collection of documents prepared
by the engine 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.
Piece of equipment means any vehicle, vessel, or other type of
equipment using engines to which this part applies.
Placed into service means put into initial use for its intended
purpose.
Point of first retail sale means the location at which the initial
retail sale occurs. This generally means an equipment dealership, but
may also include an engine seller or distributor in cases where loose
engines are sold to the general public for uses such as replacement
engines.
Ramped-modal means relating to the ramped-modal type of steady-state
test described in Sec. 1048.505.
Rated speed means the maximum full-load governed speed for governed
engines and the speed of maximum power for ungoverned engines.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001, unless otherwise
specified.
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.
Sealed has the meaning given in 40 CFR 1060.801.
Severe-duty application includes concrete saws, concrete pumps, and
any other application where an engine manufacturer can provide clear
evidence that the majority of installations need air-cooled engines as a
result of operation in a severe-duty environment.
Severe-duty engine means an engine from an engine family in which
the majority of engines are installed in severe-duty applications.
Small-volume engine manufacturer means a company meeting either of
the following characteristics:

[[Page 668]]

(1) An engine manufacturer with U.S.-directed production volumes of
engines subject to the requirements of this part totaling no more than
2,000 units in any year. This includes engines produced by parent or
subsidiary companies.
(2) An engine manufacturer with fewer than 200 employees. This
includes any employees working for parent or subsidiary companies.
Snowmobile has the meaning given in 40 CFR 1051.801.
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.
Stoichiometric means relating to the particular ratio of air and
fuel such that if the fuel were fully oxidized, there would be no
remaining fuel or oxygen. For example, stoichiometric combustion in a
gasoline-fueled engine typically occurs at an air-fuel mass ratio of
about 14.7.
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.
Tier 1 means relating to the emission standards and other
requirements that apply beginning with the 2004 model year.
Tier 2 means relating to the emission standards and other
requirements that apply beginning with the 2007 model year.
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 a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases such
new nonroad equipment or new nonroad engine 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 engine units,
subject to the requirements of this part, produced by a manufacturer for
which the manufacturer has a reasonable assurance that sale was or will
be made to ultimate purchasers in the United States.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
nonroad engine is required to comply with all applicable emission
standards. See Sec. 1048.101(g). If an engine has no hour meter, the
specified number of hours does not limit the period during which an in-
use engine is required to comply with emission standards unless the
degree of service accumulation can be verified separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Variable-speed operation means engine operation that does not meet
the definition of constant-speed operation.
Void has the meaning given in 40 CFR 1068.30.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other engines with
multiple possible fueling rates, wide-open throttle also means the
maximum fueling rate at maximum throttle opening under test conditions.

[[Page 669]]

We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.

[70 FR 40482, July 13, 2005, as amended at 73 FR 59242, Oct. 8, 2008; 74
FR 8426, Feb. 24, 2009; 75 FR 23023, Apr. 30, 2010]

Sec. 1048.805 What symbols, acronyms, and abbreviations does this
part use?

The following symbols, acronyms, and abbreviations apply to this
part:

[deg]C degrees Celsius.
ASTM American Society for Testing and Materials.
cc cubic centimeters.
CFR Code of Federal Regulations.
CH4 methane.
cm centimeter.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization.
kPa kilopascals.
kW kilowatts.
LPG liquefied petroleum gas.
m meters.
MIL malfunction-indicator light.
mm Hg millimeters of mercury.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psi pounds per square inch of absolute pressure.
psig pounds per square inch of gauge pressure.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SI spark-ignition.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40485, July 13, 2005; 74
FR 56510, Oct. 30, 2009]

Sec. 1048.810 What materials does this part reference?

[78 FR 36397, June 17, 2013]

Sec. 1048.815 What provisions apply to confidential information?

[[Page 670]]

(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever we
need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you, as
described in 40 CFR 2.204.

[70 FR 40486, July 13, 2005]

Sec. 1048.820 How do I request a hearing?

[70 FR 40486, July 13, 2005]

Sec. 1048.825 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 and
equipment regulated under this part:
(a) We specify the following requirements related to engine
certification in this part 1048:
(1) In Sec. 1048.20 we require manufacturers of stationary engines
to label their engines in certain cases.
(2) In Sec. 1048.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
(3) In Sec. 1048.145 we include various reporting and recordkeeping
requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify engines.
(5) In Sec. Sec. 1048.345 and 1048.350 we specify certain records
related to production-line testing.
(6) In Sec. Sec. 1048.420 and 1048.425 we specify certain records
related to in-use testing.
(7) 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.
(b) [Reserved]
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for reporting
information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing test
information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
(3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
(4) In 40 CFR 1068.105 we require equipment manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.

[[Page 671]]

[73 FR 59245, Oct. 8, 2008]

Sec. Appendix I to Part 1048 [Reserved]

Sec. Appendix II to Part 1048--Large Spark-ignition (SI) Composite
Transient Cycle

The following table shows the transient duty-cycle for engines that
are not constant-speed engines, as described in Sec. 1048.510:

------------------------------------------------------------------------
Normalized Normalized
Time(s) speed torque
(percent) (percent)
------------------------------------------------------------------------
0........................................... 0 0
1........................................... 0 0
2........................................... 0 0
3........................................... 0 0
4........................................... 0 0
5........................................... 0 0
6........................................... 0 0
7........................................... 0 0
8........................................... 0 0
9........................................... 1 8
10.......................................... 6 54
11.......................................... 8 61
12.......................................... 34 59
13.......................................... 22 46
14.......................................... 5 51
15.......................................... 18 51
16.......................................... 31 50
17.......................................... 30 56
18.......................................... 31 49
19.......................................... 25 66
20.......................................... 58 55
21.......................................... 43 31
22.......................................... 16 45
23.......................................... 24 38
24.......................................... 24 27
25.......................................... 30 33
26.......................................... 45 65
27.......................................... 50 49
28.......................................... 23 42
29.......................................... 13 42
30.......................................... 9 45
31.......................................... 23 30
32.......................................... 37 45
33.......................................... 44 50
34.......................................... 49 52
35.......................................... 55 49
36.......................................... 61 46
37.......................................... 66 38
38.......................................... 42 33
39.......................................... 17 41
40.......................................... 17 37
41.......................................... 7 50
42.......................................... 20 32
43.......................................... 5 55
44.......................................... 30 42
45.......................................... 44 53
46.......................................... 45 56
47.......................................... 41 52
48.......................................... 24 41
49.......................................... 15 40
50.......................................... 11 44
51.......................................... 32 31
52.......................................... 38 54
53.......................................... 38 47
54.......................................... 9 55
55.......................................... 10 50
56.......................................... 33 55
57.......................................... 48 56
58.......................................... 49 47
59.......................................... 33 44
60.......................................... 52 43
61.......................................... 55 43
62.......................................... 59 38
63.......................................... 44 28
64.......................................... 24 37
65.......................................... 12 44
66.......................................... 9 47
67.......................................... 12 52
68.......................................... 34 21
69.......................................... 29 44
70.......................................... 44 54
71.......................................... 54 62
72.......................................... 62 57
73.......................................... 72 56
74.......................................... 88 71
75.......................................... 100 69
76.......................................... 100 34
77.......................................... 100 42
78.......................................... 100 54
79.......................................... 100 58
80.......................................... 100 38
81.......................................... 83 17
82.......................................... 61 15
83.......................................... 43 22
84.......................................... 24 35
85.......................................... 16 39
86.......................................... 15 45
87.......................................... 32 34
88.......................................... 14 42
89.......................................... 8 48
90.......................................... 5 51
91.......................................... 10 41
92.......................................... 12 37
93.......................................... 4 47
94.......................................... 3 49
95.......................................... 3 50
96.......................................... 4 49
97.......................................... 4 48
98.......................................... 8 43
99.......................................... 2 51
100......................................... 5 46
101......................................... 8 41
102......................................... 4 47
103......................................... 3 49
104......................................... 6 45
105......................................... 3 48
106......................................... 10 42
107......................................... 18 27
108......................................... 3 50
109......................................... 11 41
110......................................... 34 29

[[Page 672]]

111......................................... 51 57
112......................................... 67 63
113......................................... 61 32
114......................................... 44 31
115......................................... 48 54
116......................................... 69 65
117......................................... 85 65
118......................................... 81 29
119......................................... 74 21
120......................................... 62 23
121......................................... 76 58
122......................................... 96 75
123......................................... 100 77
124......................................... 100 27
125......................................... 100 79
126......................................... 100 79
127......................................... 100 81
128......................................... 100 57
129......................................... 99 52
130......................................... 81 35
131......................................... 69 29
132......................................... 47 22
133......................................... 34 28
134......................................... 27 37
135......................................... 83 60
136......................................... 100 74
137......................................... 100 7
138......................................... 100 2
139......................................... 70 18
140......................................... 23 39
141......................................... 5 54
142......................................... 11 40
143......................................... 11 34
144......................................... 11 41
145......................................... 19 25
146......................................... 16 32
147......................................... 20 31
148......................................... 21 38
149......................................... 21 42
150......................................... 9 51
151......................................... 4 49
152......................................... 2 51
153......................................... 1 58
154......................................... 21 57
155......................................... 29 47
156......................................... 33 45
157......................................... 16 49
158......................................... 38 45
159......................................... 37 43
160......................................... 35 42
161......................................... 39 43
162......................................... 51 49
163......................................... 59 55
164......................................... 65 54
165......................................... 76 62
166......................................... 84 59
167......................................... 83 29
168......................................... 67 35
169......................................... 84 54
170......................................... 90 58
171......................................... 93 43
172......................................... 90 29
173......................................... 66 19
174......................................... 52 16
175......................................... 49 17
176......................................... 56 38
177......................................... 73 71
178......................................... 86 80
179......................................... 96 75
180......................................... 89 27
181......................................... 66 17
182......................................... 50 18
183......................................... 36 25
184......................................... 36 24
185......................................... 38 40
186......................................... 40 50
187......................................... 27 48
188......................................... 19 48
189......................................... 23 50
190......................................... 19 45
191......................................... 6 51
192......................................... 24 48
193......................................... 49 67
194......................................... 47 49
195......................................... 22 44
196......................................... 25 40
197......................................... 38 54
198......................................... 43 55
199......................................... 40 52
200......................................... 14 49
201......................................... 11 45
202......................................... 7 48
203......................................... 26 41
204......................................... 41 59
205......................................... 53 60
206......................................... 44 54
207......................................... 22 40
208......................................... 24 41
209......................................... 32 53
210......................................... 44 74
211......................................... 57 25
212......................................... 22 49
213......................................... 29 45
214......................................... 19 37
215......................................... 14 43
216......................................... 36 40
217......................................... 43 63
218......................................... 42 49
219......................................... 15 50
220......................................... 19 44
221......................................... 47 59
222......................................... 67 80
223......................................... 76 74
224......................................... 87 66
225......................................... 98 61
226......................................... 100 38
227......................................... 97 27
228......................................... 100 53
229......................................... 100 72
230......................................... 100 49
231......................................... 100 4
232......................................... 100 13
233......................................... 87 15
234......................................... 53 26
235......................................... 33 27
236......................................... 39 19
237......................................... 51 33
238......................................... 67 54
239......................................... 83 60
240......................................... 95 52
241......................................... 100 50
242......................................... 100 36
243......................................... 100 25
244......................................... 85 16
245......................................... 62 16
246......................................... 40 26
247......................................... 56 39
248......................................... 81 75
249......................................... 98 86
250......................................... 100 76
251......................................... 100 51
252......................................... 100 78
253......................................... 100 83
254......................................... 100 100

[[Page 673]]

255......................................... 100 66
256......................................... 100 85
257......................................... 100 72
258......................................... 100 45
259......................................... 98 58
260......................................... 60 30
261......................................... 43 32
262......................................... 71 36
263......................................... 44 32
264......................................... 24 38
265......................................... 42 17
266......................................... 22 51
267......................................... 13 53
268......................................... 23 45
269......................................... 29 50
270......................................... 28 42
271......................................... 21 55
272......................................... 34 57
273......................................... 44 47
274......................................... 19 46
275......................................... 13 44
276......................................... 25 36
277......................................... 43 51
278......................................... 55 73
279......................................... 68 72
280......................................... 76 63
281......................................... 80 45
282......................................... 83 40
283......................................... 78 26
284......................................... 60 20
285......................................... 47 19
286......................................... 52 25
287......................................... 36 30
288......................................... 40 26
289......................................... 45 34
290......................................... 47 35
291......................................... 42 28
292......................................... 46 38
293......................................... 48 44
294......................................... 68 61
295......................................... 70 47
296......................................... 48 28
297......................................... 42 22
298......................................... 31 29
299......................................... 22 35
300......................................... 28 28
301......................................... 46 46
302......................................... 62 69
303......................................... 76 81
304......................................... 88 85
305......................................... 98 81
306......................................... 100 74
307......................................... 100 13
308......................................... 100 11
309......................................... 100 17
310......................................... 99 3
311......................................... 80 7
312......................................... 62 11
313......................................... 63 11
314......................................... 64 16
315......................................... 69 43
316......................................... 81 67
317......................................... 93 74
318......................................... 100 72
319......................................... 94 27
320......................................... 73 15
321......................................... 40 33
322......................................... 40 52
323......................................... 50 50
324......................................... 11 53
325......................................... 12 45
326......................................... 5 50
327......................................... 1 55
328......................................... 7 55
329......................................... 62 60
330......................................... 80 28
331......................................... 23 37
332......................................... 39 58
333......................................... 47 24
334......................................... 59 51
335......................................... 58 68
336......................................... 36 52
337......................................... 18 42
338......................................... 36 52
339......................................... 59 73
340......................................... 72 85
341......................................... 85 92
342......................................... 99 90
343......................................... 100 72
344......................................... 100 18
345......................................... 100 76
346......................................... 100 64
347......................................... 100 87
348......................................... 100 97
349......................................... 100 84
350......................................... 100 100
351......................................... 100 91
352......................................... 100 83
353......................................... 100 93
354......................................... 100 100
355......................................... 94 43
356......................................... 72 10
357......................................... 77 3
358......................................... 48 2
359......................................... 29 5
360......................................... 59 19
361......................................... 63 5
362......................................... 35 2
363......................................... 24 3
364......................................... 28 2
365......................................... 36 16
366......................................... 54 23
367......................................... 60 10
368......................................... 33 1
369......................................... 23 0
370......................................... 16 0
371......................................... 11 0
372......................................... 20 0
373......................................... 25 2
374......................................... 40 3
375......................................... 33 4
376......................................... 34 5
377......................................... 46 7
378......................................... 57 10
379......................................... 66 11
380......................................... 75 14
381......................................... 79 11
382......................................... 80 16
383......................................... 92 21
384......................................... 99 16
385......................................... 83 2
386......................................... 71 2
387......................................... 69 4
388......................................... 67 4
389......................................... 74 16
390......................................... 86 25
391......................................... 97 28
392......................................... 100 15
393......................................... 83 2
394......................................... 62 4
395......................................... 40 6
396......................................... 49 10
397......................................... 36 5
398......................................... 27 4

[[Page 674]]

399......................................... 29 3
400......................................... 22 2
401......................................... 13 3
402......................................... 37 36
403......................................... 90 26
404......................................... 41 2
405......................................... 25 2
406......................................... 29 2
407......................................... 38 7
408......................................... 50 13
409......................................... 55 10
410......................................... 29 3
411......................................... 24 7
412......................................... 51 16
413......................................... 62 15
414......................................... 72 35
415......................................... 91 74
416......................................... 100 73
417......................................... 100 8
418......................................... 98 11
419......................................... 100 59
420......................................... 100 98
421......................................... 100 99
422......................................... 100 75
423......................................... 100 95
424......................................... 100 100
425......................................... 100 97
426......................................... 100 90
427......................................... 100 86
428......................................... 100 82
429......................................... 97 43
430......................................... 70 16
431......................................... 50 20
432......................................... 42 33
433......................................... 89 64
434......................................... 89 77
435......................................... 99 95
436......................................... 100 41
437......................................... 77 12
438......................................... 29 37
439......................................... 16 41
440......................................... 16 38
441......................................... 15 36
442......................................... 18 44
443......................................... 4 55
444......................................... 24 26
445......................................... 26 35
446......................................... 15 45
447......................................... 21 39
448......................................... 29 52
449......................................... 26 46
450......................................... 27 50
451......................................... 13 43
452......................................... 25 36
453......................................... 37 57
454......................................... 29 46
455......................................... 17 39
456......................................... 13 41
457......................................... 19 38
458......................................... 28 35
459......................................... 8 51
460......................................... 14 36
461......................................... 17 47
462......................................... 34 39
463......................................... 34 57
464......................................... 11 70
465......................................... 13 51
466......................................... 13 68
467......................................... 38 44
468......................................... 53 67
469......................................... 29 69
470......................................... 19 65
471......................................... 52 45
472......................................... 61 79
473......................................... 29 70
474......................................... 15 53
475......................................... 15 60
476......................................... 52 40
477......................................... 50 61
478......................................... 13 74
479......................................... 46 51
480......................................... 60 73
481......................................... 33 84
482......................................... 31 63
483......................................... 41 42
484......................................... 26 69
485......................................... 23 65
486......................................... 48 49
487......................................... 28 57
488......................................... 16 67
489......................................... 39 48
490......................................... 47 73
491......................................... 35 87
492......................................... 26 73
493......................................... 30 61
494......................................... 34 49
495......................................... 35 66
496......................................... 56 47
497......................................... 49 64
498......................................... 59 64
499......................................... 42 69
500......................................... 6 77
501......................................... 5 59
502......................................... 17 59
503......................................... 45 53
504......................................... 21 62
505......................................... 31 60
506......................................... 53 68
507......................................... 48 79
508......................................... 45 61
509......................................... 51 47
510......................................... 41 48
511......................................... 26 58
512......................................... 21 62
513......................................... 50 52
514......................................... 39 65
515......................................... 23 65
516......................................... 42 62
517......................................... 57 80
518......................................... 66 81
519......................................... 64 62
520......................................... 45 42
521......................................... 33 42
522......................................... 27 57
523......................................... 31 59
524......................................... 41 53
525......................................... 45 72
526......................................... 48 73
527......................................... 46 90
528......................................... 56 76
529......................................... 64 76
530......................................... 69 64
531......................................... 72 59
532......................................... 73 58
533......................................... 71 56
534......................................... 66 48
535......................................... 61 50
536......................................... 55 56
537......................................... 52 52
538......................................... 54 49
539......................................... 61 50
540......................................... 64 54
541......................................... 67 54
542......................................... 68 52

[[Page 675]]

543......................................... 60 53
544......................................... 52 50
545......................................... 45 49
546......................................... 38 45
547......................................... 32 45
548......................................... 26 53
549......................................... 23 56
550......................................... 30 49
551......................................... 33 55
552......................................... 35 59
553......................................... 33 65
554......................................... 30 67
555......................................... 28 59
556......................................... 25 58
557......................................... 23 56
558......................................... 22 57
559......................................... 19 63
560......................................... 14 63
561......................................... 31 61
562......................................... 35 62
563......................................... 21 80
564......................................... 28 65
565......................................... 7 74
566......................................... 23 54
567......................................... 38 54
568......................................... 14 78
569......................................... 38 58
570......................................... 52 75
571......................................... 59 81
572......................................... 66 69
573......................................... 54 44
574......................................... 48 34
575......................................... 44 33
576......................................... 40 40
577......................................... 28 58
578......................................... 27 63
579......................................... 35 45
580......................................... 20 66
581......................................... 15 60
582......................................... 10 52
583......................................... 22 56
584......................................... 30 62
585......................................... 21 67
586......................................... 29 53
587......................................... 41 56
588......................................... 15 67
589......................................... 24 56
590......................................... 42 69
591......................................... 39 83
592......................................... 40 73
593......................................... 35 67
594......................................... 32 61
595......................................... 30 65
596......................................... 30 72
597......................................... 48 51
598......................................... 66 58
599......................................... 62 71
600......................................... 36 63
601......................................... 17 59
602......................................... 16 50
603......................................... 16 62
604......................................... 34 48
605......................................... 51 66
606......................................... 35 74
607......................................... 15 56
608......................................... 19 54
609......................................... 43 65
610......................................... 52 80
611......................................... 52 83
612......................................... 49 57
613......................................... 48 46
614......................................... 37 36
615......................................... 25 44
616......................................... 14 53
617......................................... 13 64
618......................................... 23 56
619......................................... 21 63
620......................................... 18 67
621......................................... 20 54
622......................................... 16 67
623......................................... 26 56
624......................................... 41 65
625......................................... 28 62
626......................................... 19 60
627......................................... 33 56
628......................................... 37 70
629......................................... 24 79
630......................................... 28 57
631......................................... 40 57
632......................................... 40 58
633......................................... 28 44
634......................................... 25 41
635......................................... 29 53
636......................................... 31 55
637......................................... 26 64
638......................................... 20 50
639......................................... 16 53
640......................................... 11 54
641......................................... 13 53
642......................................... 23 50
643......................................... 32 59
644......................................... 36 63
645......................................... 33 59
646......................................... 24 52
647......................................... 20 52
648......................................... 22 55
649......................................... 30 53
650......................................... 37 59
651......................................... 41 58
652......................................... 36 54
653......................................... 29 49
654......................................... 24 53
655......................................... 14 57
656......................................... 10 54
657......................................... 9 55
658......................................... 10 57
659......................................... 13 55
660......................................... 15 64
661......................................... 31 57
662......................................... 19 69
663......................................... 14 59
664......................................... 33 57
665......................................... 41 65
666......................................... 39 64
667......................................... 39 59
668......................................... 39 51
669......................................... 28 41
670......................................... 19 49
671......................................... 27 54
672......................................... 37 63
673......................................... 32 74
674......................................... 16 70
675......................................... 12 67
676......................................... 13 60
677......................................... 17 56
678......................................... 15 62
679......................................... 25 47
680......................................... 27 64
681......................................... 14 71
682......................................... 5 65
683......................................... 6 57
684......................................... 6 57
685......................................... 15 52
686......................................... 22 61

[[Page 676]]

687......................................... 14 77
688......................................... 12 67
689......................................... 12 62
690......................................... 14 59
691......................................... 15 58
692......................................... 18 55
693......................................... 22 53
694......................................... 19 69
695......................................... 14 67
696......................................... 9 63
697......................................... 8 56
698......................................... 17 49
699......................................... 25 55
700......................................... 14 70
701......................................... 12 60
702......................................... 22 57
703......................................... 27 67
704......................................... 29 68
705......................................... 34 62
706......................................... 35 61
707......................................... 28 78
708......................................... 11 71
709......................................... 4 58
710......................................... 5 58
711......................................... 10 56
712......................................... 20 63
713......................................... 13 76
714......................................... 11 65
715......................................... 9 60
716......................................... 7 55
717......................................... 8 53
718......................................... 10 60
719......................................... 28 53
720......................................... 12 73
721......................................... 4 64
722......................................... 4 61
723......................................... 4 61
724......................................... 10 56
725......................................... 8 61
726......................................... 20 56
727......................................... 32 62
728......................................... 33 66
729......................................... 34 73
730......................................... 31 61
731......................................... 33 55
732......................................... 33 60
733......................................... 31 59
734......................................... 29 58
735......................................... 31 53
736......................................... 33 51
737......................................... 33 48
738......................................... 27 44
739......................................... 21 52
740......................................... 13 57
741......................................... 12 56
742......................................... 10 64
743......................................... 22 47
744......................................... 15 74
745......................................... 8 66
746......................................... 34 47
747......................................... 18 71
748......................................... 9 57
749......................................... 11 55
750......................................... 12 57
751......................................... 10 61
752......................................... 16 53
753......................................... 12 75
754......................................... 6 70
755......................................... 12 55
756......................................... 24 50
757......................................... 28 60
758......................................... 28 64
759......................................... 23 60
760......................................... 20 56
761......................................... 26 50
762......................................... 28 55
763......................................... 18 56
764......................................... 15 52
765......................................... 11 59
766......................................... 16 59
767......................................... 34 54
768......................................... 16 82
769......................................... 15 64
770......................................... 36 53
771......................................... 45 64
772......................................... 41 59
773......................................... 34 50
774......................................... 27 45
775......................................... 22 52
776......................................... 18 55
777......................................... 26 54
778......................................... 39 62
779......................................... 37 71
780......................................... 32 58
781......................................... 24 48
782......................................... 14 59
783......................................... 7 59
784......................................... 7 55
785......................................... 18 49
786......................................... 40 62
787......................................... 44 73
788......................................... 41 68
789......................................... 35 48
790......................................... 29 54
791......................................... 22 69
792......................................... 46 53
793......................................... 59 71
794......................................... 69 68
795......................................... 75 47
796......................................... 62 32
797......................................... 48 35
798......................................... 27 59
799......................................... 13 58
800......................................... 14 54
801......................................... 21 53
802......................................... 23 56
803......................................... 23 57
804......................................... 23 65
805......................................... 13 65
806......................................... 9 64
807......................................... 27 56
808......................................... 26 78
809......................................... 40 61
810......................................... 35 76
811......................................... 28 66
812......................................... 23 57
813......................................... 16 50
814......................................... 11 53
815......................................... 9 57
816......................................... 9 62
817......................................... 27 57
818......................................... 42 69
819......................................... 47 75
820......................................... 53 67
821......................................... 61 62
822......................................... 63 53
823......................................... 60 54
824......................................... 56 44
825......................................... 49 39
826......................................... 39 35
827......................................... 30 34
828......................................... 33 46
829......................................... 44 56
830......................................... 50 56

[[Page 677]]

831......................................... 44 52
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843......................................... 30 65
844......................................... 27 66
845......................................... 32 58
846......................................... 40 56
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848......................................... 18 73
849......................................... 15 55
850......................................... 18 50
851......................................... 17 52
852......................................... 20 49
853......................................... 16 62
854......................................... 4 67
855......................................... 2 64
856......................................... 7 54
857......................................... 10 50
858......................................... 9 57
859......................................... 5 62
860......................................... 12 51
861......................................... 14 65
862......................................... 9 64
863......................................... 31 50
864......................................... 30 78
865......................................... 21 65
866......................................... 14 51
867......................................... 10 55
868......................................... 6 59
869......................................... 7 59
870......................................... 19 54
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873......................................... 34 61
874......................................... 51 67
875......................................... 60 66
876......................................... 58 55
877......................................... 60 52
878......................................... 64 55
879......................................... 68 51
880......................................... 63 54
881......................................... 64 50
882......................................... 68 58
883......................................... 73 47
884......................................... 63 40
885......................................... 50 38
886......................................... 29 61
887......................................... 14 61
888......................................... 14 53
889......................................... 42 6
890......................................... 58 6
891......................................... 58 6
892......................................... 77 39
893......................................... 93 56
894......................................... 93 44
895......................................... 93 37
896......................................... 93 31
897......................................... 93 25
898......................................... 93 26
899......................................... 93 27
900......................................... 93 25
901......................................... 93 21
902......................................... 93 22
903......................................... 93 24
904......................................... 93 23
905......................................... 93 27
906......................................... 93 34
907......................................... 93 32
908......................................... 93 26
909......................................... 93 31
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911......................................... 93 31
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913......................................... 93 36
914......................................... 93 37
915......................................... 93 34
916......................................... 93 30
917......................................... 93 32
918......................................... 93 35
919......................................... 93 35
920......................................... 93 32
921......................................... 93 28
922......................................... 93 23
923......................................... 94 18
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926......................................... 95 13
927......................................... 96 10
928......................................... 95 9
929......................................... 95 7
930......................................... 95 7
931......................................... 96 7
932......................................... 96 6
933......................................... 96 6
934......................................... 95 6
935......................................... 90 6
936......................................... 69 43
937......................................... 76 62
938......................................... 93 47
939......................................... 93 39
940......................................... 93 35
941......................................... 93 34
942......................................... 93 36
943......................................... 93 39
944......................................... 93 34
945......................................... 93 26
946......................................... 93 23
947......................................... 93 24
948......................................... 93 24
949......................................... 93 22
950......................................... 93 19
951......................................... 93 17
952......................................... 93 19
953......................................... 93 22
954......................................... 93 24
955......................................... 93 23
956......................................... 93 20
957......................................... 93 20
958......................................... 94 19
959......................................... 95 19
960......................................... 95 17
961......................................... 96 13
962......................................... 95 10
963......................................... 96 9
964......................................... 95 7
965......................................... 95 7
966......................................... 95 7
967......................................... 95 6
968......................................... 96 6
969......................................... 96 6
970......................................... 89 6
971......................................... 68 6
972......................................... 57 6
973......................................... 66 32
974......................................... 84 52

[[Page 678]]

975......................................... 93 46
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982......................................... 93 15
983......................................... 93 16
984......................................... 93 15
985......................................... 93 14
986......................................... 93 15
987......................................... 93 16
988......................................... 94 15
989......................................... 93 32
990......................................... 93 45
991......................................... 93 43
992......................................... 93 37
993......................................... 93 29
994......................................... 93 23
995......................................... 93 20
996......................................... 93 18
997......................................... 93 16
998......................................... 93 17
999......................................... 93 16
1000........................................ 93 15
1001........................................ 93 15
1002........................................ 93 15
1003........................................ 93 14
1004........................................ 93 15
1005........................................ 93 15
1006........................................ 93 14
1007........................................ 93 13
1008........................................ 93 14
1009........................................ 93 14
1010........................................ 93 15
1011........................................ 93 16
1012........................................ 93 17
1013........................................ 93 20
1014........................................ 93 22
1015........................................ 93 20
1016........................................ 93 19
1017........................................ 93 20
1018........................................ 93 19
1019........................................ 93 19
1020........................................ 93 20
1021........................................ 93 32
1022........................................ 93 37
1023........................................ 93 28
1024........................................ 93 26
1025........................................ 93 24
1026........................................ 93 22
1027........................................ 93 22
1028........................................ 93 21
1029........................................ 93 20
1030........................................ 93 20
1031........................................ 93 20
1032........................................ 93 20
1033........................................ 93 19
1034........................................ 93 18
1035........................................ 93 20
1036........................................ 93 20
1037........................................ 93 20
1038........................................ 93 20
1039........................................ 93 19
1040........................................ 93 18
1041........................................ 93 18
1042........................................ 93 17
1043........................................ 93 16
1044........................................ 93 16
1045........................................ 93 15
1046........................................ 93 16
1047........................................ 93 18
1048........................................ 93 37
1049........................................ 93 48
1050........................................ 93 38
1051........................................ 93 31
1052........................................ 93 26
1053........................................ 93 21
1054........................................ 93 18
1055........................................ 93 16
1056........................................ 93 17
1057........................................ 93 18
1058........................................ 93 19
1059........................................ 93 21
1060........................................ 93 20
1061........................................ 93 18
1062........................................ 93 17
1063........................................ 93 17
1064........................................ 93 18
1065........................................ 93 18
1066........................................ 93 18
1067........................................ 93 19
1068........................................ 93 18
1069........................................ 93 18
1070........................................ 93 20
1071........................................ 93 23
1072........................................ 93 25
1073........................................ 93 25
1074........................................ 93 24
1075........................................ 93 24
1076........................................ 93 22
1077........................................ 93 22
1078........................................ 93 22
1079........................................ 93 19
1080........................................ 93 16
1081........................................ 95 17
1082........................................ 95 37
1083........................................ 93 43
1084........................................ 93 32
1085........................................ 93 27
1086........................................ 93 26
1087........................................ 93 24
1088........................................ 93 22
1089........................................ 93 22
1090........................................ 93 22
1091........................................ 93 23
1092........................................ 93 22
1093........................................ 93 22
1094........................................ 93 23
1095........................................ 93 23
1096........................................ 93 23
1097........................................ 93 22
1098........................................ 93 23
1099........................................ 93 23
1100........................................ 93 23
1101........................................ 93 25
1102........................................ 93 27
1103........................................ 93 26
1104........................................ 93 25
1105........................................ 93 27
1106........................................ 93 27
1107........................................ 93 27
1108........................................ 93 24
1109........................................ 93 20
1110........................................ 93 18
1111........................................ 93 17
1112........................................ 93 17
1113........................................ 93 18
1114........................................ 93 18
1115........................................ 93 18
1116........................................ 93 19
1117........................................ 93 22
1118........................................ 93 22

[[Page 679]]

1119........................................ 93 19
1120........................................ 93 17
1121........................................ 93 17
1122........................................ 93 18
1123........................................ 93 18
1124........................................ 93 19
1125........................................ 93 19
1126........................................ 93 20
1127........................................ 93 19
1128........................................ 93 20
1129........................................ 93 25
1130........................................ 93 30
1131........................................ 93 31
1132........................................ 93 26
1133........................................ 93 21
1134........................................ 93 18
1135........................................ 93 20
1136........................................ 93 25
1137........................................ 93 24
1138........................................ 93 21
1139........................................ 93 21
1140........................................ 93 22
1141........................................ 93 22
1142........................................ 93 28
1143........................................ 93 29
1144........................................ 93 23
1145........................................ 93 21
1146........................................ 93 18
1147........................................ 93 16
1148........................................ 93 16
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1150........................................ 93 17
1151........................................ 93 17
1152........................................ 93 17
1153........................................ 93 17
1154........................................ 93 23
1155........................................ 93 26
1156........................................ 93 22
1157........................................ 93 18
1158........................................ 93 16
1159........................................ 93 16
1160........................................ 93 17
1161........................................ 93 19
1162........................................ 93 18
1163........................................ 93 16
1164........................................ 93 19
1165........................................ 93 22
1166........................................ 93 25
1167........................................ 93 29
1168........................................ 93 27
1169........................................ 93 22
1170........................................ 93 18
1171........................................ 93 16
1172........................................ 93 19
1173........................................ 93 19
1174........................................ 93 17
1175........................................ 93 17
1176........................................ 93 17
1177........................................ 93 16
1178........................................ 93 16
1179........................................ 93 15
1180........................................ 93 16
1181........................................ 93 15
1182........................................ 93 17
1183........................................ 93 21
1184........................................ 93 30
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1187........................................ 93 38
1188........................................ 93 30
1189........................................ 93 24
1190........................................ 93 20
1191........................................ 95 20
1192........................................ 96 18
1193........................................ 96 15
1194........................................ 96 11
1195........................................ 95 9
1196........................................ 95 8
1197........................................ 96 7
1198........................................ 94 33
1199........................................ 93 46
1200........................................ 93 37
1201........................................ 16 8
1202........................................ 0 0
1203........................................ 0 0
1204........................................ 0 0
1205........................................ 0 0
1206........................................ 0 0
1207........................................ 0 0
1208........................................ 0 0
1209........................................ 0 0
------------------------------------------------------------------------

PART 1051_CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND VEHICLES-
-Table of Contents

Subpart A_Determining How To Follow This Part

Sec.
1051.1 Does this part apply for my vehicles or engines?
1051.2 Who is responsible for compliance?
1051.5 Which engines are excluded from this part's requirements?
1051.10 How is this part organized?
1051.15 Do any other regulation parts apply to me?
1051.20 May I certify a recreational engine instead of the vehicle?
1051.25 What requirements apply when installing certified engines in
recreational vehicles?
1051.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1051.101 What emission standards and other requirements must my vehicles
meet?
1051.103 What are the exhaust emission standards for snowmobiles?
1051.105 What are the exhaust emission standards for off-highway
motorcycles?
1051.107 What are the exhaust emission standards for all-terrain
vehicles (ATVs) and offroad utility vehicles?
1051.110 What evaporative emission standards must my vehicles meet?
1051.115 What other requirements apply?
1051.120 What emission-related warranty requirements apply to me?
1051.125 What maintenance instructions must I give to buyers?
1051.130 What installation instructions must I give to vehicle
manufacturers?

[[Page 680]]

1051.135 How must I label and identify the vehicles I produce?
1051.137 What are the consumer labeling requirements?
1051.140 What is my vehicle's maximum engine power and displacement?
1051.145 [Reserved]

Subpart C_Certifying Engine Families

1051.201 What are the general requirements for obtaining a certificate
of conformity?
1051.205 What must I include in my application?
1051.210 May I get preliminary approval before I complete my
application?
1051.220 How do I amend the maintenance instructions in my application?
1051.225 How do I amend my application for certification to include new
or modified vehicle configurations or to change an FEL?
1051.230 How do I select engine families?
1051.235 What emission testing must I perform for my application for a
certificate of conformity?
1051.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1051.243 How do I determine deterioration factors from exhaust
durability testing?
1051.245 How do I demonstrate that my engine family complies with
evaporative emission standards?
1051.250 What records must I keep and make available to EPA?
1051.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D_Testing Production-Line Vehicles and Engines

1051.301 When must I test my production-line vehicles or engines?
1051.305 How must I prepare and test my production-line vehicles or
engines?
1051.310 How must I select vehicles or engines for production-line
testing?
1051.315 How do I know when my engine family fails the production-line
testing requirements?
1051.320 What happens if one of my production-line vehicles or engines
fails to meet emission standards?
1051.325 What happens if an engine family fails the production-line
testing requirements?
1051.330 May I sell vehicles from an engine family with a suspended
certificate of conformity?
1051.335 How do I ask EPA to reinstate my suspended certificate?
1051.340 When may EPA revoke my certificate under this subpart and how
may I sell these vehicles again?
1051.345 What production-line testing records must I send to EPA?
1051.350 What records must I keep?

Subpart E--Testing In-Use Engines [Reserved]

Subpart F_Test Procedures

1051.501 What procedures must I use to test my vehicles or engines?
1051.505 What special provisions apply for testing snowmobiles?
1051.510 What special provisions apply for testing ATV engines?
[Reserved]
1051.515 How do I test my fuel tank for permeation emissions?
1051.520 How do I perform exhaust durability testing?

Subpart G_Compliance Provisions

1051.601 What compliance provisions apply to vehicles and engines
subject to this part?
1051.605 What provisions apply to engines already certified under the
motor vehicle program or the Large Spark-ignition program?
1051.610 What provisions apply to vehicles already certified under the
motor vehicle program?
1051.615 What are the special provisions for certifying small
recreational engines?
1051.620 When may a manufacturer obtain an exemption for competition
recreational vehicles?
1051.625 What special provisions apply to unique snowmobile designs for
small-volume manufacturers?
1051.630 What special provisions apply to unique snowmobile designs for
all manufacturers?
1051.635 What provisions apply to new manufacturers that are small
businesses?
1051.640 What special provisions apply for custom off-highway
motorcycles that are similar to highway motorcycles?
1051.645 What special provisions apply to branded engines?
1051.650 What special provisions apply for converting a vehicle to use
an alternate fuel?

Subpart H_Averaging, Banking, and Trading for Certification

1051.701 General provisions.
1051.705 How do I average emission levels?
1051.710 How do I generate and bank emission credits?
1051.715 How do I trade emission credits?
1051.720 How do I calculate my average emission level or emission
credits?
1051.725 What must I include in my applications for certification?
1051.730 What ABT reports must I send to EPA?
1051.735 What records must I keep?

[[Page 681]]

1051.740 Are there special averaging provisions for snowmobiles?
1051.745 What can happen if I do not comply with the provisions of this
subpart?

Subpart I_Definitions and Other Reference Information

1051.801 What definitions apply to this part?
1051.805 What symbols, acronyms, and abbreviations does this part use?
1051.815 What provisions apply to confidential information?
1051.820 How do I request a hearing?
1051.825 What reporting and recordkeeping requirements apply under this
part?

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

Source: 67 FR 68347, Nov. 8, 2002, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1051.1 Does this part apply for my vehicles or engines?

(a) The regulations in this part 1051 apply for all the following
new recreational vehicles or new engines used in the following
recreational vehicles, except as provided in Sec. 1051.5:
(1) Snowmobiles.
(2) Off-highway motorcycles.
(3) All-terrain vehicles (ATVs).
(4) Offroad utility vehicles with engines with displacement less
than or equal to 1000 cc, maximum engine power less than or equal to 30
kW, and maximum vehicle speed higher than 25 miles per hour. Offroad
utility vehicles that are subject to this part are subject to the same
requirements as ATVs. This means that any requirement that applies to
ATVs also applies to these offroad utility vehicles, without regard to
whether the regulatory language mentions offroad utility vehicles.
(b) In certain cases, the regulations in this part 1051 apply to new
engines under 50 cc used in motorcycles that are motor vehicles. See 40
CFR 86.447-2006 or 86.448-2006 for provisions related to this allowance.
(c) This part 1051 applies for new recreational vehicles starting in
the 2006 model year, except as described in subpart B of this part. You
need not follow this part for vehicles you produce before the 2006 model
year, unless you certify voluntarily. See Sec. Sec. 1051.103 through
1051.110, Sec. 1051.145, and the definition of ``model year'' in Sec.
1051.801 for more information about the timing of the requirements.
(d) The requirements of this part begin to apply when a vehicle is
new. See the definition of ``new'' in Sec. 1051.801 for more
information. In some cases, vehicles or engines that have been
previously used may be considered ``new'' for the purposes of this part.
(e) The evaporative emission requirements of this part apply to
highway motorcycles, as specified in 40 CFR part 86, subpart E.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]

Sec. 1051.2 Who is responsible for compliance?

The regulations in this part 1051 contain provisions that affect
both vehicle manufacturers and others. However, the requirements of this
part are generally addressed to the vehicle manufacturer. The term
``you'' generally means the vehicle manufacturer, as defined in Sec.
1051.801, especially for issues related to certification (including
production-line testing, reporting, etc.).

[73 FR 59245, Oct. 8, 2008]

Sec. 1051.5 Which engines are excluded from this part's requirements?

(a)(1) You may exclude vehicles with compression-ignition engines.
See 40 CFR parts 89 and 1039 for regulations that cover these engines.
(2) Vehicles with a combined total vehicle dry weight under 20.0
kilograms are excluded from this part. Spark-ignition engines in these
vehicles must instead meet emission standards specified in 40 CFR parts
90 and 1054. See 40 CFR 90.103(a) and the definition of handheld in 40
CFR 1054.801.
(b) We may require you to label an engine or vehicle (or both) if
this section excludes it and other requirements in this chapter do not
apply.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]

Sec. 1051.10 How is this part organized?

This part 1051 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1051
and gives an overview of regulatory requirements.

[[Page 682]]

(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. 1051.145 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
production-line engines.
(e) [Reserved]
(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 and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment 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.

[70 FR 40486, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008]

Sec. 1051.15 Do any other regulation parts apply to me?

(a) Parts 86 and 1065 of this chapter describe procedures and
equipment specifications for testing vehicles and engines to measure
exhaust emissions. Subpart F of this part 1051 describes how to apply
the provisions of parts 86 and 1065 of this chapter to determine whether
vehicles meet the exhaust emission standards in this part.
(b) Part 1060 of this chapter describes standards and procedures
that optionally apply for controlling evaporative emissions from engines
fueled by gasoline or other volatile liquid fuels and the associated
fuel systems.
(c) The 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
1051, or vehicles containing these engines. Part 1068 of this chapter
describes general provisions, including 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 and engines.
(4) Importing vehicles and engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.

[70 FR 40487, July 13, 2005, as amended at 73 FR 59245, Oct. 8, 2008; 75
FR 23023, Apr. 30, 2010]

Sec. 1051.20 May I certify a recreational engine instead of the vehicle?

(a) You may certify engines sold separately from vehicles in either
of two cases:
(1) If you manufacture recreational engines but not recreational
vehicles, you may ask to certify the engine alone. In your request,
explain why you cannot certify the entire vehicle.
(2) If you manufacture complete recreational vehicles containing
engines you also sell separately, you may ask to certify all these
engines in a single engine family or in separate engine families.
(b) If you certify an engine under this section, you must use the
test procedures in subpart F of this part. If the test procedures
require vehicle testing, use good engineering judgment to install the
engine in an appropriate vehicle for measuring emissions.
(c) If we allow you to certify recreational engines, the vehicles
must meet the applicable emission standards (including evaporative
emission standards) with the engines installed in the appropriate
vehicles. You must prepare installation instructions as described in
Sec. 1051.130 and use good engineering judgment so that the engines
will meet emission standards after proper installation in the vehicle.
(d) Identify and label engines you produce under this section
consistent with the requirements of Sec. 1051.135. On the emission
control information label, identify the manufacturing date of the engine
rather than the vehicle.
(e) You may not use the provisions of this section to circumvent or
reduce

[[Page 683]]

the stringency of this part's standards or other requirements.
(f) If you certify under paragraph (a)(1) of this section, you may
ask us to allow you to perform production-line testing on the engine. If
you certify under paragraph (a)(2) of this section, use good engineering
judgment to ensure that these engines are produced in the same manner as
the engines you produce for your vehicles, so that your production-line
testing results under subpart D of this part would apply to them.
(g) Apply the provisions of 40 CFR part 1068 for engines certified
under this section as if they were subject to engine-based standards.
For example, you may rely on the provisions of 40 CFR 1068.261 to have
vehicle manufacturers install catalysts that you describe in your
application for certification.

[70 FR 40489, July 13, 2005, as amended at 75 FR 23023, Apr. 30, 2010]

Sec. 1051.25 What requirements apply when installing certified engines
in recreational vehicles?

(a) If you manufacture recreational vehicles with engines certified
under Sec. 1051.20, you must certify your vehicle with respect to the
evaporative emission standards in Sec. 1051.110, but you need not
certify the vehicle with respect to exhaust emissions under this part.
The vehicle must nevertheless meet all emission standards with the
engine installed. You must also label fuel tanks and fuel lines as
specified in Sec. 1051.135(d).
(b) You must follow the engine manufacturer's emission-related
installation instructions, as described in Sec. 1051.135 and 40 CFR
1068.105. For example, you must use a fuel system that meets the
permeation requirements of this part, consistent with the engine
manufacturer's instructions.
(c) If you obscure the engine label while installing the engine in
the vehicle such that the label cannot be read during normal
maintenance, you must place a duplicate label on the vehicle as
described in 40 CFR 1068.105.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59245, Oct. 8, 2008]

Sec. 1051.30 Submission of information.

(a) This part includes various requirements to record data or other
information. Refer to Sec. 1051.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for certification,
or one year after you generate the data if they do not support an
application for certification. You must promptly send us organized,
written records in English if we ask for them. We may review them at any
time.
(b) The regulations in Sec. 1051.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1051.801).
(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.

[75 FR 23023, Apr. 30, 2010]

Subpart B_Emission Standards and Related Requirements

Sec. 1051.101 What emission standards and other requirements must my
vehicles meet?

(a) You must show that your vehicles meet the following:
(1) The applicable exhaust emission standards in Sec. 1051.103,
Sec. 1051.105, Sec. 1051.107, or Sec. 1051.145.
(i) For snowmobiles, see Sec. 1051.103.
(ii) For off-highway motorcycles, see Sec. 1051.105.
(iii) For all-terrain vehicles and offroad utility vehicles subject
to this part, see Sec. 1051.107 and Sec. 1051.145.
(2) The evaporative emission standards in Sec. 1051.110.
(3) All the requirements in Sec. 1051.115.

[[Page 684]]

(b) The certification regulations in subpart C of this part describe
how you make this showing.
(c) These standards and requirements apply to all testing, including
certification, production-line, and in-use testing.
(d) Other sections in this subpart describe other requirements for
manufacturers such as labeling or warranty requirements.
(e) It is important that you read Sec. 1051.145 to determine if
there are other interim requirements or interim compliance options that
apply for a limited time.
(f) As described in Sec. 1051.1(a)(4), offroad utility vehicles
that are subject to this part are subject to the same requirements as
ATVs.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005]

Sec. 1051.103 What are the exhaust emission standards for snowmobiles?

(a) Apply the exhaust emission standards in this section by model
year. Measure emissions with the snowmobile test procedures in subpart F
of this part.
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC and CO emissions, as described in
subpart H of this part. This requires that you specify a family emission
limit for each pollutant you include in the ABT program for each engine
family. These family emission limits serve as the emission standards for
the engine family with respect to all required testing instead of the
standards specified in this section. An engine family meets emission
standards even if its family emission limit is higher than the standard,
as long as you show that the whole averaging set of applicable engine
families meets the applicable emission standards using emission credits,
and the vehicles within the family meet the family emission limit. The
phase-in values specify the percentage of your U.S.-directed production
that must comply with the emission standards for those model years.
Calculate this compliance percentage based on a simple count of your
U.S.-directed production units within each certified engine family
compared with a simple count of your total U.S.-directed production
units. Table 1 also shows the maximum value you may specify for a family
emission limit, as follows:

Table 1 of Sec. 1051.103--Exhaust Emission Standards for Snowmobiles (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Emission standards Maximum allowable family
Phase-in -------------------------- emission limits
Phase Model year (percent) -------------------------
HC CO HC CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1......................................... 2006.............................. 50 100 275
Phase 1......................................... 2007-2009......................... 100 100 275
Phase 2......................................... 2010 and 2011..................... 100 75 275
Phase 3......................................... 2012 and later.................... 100 (\1\) (\1\) 150 400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ See Sec. 1051.103(a)(2).

(2) For Phase 3, the HC and CO standards are defined by a functional
relationship. Choose your corporate average HC and CO standards for each
year according to the following criteria:
(i) Prior to production, select the HC standard and CO standard
(specified as g/kW-hr) so that the combined percent reduction from
baseline emission levels is greater than or equal to 100 percent; that
is, that the standards comply with the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JN08.006

[[Page 685]]

(ii) Your corporate average HC standard may not be higher than 75 g/
kW-hr.
(iii) Your corporate average CO standard may not be higher than 275
g/kW-hr.
(iv) You may use the averaging and banking provisions of subpart H
of this part to show compliance with these HC and CO standards at the
end of the model year under paragraph (a)(2)(i) of this section. You
must comply with these final corporate average emission standards.
(b) The exhaust emission standards in this section apply for
snowmobiles using the fuel type on which they are designed to operate.
You must meet the numerical emission standards for hydrocarbons in this
section based on the following types of hydrocarbon emissions for
snowmobiles powered by the following fuels:
(1) Natural gas-fueled snowmobiles: NMHC emissions.
(2) Alcohol-fueled snowmobiles: THCE emissions.
(3) Other snowmobiles: THC emissions.
(c) Your snowmobiles must meet emission standards over their full
useful life. The minimum useful life is 8,000 kilometers, 400 hours of
engine operation, or five calendar years, whichever comes first. You
must specify a longer useful life in terms of kilometers and hours for
the engine family if the average service life of your vehicles is longer
than the minimum value, as follows:
(1) Except as allowed by paragraph (c)(2) of this section, your
useful life (in kilometers and hours) may not be less than either of the
following:
(i) Your projected operating life from advertisements or other
marketing materials for any vehicles in the engine family.
(ii) Your basic mechanical warranty for any engines in the engine
family.
(2) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (c)(1) of this
section, but more than the minimum useful life (8,000 kilometers or 400
hours of engine operation). In determining the actual average service
life of vehicles in an engine family, we will consider all available
information and analyses. Survey data is allowed but not required to
make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005; 73
FR 35951, June 25, 2008; 73 FR 59246, Oct. 8, 2008]

Sec. 1051.105 What are the exhaust emission standards for off-highway
motorcycles?

(a) Apply the exhaust emission standards in this section by model
year. Measure emissions with the off-highway motorcycle test procedures
in subpart F of this part.
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC + NOX and CO emissions, as
described in subpart H of this part. This requires that you specify a
family emission limit for each pollutant you include in the ABT program
for each engine family. These family emission limits serve as the
emission standards for the engine family with respect to all required
testing instead of the standards specified in this section. An engine
family meets emission standards even if its family emission limit is
higher than the standard, as long as you show that the whole averaging
set of applicable engine families meets the applicable emission
standards using emission credits, and the vehicles within the family
meet the family emission limit. The phase-in values specify the
percentage of your U.S.-directed production that must comply with the
emission standards for those model years. Calculate this compliance
percentage based on a simple count of your U.S.-directed production
units within each certified engine family compared with a simple count
of your total U.S.-directed production units. Table 1 follows:

[[Page 686]]

Table 1 of Sec. 1051.105--Exhaust Emission Standards for Off-Highway Motorcycles (g/km)
----------------------------------------------------------------------------------------------------------------
Emission standards Maximum allowable family
Phase-in -------------------------- emission limits
Phase Model year (percent) -------------------------
HC + NOX CO HC + NOX CO
----------------------------------------------------------------------------------------------------------------
Phase 1...................... 2006............ 50 2.0 25 20.0 50
----------------------------------------------------------------------------------
2007 and later.. 100 2.0 25 20.0 50
----------------------------------------------------------------------------------------------------------------

(2) For model years 2007 and later you may choose to certify all of
your off-highway motorcycles to an HC + NOX standard of 4.0
g/km and a CO standard of 35 g/km, instead of the standards listed in
paragraph (a)(1) of this section. To certify to the standards in this
paragraph (a)(2), you must comply with the following provisions:
(i) You may not request an exemption for any off-highway motorcycles
under Sec. 1051.620
(ii) At least ten percent of your off-highway motorcycles for the
model year must have four of the following features:
(A) The absence of a headlight or other lights.
(B) The absence of a spark arrestor.
(C) The absence of manufacturer warranty.
(D) Suspension travel greater than 10 inches.
(E) Engine displacement greater than 50 cc.
(F) The absence of a functional seat.
(iii) You may use the averaging and banking provisions of subpart H
of this part to show compliance with this HC + NOX standard,
but not this CO standard. If you use the averaging or banking provisions
to show compliance, your FEL for HC + NOX may not exceed 8.0
g/km for any engine family. You may not use the trading provisions of
subpart H of this part.
(3) You may certify off-highway motorcycles with engines that have
total displacement of 70 cc or less to the exhaust emission standards in
Sec. 1051.615 instead of certifying them to the exhaust emission
standards of this section. Count all such vehicles in the phase-in
(percent) requirements of this section.
(b) The exhaust emission standards in this section apply for off-
highway motorcycles using the fuel type on which they are designed to
operate. You must meet the numerical emission standards for hydrocarbons
in this section based on the following types of hydrocarbon emissions
for off-highway motorcycles powered by the following fuels:
(1) Natural gas-fueled off-highway motorcycles: NMHC emissions.
(2) Alcohol-fueled off-highway motorcycles: THCE emissions.
(3) Other off-highway motorcycles: THC emissions.
(c) Your off-highway motorcycles must meet emission standards over
their full useful life. For off-highway motorcycles with engines that
have total displacement greater than 70 cc, the minimum useful life is
10,000 kilometers or five years, whichever comes first. For off-highway
motorcycles with engines that have total displacement of 70 cc or less,
the minimum useful life is 5,000 kilometers or five years, whichever
comes first. You must specify a longer useful life for the engine family
in terms of kilometers if the average service life of your vehicles is
longer than the minimum value, as follows:
(1) Except as allowed by paragraph (c)(2) of this section, your
useful life (in kilometers) may not be less than either of the
following:
(i) Your projected operating life from advertisements or other
marketing materials for any vehicles in the engine family.
(ii) Your basic mechanical warranty for any engines in the engine
family.
(2) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (c)(1) of this
section, but more than the minimum useful life (10,000 kilometers). In
determining the actual average service life of vehicles in an engine
family, we will consider all available information

[[Page 687]]

and analyses. Survey data is allowed but not required to make this
showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40487, July 13, 2005; 73
FR 59246, Oct. 8, 2008]

Sec. 1051.107 What are the exhaust emission standards for all-terrain
vehicles (ATVs) and offroad utility vehicles?

This section specifies the exhaust emission standards that apply to
ATVs. As is described in Sec. 1051.1(a)(4), offroad utility vehicles
that are subject to this part are subject to these same standards.
(a) Apply the exhaust emission standards in this section by model
year. Measure emissions with the ATV test procedures in subpart F of
this part.
(1) Follow Table 1 of this section for exhaust emission standards.
You may generate or use emission credits under the averaging, banking,
and trading (ABT) program for HC + NOX emissions, as
described in subpart H of this part. This requires that you specify a
family emission limit for each pollutant you include in the ABT program
for each engine family. These family emission limits serve as the
emission standards for the engine family with respect to all required
testing instead of the standards specified in this section. An engine
family meets emission standards even if its family emission limit is
higher than the standard, as long as you show that the whole averaging
set of applicable engine families meets the applicable emission
standards using emission credits, and the vehicles within the family
meet the family emission limit. Table 1 also shows the maximum value you
may specify for a family emission limit. The phase-in values in the
table specify the percentage of your total U.S.-directed production that
must comply with the emission standards for those model years.
Calculate this compliance percentage based on a simple count of your
U.S.-directed production units within each certified engine family
compared with a simple count of your total U.S.-directed production
units. This applies to your total production of ATVs and offroad utility
vehicles that are subject to the standards of this part; including both
ATVs and offroad utility vehicles subject to the standards of this
section and ATVs and offroad utility vehicles certified to the standards
of other sections in this part 1051 (such as Sec. 1051.615, but not
including vehicles certified under other parts in this chapter (such as
40 CFR part 90). Table 1 follows:

Table 1 of Sec. 1051.107--Exhaust Emission Standards for ATVs (g/km)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Emission standards Maximum allowable family
Phase-in -------------------------------- emission limits
Phase Model year (percent) -------------------------------
HC + NOX CO HC + NOX CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
Phase 1................................... 2006........................ 50 1.5 35 20.0 ..............
2007 and later.............. 100 1.5 35 20.0 ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

(2) You may certify ATVs with engines that have total displacement
of less than 100 cc to the exhaust emission standards in Sec. 1051.615
instead of certifying them to the exhaust emission standards of this
section. Count all such vehicles in the phase-in (percent) requirements
of this section.
(b) The exhaust emission standards in this section apply for ATVs
using the fuel type on which they are designed to operate. You must meet
the numerical emission standards for hydrocarbons in this section based
on the following types of hydrocarbon emissions for ATVs powered by the
following fuels:
(1) Natural gas-fueled ATVs: NMHC emissions.
(2) Alcohol-fueled ATVs: THCE emissions.
(3) Other ATVs: THC emissions.
(c) Your ATVs must meet emission standards over their full useful
life. For ATVs with engines that have total displacement of 100 cc or
greater, the minimum useful life is 10,000 kilometers, 1000 hours of
engine operation, or five years, whichever comes first. For ATVs with
engines that have total

[[Page 688]]

displacement of less than 100 cc, the minimum useful life is 5,000
kilometers, 500 hours of engine operation, or five years, whichever
comes first. You must specify a longer useful life for the engine family
in terms of kilometers and hours if the average service life of your
vehicles is longer than the minimum value, as follows:
(1) Except as allowed by paragraph (c)(2) of this section, your
useful life (in kilometers) may not be less than either of the
following:
(i) Your projected operating life from advertisements or other
marketing materials for any vehicles in the engine family.
(ii) Your basic mechanical warranty for any engines in the engine
family.
(2) Your useful life may be based on the average service life of
vehicles in the engine family if you show that the average service life
is less than the useful life required by paragraph (c)(1) of this
section, but more than the minimum useful life (10,000 kilometers or
1,000 hours of engine operation). In determining the actual average
service life of vehicles in an engine family, we will consider all
available information and analyses. Survey data is allowed but not
required to make this showing.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73
FR 59246, Oct. 8, 2008]

Sec. 1051.110 What evaporative emission standards must my vehicles
meet?

Your new vehicles that run on a volatile liquid fuel (such as
gasoline) must meet the emission standards of this section over their
full useful life. Note that Sec. 1051.245 allows you to use design-
based certification instead of generating new emission data.
(a) Beginning with the 2008 model year, permeation emissions from
your vehicle's fuel tank(s) may not exceed 1.5 grams per square-meter
per day when measured with the test procedures for tank permeation in
subpart F of this part. You may generate or use emission credits under
the averaging, banking, and trading (ABT) program, as described in
subpart H of this part.
(b) Beginning with the 2008 model year, permeation emissions from
your vehicle's fuel lines may not exceed 15 grams per square-meter per
day when measured with the test procedures for fuel-line permeation in
subpart F of this part. Use the inside diameter of the hose to determine
the surface area of the hose.
(c) You may certify your fuel tanks and fuel lines under the
provisions of 40 CFR part 1060. You may also specify in your application
for certification that you are using components that have been certified
by the component manufacturer.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73
FR 59246, Oct. 8, 2008]

Sec. 1051.115 What other requirements apply?

Vehicles that are required to meet the emission standards of this
part must meet the following requirements:
(a) Closed crankcase. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any vehicle throughout its
useful life.
(b) [Reserved]
(c) Adjustable parameters. Vehicles that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. Note that parameters that control the air-
fuel ratio may be treated separately under paragraph (d) of this
section. An operating parameter is not considered adjustable if you
permanently seal it or if it is not normally accessible using ordinary
tools. We may require that you set adjustable parameters to any
specification within the adjustable range during any testing, including
certification testing, production-line testing, or in-use testing.
(d) Other adjustments. This provision applies if an experienced
mechanic can change your engine's air-fuel ratio in less than one hour
with a few parts whose total cost is under $50 (in 2001 dollars).
Examples include carburetor jets and needles. In the case of carburetor
jets and needles, your vehicle must meet all the requirements of this
part for any air-fuel ratio within the adjustable range described in
paragraph (d)(1) of this section.
(1) In your application for certification, specify the adjustable
range of air-fuel ratios you expect to occur in

[[Page 689]]

use. You may specify it in terms of engine parts (such as the carburetor
jet size and needle configuration as a function of atmospheric
conditions).
(2) This adjustable range (specified in paragraph (d)(1) of this
section) must include all air-fuel ratios between the lean limit and the
rich limit, unless you can show that some air-fuel ratios will not occur
in use.
(i) The lean limit is the air-fuel ratio that produces the highest
engine power output (averaged over the test cycle).
(ii) The rich limit is the richest of the following air-fuel ratios:
(A) The air-fuel ratio that would result from operating the vehicle
as you produce it at the specified test conditions. This paragraph
(d)(2)(ii)(A) does not apply if you produce the vehicle with an unjetted
carburetor so that the vehicle must be jetted by the dealer or operator.
(B) The air-fuel ratio of the engine when you do durability testing.
(C) The richest air-fuel ratio that you recommend to your customers
for the applicable ambient conditions.
(3) If the air-fuel ratio of your vehicle is adjusted primarily by
changing the carburetor jet size and/or needle configuration, you may
submit your recommended jetting chart instead of the range of air-fuel
ratios required by paragraph (d)(1) of this section if the following
criteria are met:
(i) Good engineering judgment indicates that vehicle operators would
not have an incentive to operate the vehicle with richer air-fuel ratios
than recommended.
(ii) The chart is based on use of a fuel that is equivalent to the
specified test fuel(s). As an alternative you may submit a chart based
on a representative in-use fuel if you also provide instructions for
converting the chart to be applicable to the test fuel(s).
(iii) The chart is specified in units that are adequate to make it
practical for an operator to keep the vehicle properly jetted during
typical use. For example, charts that specify jet sizes based on
increments of temperature smaller than 20 [deg]F (11.1 [deg]C) or
increments of altitude less than 2000 feet would not meet this criteria.
Temperature ranges must overlap by at least 5 [deg]F (2.8 [deg]C).
(iv) You follow the jetting chart for durability testing.
(v) You do not produce your vehicles with jetting richer than the
jetting chart recommendation for the intended vehicle use.
(vi) The adjustable range of carburetor screws, such as air screw,
fuel screw, and idle-speed screw must be defined by stops, limits, or
specification on the jetting chart consistent with the requirements for
specifying jet sizes and needle configuration in this section.
(4) We may require you to adjust the engine to any specification
within the adjustable range during certification testing, production-
line testing, selective enforcement auditing, or in-use testing. If we
allow you to submit your recommended jetting chart instead of the range
of air-fuel ratios required by paragraph (d)(1) of this section, adjust
the engine to the richest specification within the jetting chart for the
test conditions, unless we specify a leaner setting. We may not specify
a setting leaner than that described in paragraph (d)(2)(i) of this
section.
(e) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
(f) Defeat devices. You may not equip your vehicles with a defeat
device. A defeat device is an auxiliary emission-control device that
reduces the effectiveness of emission controls under conditions that the
vehicle may reasonably be expected to encounter during normal operation
and use. This does not apply to auxiliary emission-control devices you
identify in your certification application if any of the following is
true:
(1) The conditions of concern were substantially included in the
applicable test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent vehicle damage or
accidents.

[[Page 690]]

(3) The reduced effectiveness applies only to starting the engine.
(g) Noise standards. There are no noise standards specified in this
part 1051. See 40 CFR Chapter I, Subchapter G, to determine if your
vehicle must meet noise emission standards under another part of our
regulations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40488, July 13, 2005; 73
FR 59246, Oct. 8, 2008]

Sec. 1051.120 What emission-related warranty requirements apply to me?

(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new engine, 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. Your emission-related warranty must be valid
for at least 50 percent of the vehicle's minimum useful life in
kilometers or hours of engine operation (where applicable), or at least
30 months, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the engine may not be shorter than any published warranty you offer
without charge for the engine. Similarly, the emission-related warranty
for any component may not be shorter than any published warranty you
offer without charge for that component. If a vehicle has no odometer,
base warranty periods in this paragraph (b) only on the vehicle's age
(in years). The warranty period begins when the engine is placed into
service.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including 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 these components even if
another company produces the component. Your emission-related warranty
does not cover components whose failure would not increase an engine'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. You may ask us to allow you to
exclude from your emission-related warranty certified vehicles that have
been used significantly for competition, especially certified
motorcycles that meet at least four of the criteria in Sec.
1051.620(b)(1).
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[70 FR 40489, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008]

Sec. 1051.125 What maintenance instructions must I give to buyers?

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 your emission-data vehicles, as described in Sec.
1051.240, Sec. 1051.245, and 40 CFR part 1065.
(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 meet the following conditions:
(1) 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:
(i) You present data showing that, if a lack of maintenance
increases emissions, it also unacceptably degrades the vehicle's
performance.
(ii) You present survey data showing that at least 80 percent of
vehicles in

[[Page 691]]

the field get the maintenance you specify at the recommended intervals.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) You may not schedule critical emission-related maintenance
within the minimum useful life period for aftertreatment devices, pulse-
air valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers.
(3) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(2) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
(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
engine 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 engine 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 (i.e., 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 changing spark plugs,
re-seating valves, or any other emission-related maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owner's
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.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash, or adjusting
chain tension, clutch position, or tire pressure. You may perform this
nonemission-related maintenance on emission-data vehicles at the least
frequent intervals that you recommend to the ultimate purchaser (but

[[Page 692]]

not the intervals recommended for severe service). You may also visually
inspect test vehicles or engines, including emission-related components,
as needed to ensure safe operation.
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that the
vehicle be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
(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) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their vehicles. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
vehicles before the 2006 model year.
(2) The primary function of each affected component is to reduce
emissions.
(3) The cost of the scheduled maintenance is more than 2 percent of
the price of the vehicle.
(4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the vehicle's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[70 FR 40489, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008; 75
FR 23023, Apr. 30, 2010]

Sec. 1051.130 What installation instructions must I give to vehicle
manufacturers?

(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, 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 piece of nonroad equipment violates federal law
(40 CFR 1068.105(b)), subject to fines or other penalties as described
in the Clean Air Act.''.
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1051.205(r).
(4) Describe the steps needed to comply with the evaporative
emission standards in Sec. 1051.110.
(5) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only to the
snowmobile standards, tell vehicle manufacturers not to install the
engines in other vehicles.
(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) You do not need installation instructions for engines you
install in your own vehicles.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for

[[Page 693]]

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.

[70 FR 40490, July 13, 2005]

Sec. 1051.135 How must I label and identify the vehicles I produce?

Each of your vehicles must have three labels: a vehicle
identification number as described in paragraph (a) of this section, an
emission control information label as described in paragraphs (b)
through (e) of this section, and a consumer information label as
described in Sec. 1051.137.
(a) Assign each vehicle a unique identification number and
permanently affix, engrave, or stamp it on the vehicle in a legible way.
(b) At the time of manufacture, affix a permanent and legible
emission control information label identifying each vehicle. The label
must be
(1) Attached so it is not removable without being destroyed or
defaced.
(2) Secured to a part of the vehicle (or engine) needed for normal
operation and not normally requiring replacement.
(3) Durable and readable for the vehicle's entire life.
(4) Written in English.
(c) The label must--
(1) Include the heading ``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 provisions of Sec. 1051.645.
(3) Include EPA's standardized designation for engine families, as
described in Sec. 1051.230.
(4) State the engine's displacement (in liters). You may omit this
from the emission control information label if the vehicle is
permanently labeled with a unique model name that corresponds to a
specific displacement. Also, you may omit displacement from the label if
all the engines in the engine family have the same per-cylinder
displacement and total displacement.
(5) State: ``THIS VEHICLE IS CERTIFIED TO OPERATE ON [specify
operating fuel or fuels].''.
(6) State the date of manufacture [DAY (optional), MONTH, and YEAR];
however, you may omit this from the label if you stamp, engrave, or
otherwise permanently identify it elsewhere on the vehicle or engine, in
which case you must also describe in your application for certification
where you will identify the date on the vehicle or engine.
(7) State the exhaust emission standards or FELs to which the
vehicles are certified (in g/km or g/kW-hr). Also, state the FEL that
applies for the fuel tank if it is different than the otherwise
applicable standard.
(8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owner's manual instead.
(9) List specifications and adjustments for engine tuneups; show the
proper position for the transmission during tuneup and state which
accessories should be operating.
(10) Identify the fuel type and any requirements for fuel and
lubricants. You may omit this information from the label if there is not
enough room for it and you put it in the owners manual instead.
(11) State the useful life for your engine family if it is different
than the minimum value.
(12) State: ``THIS VEHICLE MEETS U.S. EPA REGULATIONS FOR [MODEL
YEAR] [SNOWMOBILES or OFF-ROAD MOTORCYCLES or ATVs or OFFROAD UTILITY
VEHICLES].''
(13) Identify evaporative emission controls as specified in 40 CFR
1060.135.
(d) You may add information to the emission control information
label to identify other emission standards that the vehicle meets or
does not meet (such as California standards). You may also add other
information to ensure that the engine will be properly maintained and
used.
(e) You may ask us to approve modified labeling requirements in this
part 1051 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.
(f) [Reserved]

[[Page 694]]

(g) Label every vehicle certified under this part with a removable
hang-tag showing its emission characteristics relative to other models,
as described in Sec. 1051.137.

[70 FR 40490, July 13, 2005, as amended at 59246, Oct. 8, 2008; 75 FR
23024, Apr. 30, 2010]

Sec. 1051.137 What are the consumer labeling requirements?

Label every vehicle certified under this part with a removable hang-
tag showing its emission characteristics relative to other models. The
label should be attached securely to the vehicle before it is offered
for sale in such a manner that it would not be accidentally removed
prior to sale. Use the applicable equations of this section to determine
the normalized emission rate (NER) from the FEL for your vehicle. If the
vehicle is certified without a family emission limit that is different
than the otherwise applicable standard, use the final deteriorated
emission level. Round the resulting normalized emission rate for your
vehicle to one decimal place. If the calculated NER value is less than
zero, consider NER to be zero for that vehicle. We may specify a
standardized format for labels. At a minimum, the tag should include:
the manufacturer's name, vehicle model name, engine description (500 cc
two-stroke with DFI), the NER, and a brief explanation of the scale (for
example, note that 0 is the cleanest and 10 is the least clean).
(a) For snowmobiles, use the following equation:

NER = 16.61 x log (2.667 x HC + CO)-38.22

Where:

HC and CO are the cycle-weighted FELs (or emission rates) for
hydrocarbons and carbon monoxide in g/kW-hr.

(b) For off-highway motorcycles, use the following equations:
(1) For off-highway motorcycles certified to the standards in Sec.
1051.105, use one of the equations specified below.
(i) If the vehicle has HC + NOX emissions less than or
equal to 2.0 g/km, use the following equation:

NER = 2.500 x (HC + NOX)

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
km.

(ii) If the vehicle has HC + NOX emissions greater than
2.0 g/km, use the following equation:

NER = 5.000 x log(HC + NOX) + 3.495

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
km.

(2) For off-highway motorcycles certified to the standards in Sec.
1051.615(b), use the following equation:

NER = 8.782 x log(HC + NOX) -5.598

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
kW-hr.

(c) For ATVs, use the following equations:
(1) For ATVs certified to the standards in Sec. 1051.107, use one
of the equations specified below.
(i) If the vehicle has HC + NOX emissions less than or
equal to 1.5 g/km, use the following equation:

NER = 3.333 x (HC + NOX)

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
km.

(ii) If the vehicle has HC + NOX emissions greater than
1.5 g/km, use the following equation:

NER = 4.444 x log(HC + NOX) + 4.217

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
km.

(2) For ATVs certified to the standards in Sec. 1051.615(a), use
the following equation:

NER = 8.782 x log(HC + NOX) -7.277

Where:

HC + NOX is the FEL (or the sum of the cycle-weighted
emission rates) for hydrocarbons and oxides of nitrogen in g/
kW-hr.

[70 FR 40491, July 13, 2005, as amended at 73 FR 59246, Oct. 8, 2008]

[[Page 695]]

Sec. 1051.140 What is my vehicle's maximum engine power and displacement?

This section describes how to quantify your vehicle's maximum engine
power and displacement for the purposes of this part.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest 0.5 kilowatts. The nominal power curve of an engine
configuration is the relationship between maximum available engine brake
power and engine speed for an engine, using the mapping procedures of 40
CFR part 1065, based on the manufacturer's design and production
specifications for the engine. This information may also be expressed by
a torque curve that relates maximum available engine torque with engine
speed.
(b) An engine configuration's displacement is the intended swept
volume of the engine rounded to the nearest cubic centimeter. The swept
volume of the engine is the product of the internal cross-section area
of the cylinders, the stroke length, and the number of cylinders. For
example, for a one-cylinder engine with a circular cylinder having an
internal diameter of 6.00 cm and a 6.25 cm stroke length, the rounded
displacement would be: (1) x (6.00/2) \2\ x ([pi]) x (6.25) = 177 cc.
Calculate the engine's intended swept volume from the design
specifications for the cylinders using enough significant figures to
allow determination of the displacement to the nearest 0.1 cc.
(c) The nominal power curve and intended swept volume must be within
the range of the actual power curves and swept volumes of production
engines considering normal production variability. If after production
begins it is determined that either your nominal power curve or your
intended swept volume does not represent production engines, we may
require you to amend your application for certification under Sec.
1051.225.

[73 FR 59247, Oct. 8, 2008]

Sec. 1051.145 [Reserved]

Subpart C_Certifying Engine Families

Sec. 1051.201 What are the general requirements for obtaining a
certificate of conformity?

(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1051.255).
(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. 1051.250.
(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. 1051.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test vehicles or engines to a
facility we designate for our testing (see Sec. 1051.235(c)).
(h) For vehicles that become new after being placed into service,
such as vehicles converted to run on a different fuel, we may specify
alternate certification provisions consistent with the intent of this
part. See Sec. 1051.650 and the definition of ``new'' in Sec.
1051.801.

[70 FR 40492, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 75
FR 23024, Apr. 30, 2010]

Sec. 1051.205 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.
1051.201(c). We may require you to provide additional information to
evaluate your application.

[[Page 696]]

(a) Describe the engine family's specifications and other basic
parameters of the vehicle's design and emission controls. List the fuel
type on which your engines are designed to operate (for example,
gasoline, liquefied petroleum gas, methanol, or natural gas). List
vehicle configurations and model names that are included in the engine
family.
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls. Also describe in detail all system
components for controlling exhaust emissions, including all auxiliary
emission control devices (AECDs) and all fuel-system components you will
install on any production or test vehicle or engine. 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. Include sufficient detail to allow us to evaluate whether
the AECDs are consistent with the defeat device prohibition of Sec.
1051.115.
(c) [Reserved]
(d) Describe the vehicles or engines you selected for testing and
the reasons for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1051.501).
(f) Describe how you operated the emission-data vehicle before
testing, including the duty cycle and the extent of engine operation
used to stabilize emission levels. Explain why you selected the method
of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new vehicle (see Sec. 1051.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vehicle (see Sec.
1051.130).
(k) Describe the labels you create to meet the requirements of Sec.
1051.135.
(l) Identify the exhaust emission standards or FELs to which you are
certifying engines in the engine family.
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1051.243 and Sec. 1051.245). Present
any emission test data you used for this.
(n) 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.
(o) Present emission data to show that you meet emission standards,
as follows:
(1) Present exhaust emission data for hydrocarbons (such as NMHC or
THCE, as applicable), NOX, and CO on an emission-data vehicle
to show your vehicles meet the exhaust emission standards as specified
in subpart B of this part. Show emission figures before and after
applying deterioration factors for each vehicle or engine. If we specify
more than one grade of any fuel type (for example, a summer grade and
winter grade of gasoline), you need to submit test data only for one
grade unless the regulations of this part specify otherwise for your
engine.
(2) Present evaporative test data for hydrocarbons to show your
vehicles meet the evaporative emission standards we specify in subpart B
of this part. Show emission figures before and after applying
deterioration factors for each vehicle or engine, where applicable. If
you did not perform the testing, identify the source of the test data.
(3) Note that Sec. 1051.235 and Sec. 1051.245 allow you to submit
an application in certain cases without new emission data.
(p) Report test results as follows:
(1) Report all test results involving measurement of pollutants for
which emission standards apply. Include test results from invalid tests
or from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. We may ask you to send
other information to confirm that your tests were valid under the
requirements of this part and 40 CFR parts 86 and 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1051.235. Small-

[[Page 697]]

volume manufacturers may omit reporting N2O and
CH4.
(q) Describe all adjustable operating parameters (see Sec.
1051.115(e)), including production tolerances. 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 engines to settings outside your intended
physically adjustable ranges.
(r) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in equipment and placed in service.
If this cannot be done by simply adding a 20-centimeter extension to the
exhaust pipe, show how to sample exhaust emissions in a way that
prevents diluting the exhaust sample with ambient air.
(s) Unconditionally certify that all the vehicles and/or engines in
the engine family comply with the requirements of this part, other
referenced parts of the CFR, and the Clean Air Act.
(t) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes if
they are substantially different than actual production volumes in
earlier years for similar models.
(u) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1051.725 if you
participate in the ABT program.
(v) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(w) 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.

[70 FR 40493, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 74
FR 56510, Oct. 30, 2009]

Sec. 1051.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission-
control devices, 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.

[70 FR 40494, July 13, 2005]

Sec. 1051.220 How do I amend the maintenance instructions in my
application?

[[Page 698]]

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 a maintenance step for
engines 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).

[70 FR 40494, July 13, 2005, as amended at 73 FR 59248, Oct. 8, 2008; 75
FR 23024, Apr. 30, 2010]

Sec. 1051.225 How do I amend my application for certification to
include new or modified vehicle configurations or to change an FEL?

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
included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add a vehicle configuration to an engine family. In this case,
the vehicle configuration added must be consistent with other vehicle
configurations in the engine family with respect to the criteria listed
in Sec. 1051.230.
(2) Change a vehicle 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 for an engine family, as described in paragraph
(f) of this section.
(b) To amend your application for certification, send the Designated
Compliance Officer the following information:
(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
engine 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 for the engine family is
not appropriate to show compliance for the new or modified vehicle
configuration, include new test data showing that the new or modified
vehicle configuration meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified vehicle configuration. You may
ask for a hearing if we deny your request (see Sec. 1051.820).
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified vehicle
configuration anytime after you send us your amended application, 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

[[Page 699]]

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 vehicle configuration.
(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 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 vehicles produced after the change. You may
ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your 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 vehicle, as described in paragraph (b)(3) of
this section, use the appropriate FELs with corresponding production
volumes to calculate your average emission level 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 your average
emission level under 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 the engines have
emissions below the proposed lower FEL. The lower FEL applies only to
engines you produce after we approve the new FEL. Use the appropriate
FELs with corresponding production volumes to calculate your average
emission level for the model year, as described in subpart H of this
part.

[73 FR 59249, Oct. 8, 2008]

Sec. 1051.230 How do I select engine families?

(a) For purposes of certification, divide your product line into
families of vehicles as described in this section. Except as specified
in paragraph (f) of this section, you must have separate engine families
for meeting exhaust and evaporative emissions. Your engine family is
limited to a single model year.
(b) For exhaust emissions, group vehicles in the same engine family
if they are the same in all the following aspects:
(1) The combustion cycle.
(2) The cooling system (liquid-cooled vs. air-cooled).
(3) Configuration of the fuel system (for example, port fuel
injection vs. carburetion).
(4) Method of air aspiration.
(5) The number, location, volume, and composition of catalytic
converters.
(6) Type of fuel.
(7) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
(8) Numerical level of the emission standards that apply to the
vehicle. For example, an engine family may not include vehicles
certified to different family emission limits, though you may change
family emission limits without recertifying as specified in Sec.
1051.225.
(c) For evaporative emissions, group vehicles in the same engine
family if fuel tanks are similar and fuel lines are similar considering
all the following aspects:
(1) Type of material (including additives such as pigments,
plasticizers, and UV inhibitors).
(2) Emission-control strategy.
(3) Production methods. This does not apply to differences in
production methods that would not affect emission characteristics.
(d) You may subdivide a group of vehicles 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.
(e) You may group vehicles that are not identical with respect to
the things

[[Page 700]]

listed in paragraph (b) or (c) of this section in the same engine
family, as follows:
(1) In unusual circumstances, you may group such vehicles in the
same engine family if you show that their emission characteristics
during the useful life will be similar.
(2) If you are a small-volume manufacturer, you may group engines
from any vehicles subject to the same emission standards into a single
engine family. This does not change any of the requirements of this part
for showing that an engine family meets emission standards.
(f) You may divide your product line into engine families based on a
combined consideration of exhaust and evaporative emission-control
systems, consistent with the requirements of this section. This would
allow you to use a single engine-family designation for each engine
family instead of having separate engine-family designations for exhaust
and evaporative emission-control systems for each model.
(g) Select test engines from the engine family as described in 40
CFR 1065.401. Select test components related to evaporative emission-
control systems that are most likely to exceed the applicable emission
standards. For example, select a fuel tank with the smallest average
wall thickness (or barrier thickness, as appropriate) of those tanks you
include in the same family.

[70 FR 40495, July 13, 2005, as amended at 73 FR 59249, Oct. 8, 2008; 75
FR 23024, Apr. 30, 2010]

Sec. 1051.235 What emission testing must I perform for my application
for a certificate of conformity?

This section describes the emission testing you must perform to show
compliance with the emission standards in subpart B of this part.
(a) Test your emission-data vehicles using the procedures and
equipment specified in subpart F of this part. Where specifically
required or allowed, test the engine instead of the vehicle. For
evaporative emissions, test the fuel system components separate from the
vehicle.
(b) Select from each engine family an emission-data vehicle, and a
fuel system for each fuel type with a configuration that is most likely
to exceed the emission standards, using good engineering judgment.
Consider the emission levels of all exhaust constituents over the full
useful life of the vehicle.
(c) We may measure emissions from any of your test vehicles or
engines (or any other vehicles or engines from the engine family), as
follows:
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test vehicle or engine to
a test facility we designate. The test vehicle or 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 one of your test vehicles or engines,
the results of that testing become the official emission results. 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 vehicles or engines, we may set its
adjustable parameters to any point within the physically adjustable
ranges (see Sec. 1051.115(c)).
(4) Before we test one of your vehicles or engines, we may calibrate
it within normal production tolerances for anything we do not consider
an adjustable parameter. For example, this would apply where we
determine that an engine parameter is not an adjustable parameter (as
defined in Sec. 1051.801) but that it is subject to production
variability.
(d) You may use previously generated emission data in the following
cases:
(1) 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:
(i) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics unrelated to emissions. You may also ask

[[Page 701]]

to add a configuration subject to Sec. 1051.225.
(ii) The emission-data vehicle from the previous model year remains
the appropriate emission-data vehicle under paragraph (b) of this
section.
(iii) The data show that the emission-data vehicle would meet all
the requirements that apply to the engine family covered by the
application for certification.
(2) You may submit emission data for equivalent engine families
performed to show compliance with other standards (such as California
standards) instead of doing new tests, but only if the data show that
the test vehicle or engine would meet all of this part's requirements.
(3) You may submit evaporative emission data measured by a fuel
system supplier. We may require you to verify that the testing was
conducted in accordance with the applicable regulations.
(e) We may require you to test a second vehicle or engine of the
same or different configuration in addition to the vehicle or engine
tested under paragraph (b) 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.
(g) If you are a small-volume manufacturer, you may certify by
design on the basis of preexisting exhaust emission data for similar
technologies and other relevant information, and in accordance with good
engineering judgment. In those cases, you are not required to test your
vehicles. This is called ``design-certification'' or ``certifying by
design.'' To certify by design, you must show that the technology used
on your engines is sufficiently similar to the previously tested
technology that a person reasonably familiar with emission-control
technology would believe that your engines will comply with the emission
standards.
(h) For fuel tanks that are certified based on permeability
treatments for plastic fuel tanks, you do not need to test each engine
family. However, you must use good engineering judgment to determine
permeation rates for the tanks. This requires that more than one fuel
tank be tested for each set of treatment conditions. You may not use
test data from a given tank for any other tanks that have thinner walls.
You may, however, use test data from a given tank for other tanks that
have thicker walls. This applies to both low-hour (i.e., baseline
testing) and durability testing. Note that Sec. 1051.245 allows you to
use design-based certification instead of generating new emission data.
(i) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065
starting in the 2011 and 2012 model years, respectively. Also measure
N2O with each low-hour certification test using the
analytical equipment and procedures specified in 40 CFR part 1065
starting in the 2013 model year for any engine family that depends on
NOx aftertreatment to meet emission standards. Small-volume
manufacturers may omit measurement of N2O and CH4;
other manufacturers may provide appropriate data and/or information and
omit measurement of N2O and CH4 as described in 40
CFR 1065.5. Use the same units and modal calculations as for your other
results to report a single weighted value for each constituent. Round
the final values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr or 1 g/km, as
appropriate.
(2) Round N2O to the nearest 0.001 g/kW-hr or 0.001 g/km,
as appropriate.
(3) Round CH4 to the nearest 0.001 g/kW-hr or 0.001 g/km,
as appropriate.

[70 FR 40495, July 13, 2005, as amended at 73 FR 59249, Oct. 8, 2008; 74
FR 56510, Oct. 30, 2009]

Sec. 1051.240 How do I demonstrate that my engine family complies with
exhaust emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical exhaust emission standards
in subpart B of this part if all emission-data vehicles representing
that family have test results showing deteriorated emission levels at or
below these standards. This includes all test points over the course of
the durability demonstration. (Note:

[[Page 702]]

if you participate 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.)
(b) Your engine family is deemed not to comply if any emission-data
vehicle representing that family has test results showing a deteriorated
emission level for any pollutant that is above an applicable FEL or
emission standard. This includes all test points over the course of the
durability demonstration.
(c) To compare emission levels from the emission-data vehicle with
the applicable emission standards, apply deterioration factors to the
measured emission levels. Section 1051.243 specifies how to test your
vehicle to develop deterioration factors that represent the
deterioration expected in emissions over your vehicle's full useful
life. Your deterioration factors must take into account any available
data from in-use testing with similar engines. Small-volume
manufacturers may use assigned deterioration factors that we establish.
Apply deterioration factors as follows:
(1) For vehicles that use aftertreatment technology, such as
catalytic converters, use a multiplicative deterioration factor for
exhaust emissions. A multiplicative deterioration factor is the ratio of
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 vehicle or engine at the selected test point by
multiplying the measured emissions by the deterioration factor. If the
factor is less than one, use one. Multiplicative deterioration factors
must be specified to three significant figures.
(2) For vehicles that do not use aftertreatment technology, 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 vehicle or 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.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in 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. In the case of HC
+ NOX standards, add the emission results and apply the
deterioration factor to the sum of the pollutants before rounding.
However, if your deterioration factors are based on emission
measurements that do not cover the vehicle's full useful life, apply the
deterioration factor to each pollutant and then add the results before
rounding.

[70 FR 40496, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]

Sec. 1051.243 How do I determine deterioration factors from exhaust
durability testing?

[[Page 703]]

test point and the end of the useful life. You may also test at evenly
spaced intermediate points.
(2) Operate the vehicle or engine over a representative duty cycle
for a period at least as long as the useful life (in hours or
kilometers). You may operate the vehicle or engine continuously.
(3) You may perform maintenance on emission-data vehicles as
described in Sec. 1051.125 and 40 CFR part 1065, subpart E.
(4) If you measure emissions at only two points to calculate your
deterioration factor, base your calculations on a linear relationship
connecting these two data points for each pollutant. If you measure
emissions at three or more points, use a linear least-squares fit of
your test data for each pollutant to calculate your deterioration
factor.
(5) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(6) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) 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 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.

[70 FR 40496, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]

Sec. 1051.245 How do I demonstrate that my engine family complies
with evaporative emission standards?

(a) For purposes of certification, your engine family is considered
in compliance with the evaporative emission standards in subpart B of
this part if you do either of the following:
(1) You have test results showing permeation emission levels from
the fuel tanks and fuel lines in the family are at or below the
standards in Sec. 1051.110 throughout the useful life.
(2) You comply with the design specifications in paragraph (e) of
this section.
(b) Your engine family is deemed not to comply if any fuel tank or
fuel line representing that family has test results showing a
deteriorated emission level above the standard.
(c) To compare emission levels with the emission standards, apply
deterioration factors to the measured emission levels. For permeation
emissions, use the following procedures to establish an additive
deterioration factor, as described in Sec. 1051.240(c)(2):
(1) Section 1051.515 specifies how to test your fuel tanks to
develop deterioration factors. Small-volume manufacturers may use
assigned deterioration factors that we establish. Apply the
deterioration factors as follows:
(i) Calculate the deterioration factor from emission tests performed
before and after the durability tests as described in Sec. 1051.515(c)
and (d), using good engineering judgment. The durability tests described
in Sec. 1051.515(d) represent the minimum requirements for determining
a deterioration factor. You may not use a deterioration factor that is
less than the difference between evaporative emissions before and after
the durability tests as described in Sec. 1051.515(c) and (d).
(ii) Do not apply the deterioration factor to test results for tanks
that have already undergone these durability tests.
(2) Determine the deterioration factor for fuel lines using good
engineering judgment.
(d) Collect emission data using measurements to one more decimal
place than the applicable standard. Apply the deterioration factor to
the official emission result, as described in 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) You may demonstrate for certification that your engine family
complies with the evaporative emission standards by demonstrating that
you use the following control technologies:

[[Page 704]]

(1) For certification to the standards specified in Sec.
1051.110(a) with the control technologies shown in the following table:

Table 1 of Sec. 1051.245--Design-certification Technologies for
Controlling Tank Permeation
------------------------------------------------------------------------
Then you may design-certify
If the tank permeability control with a tank emission level
technology is . . . of . . .
------------------------------------------------------------------------
(i) A metal fuel tank with no non-metal 1.5 g/m\2\/day.
gaskets or with gaskets made from a low-
permeability material.
(ii) A metal fuel tank with non-metal 1.5 g/m\2\/day.
gaskets with an exposed surface area of
1000 mm\2\ or less.
------------------------------------------------------------------------

(2) For certification to the standards specified in Sec.
1051.110(b) with the control technologies shown in the following table:

Table 2 of Sec. 1051.245--Design-certification Technologies for
Controlling Fuel-line Permeation
------------------------------------------------------------------------
Then you may design-certify
If the fuel-line permeability control with a fuel line permeation
technology is . . . emission level of . . .
------------------------------------------------------------------------
(i) Hose meeting the specifications for 15 g/m\2\/day.
Low Emission Fuel Lines as described in
40 CFR 1048.105.
(ii) Hose meeting the R11-A or R12 15 g/m\2\/day.
permeation specifications in SAE J30 as
described in 40 CFR 1060.810.
------------------------------------------------------------------------

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70
FR 40497, July 13, 2005; 73 FR 59250, Oct. 8, 2008]

Sec. 1051.250 What records must I keep and make available to EPA?

(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1051.345. In
addition, within 45 days after the end of the model year, you must send
us a report describing information about vehicles you produced during
the model year as follows:
(1) State the total production volume for each engine family that is
not subject to reporting under Sec. 1051.345.
(2) State the total production volume for any engine family for
which you produce vehicles after completing the reports required in
Sec. 1051.345.
(3) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(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. 1051.205 that you
were not required to include in your application.
(3) A detailed history of each emission-data vehicle. For each
vehicle, describe all of the following:
(i) The emission-data vehicle's construction, including its origin
and buildup, steps you took to ensure that it represents production
vehicles, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated vehicle or engine operating hours,
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, including documentation on routine and
standard tests, as specified in 40 CFR part 1065, and the date and
purpose of each test.
(v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
you produce under each certificate of conformity.
(c) Keep data from routine emission tests (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.

[[Page 705]]

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

[70 FR 40497, July 13, 2005, as amended at 73 FR 59250, Oct. 8, 2008]

Sec. 1051.255 What decisions may EPA make regarding a certificate of
conformity?

(a) If we determine an 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 the engine family for that
model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine
that an 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 an application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in
this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(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 an application to
include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act
or this part.
(d) We may void a certificate of conformity if you fail to keep
records, send reports, or give us information as required under this
part or the Clean Air Act. Note that these are also violations of 40 CFR
1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting an application that causes submitted
information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a
certificate, you may ask for a hearing (see Sec. 1051.820).

[86 FR 34515, June 29, 2021]

Subpart D_Testing Production-Line Vehicles and Engines

Sec. 1051.301 When must I test my production-line vehicles or engines?

(a) If you produce vehicles that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume manufacturers may omit testing under this subpart.
(2) We may exempt engine families with a projected U.S.-directed
production volume below 150 units from routine testing under this
subpart. Request this exemption in your application for certification
and include your basis for projecting a production volume below 150
units. We will approve your request if we agree that you have made good-
faith estimates of your production volumes. Your exemption is approved
when we grant your certificate. You must promptly notify us if your
actual production exceeds 150 units during the model year. If you exceed
the production limit or if there is evidence of a nonconformity, we may
require you to test production-line engines under this subpart, or under
40 CFR part 1068, subpart E, even if we have approved an exemption under
this paragraph (a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line vehicles or engines do
not meet the requirements of this part or you do not fulfill your
obligations under this subpart (see Sec. Sec. 1051.325 and 1051.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these

[[Page 706]]

production-line testing requirements. The requirements of this subpart
do not affect our ability to do selective enforcement audits, as
described in part 1068 of this chapter. Individual vehicles and engines
in families that pass these production-line testing requirements must
also conform to all applicable regulations of this part and part 1068 of
this chapter.
(d) You may use alternate programs for testing production-line
vehicles or engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with emission standards if you double
the minimum sampling rate specified in Sec. 1054.310(b). Use measured
test results to determine whether vehicles or engines comply with
applicable standards without applying a measurement allowance. This
alternate program does not require prior approval but we may disallow
use of this option where we determine that use of field-grade equipment
would prevent you from being able to demonstrate that your vehicles or
engines are being produced to conform to the specifications in your
application for certification.
(2) You may ask to use another alternate program for testing
production-line vehicles or engines. In your request, you must show us
that the alternate program gives equal assurance that your products meet
the requirements of this part. We may waive some or all of this
subpart's requirements if we approve your alternate approach. For
example, in certain circumstances you may be able to give us equal
assurance that your products meet the requirements of this part by using
less rigorous measurement methods if you offset that by increasing the
number of test vehicles or engines.
(e) If you certify an engine family with carryover emission data, as
described in Sec. 1051.235(d), 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. The minimum testing
rate is one vehicle or engine per engine 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 vehicles or engines that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
vehicles or engines available for a reasonable time so we can test or
inspect them for compliance with the requirements of this part.
(g) The requirements of this subpart do not apply to engine families
certified under the provisions of Sec. 1051.630.
(h) Vehicles certified to the following standards are exempt from
the production-line testing requirements of this subpart if no engine
families in the averaging set have family emission limits that are
different than the otherwise applicable standard:
(1) Phase 1 or Phase 2 standards in Sec. 1051.103.
(2) Phase 1 standards in Sec. 1051.105.
(3) Phase 1 standards in Sec. 1051.107.
(4) The standards in Sec. 1051.615.
(5) The standards in Sec. 1051.145.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73
FR 59250, Oct. 8, 2008]

Sec. 1051.305 How must I prepare and test my production-line vehicles
or engines?

This section describes how to prepare and test production-line
vehicles or engines. Test the engine if your vehicle is certified to g/
kW-hr standards; otherwise test the vehicle. You must assemble the test
vehicle or engine in a way that represents the assembly procedures for
other vehicles or engines in the engine family. You must ask us to
approve any deviations from your normal assembly procedures for other
production vehicles or engines in the engine family.
(a) Test procedures. Test your production-line vehicles or engines
using the applicable testing procedures in subpart F of this part to
show you meet the emission standards in subpart B of this part.
(b) Modifying a test vehicle or engine. Once a vehicle or engine is
selected for testing (see Sec. 1051.310), you may adjust,

[[Page 707]]

repair, prepare, 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 vehicles or engines and
make the action routine for all the vehicles or engines in the engine
family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Malfunction. If a vehicle or engine malfunction prevents further
emission testing, ask us to approve your decision to either repair it or
delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter to any setting within its
physically adjustable range.
(1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the vehicle or engine has
stabilized emission levels (see paragraph (e) of this section). We may
ask you for information needed to establish an alternate minimum idle
speed.
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment with
in-use vehicles.
(3) We may specify an air-fuel ratio within the adjustable range
specified in Sec. 1051.115(d).
(e) Stabilizing emission levels. Before you test production-line
vehicles or engines, you may operate the vehicle or engine to stabilize
the emission levels. Using good engineering judgment, operate your
vehicles or engines in a way that represents the way they will be used.
You may operate each vehicle or engine for no more than the greater of
two periods:
(1) 50 hours or 500 kilometers.
(2) The number of hours or kilometers you operated the emission-data
vehicle used for certifying the engine family (see 40 CFR part 1065,
subpart E, or the applicable regulations governing how you should
prepare your test vehicle or engine).
(f) Damage during shipment. If shipping a vehicle or engine to a
remote facility for production-line testing makes necessary an
adjustment or repair, you must wait until after the initial emission
test to do this work. We may waive this requirement if the test would be
impossible or unsafe, or if it would permanently damage the vehicle or
engine. Report to us, in your written report under Sec. 1051.345, all
adjustments or repairs you make on test vehicles or engines before each
test.
(g) Retesting after invalid tests. You may retest a vehicle or
engine if you determine an emission test is invalid under subpart F of
this part. Explain in your written report reasons for invalidating any
test and the emission results from all tests. If we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new tests
for invalid ones.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73
FR 59251, Oct. 8, 2008]

Sec. 1051.310 How must I select vehicles or engines for production
-line testing?

[[Page 708]]

(2) For engine families with projected U.S.-directed production
volume below 1,600, the whole model year constitutes a single test
period.
(b) Early in each test period, randomly select and test an engine
from the end of the assembly line for each engine family.
(1) In the first test period for newly certified engines, randomly
select and test one more engine. Then, calculate the required sample
size for the model year as described in paragraph (c) of this section.
(2) In later test periods of the same model year, combine the new
test result with all previous testing in the model year. Then, calculate
the required sample size for the model year as described in paragraph
(c) of this section.
(3) In the first test period for engine families relying on
previously submitted test data, combine the new test result with the
last test result from the previous model year. Then, calculate the
required sample size for the model year as described in paragraph (c) of
this section. Use the last test result from the previous model year only
for this first calculation. For all subsequent calculations, use only
results from the current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC, NOX (or HC +
NOX), and CO. The required sample size is the greater of
these calculated values. Use the following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.093

Where:

(1) Determine the 95% confidence coefficient, t95, from
the following table:

(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.094

Where:

Xi = Emission test result for an individual vehicle or
engine.
n = The number of tests completed in an engine family.

(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1051.315(a)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining tests evenly throughout the rest of the
year. You may need to adjust your schedule for selecting vehicles or
engines if the required sample size changes. If your scheduled quarterly
testing for the remainder of the model year is sufficient to meet the
calculated sample size, you may wait until the next quarter to do
additional testing. Continue to randomly select vehicles or engines from
each engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1051.315.

[[Page 709]]

(3) You test 30 vehicles or engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count a vehicle or engine under this paragraph (g)(4) if
it fails to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1051.315, or the remedial steps required under Sec. 1051.320.
(i) You may elect to test more randomly chosen vehicles or engines
than we require under this section. Include these vehicles or engines in
the sample-size calculations.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40498, July 13, 2005; 73
FR 59251, Oct. 8, 2008; 86 FR 34516, June 29, 2021]

Sec. 1051.315 How do I know when my engine family fails the production
-line testing requirements?

This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine family
basis. SeeSec. 1051.320 for the requirements that apply to individual
vehicles or engines that fail a production-line test.
(a) Calculate your test results. Round them to the number of decimal
places in the emission standard expressed to one more decimal place.
(1) Initial and final test results. Calculate and round the test
results for each vehicle or engine. If you do several tests on a vehicle
or engine, calculate the initial results for each test, then add all the
test results together and divide by the number of tests. Round this
final calculated value for the final test results on that vehicle or
engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1051.240(c)).
(3) Round deteriorated test results. Round the results to the number
of decimal places in the emission standard expressed to one more decimal
place.
(b) Construct the following CumSum Equation for each engine family
for HC, NOX (HC + NOX), and CO emissions:

Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x
[sigma])]

Where:

Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, the
CumSum statistic is 0 (i.e., C1 = 0).
Xi = The current emission test result for an individual
vehicle or engine.
STD = Emission standard (or family emission limit, if applicable).

(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1051.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of vehicles or
engines, include the results from these additional tests in the CumSum
Equation.
(f) After each test, compare the current CumSum statistic,
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x
[sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the engine family as described in Sec. 1051.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1051.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73
FR 59252, Oct. 8, 2008]

[[Page 710]]

Sec. 1051.320 What happens if one of my production-line vehicles or
engines fails to meet emission standards?

(a) If you have a production-line vehicle or engine with final
deteriorated test results exceeding one or more emission standards (see
Sec. 1051.315(a)), the certificate of conformity is automatically
suspended for that failing vehicle or engine. You must take the
following actions before your certificate of conformity can cover that
vehicle or engine:
(1) Correct the problem and retest the vehicle or engine to show it
complies with all emission standards.
(2) Include the test results and describe the remedy for each engine
in the written report required under Sec. 1051.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1051.225).

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59252, Oct. 8, 2008]

Sec. 1051.325 What happens if an engine family fails the production-line
testing requirements?

(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1051.315. The suspension may apply to all
facilities producing vehicles or engines from an engine family, even if
you find noncompliant vehicles or engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when you
receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1051.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1051.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the vehicles
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1051.225(f). We will approve your
request if it is clear that you used good engineering judgment in
establishing the original FEL.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73
FR 59252, Oct. 8, 2008]

Sec. 1051.330 May I sell vehicles from an engine family with a suspended
certificate of conformity?

You may sell vehicles that you produce after we suspend the engine
family's certificate of conformity under Sec. 1051.315 only if one of
the following occurs:
(a) You test each vehicle or engine you produce and show it complies
with emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected vehicles
and remedy any noncompliance at no expense to the owner if later testing
shows that the engine family still does not comply.

Sec. 1051.335 How do I ask EPA to reinstate my suspended certificate?

Sec. 1051.340 When may EPA revoke my certificate under this subpart
and how may I sell these vehicles again?

(a) We may revoke your certificate for an engine family in the
following cases:
(1) You do not meet the reporting requirements.

[[Page 711]]

(2) Your engine family fails to comply with the requirements of this
subpart and your proposed remedy to address a suspended certificate
under Sec. 1051.325 is inadequate to solve the problem or requires you
to change the vehicle's design or emission-control system.
(b) To sell vehicles from an engine family with a revoked
certificate of conformity, you must modify the engine family and then
show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the vehicle's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to evaluate
the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line vehicles or engines as described in this
subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec. 1051.345 What production-line testing records must I send to EPA?

(a) Within 30 calendar days of the end of each test period, send us
a report with the following information:
(1) Describe any facility used to test production-line vehicles or
engines and state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected vehicles or engines.
(4) Describe each test vehicle or engine, including the engine
family's identification and the vehicle's model year, build date, model
number, identification number, and number of hours of operation before
testing.
(5) Identify how you accumulated hours of operation on the vehicles
or engines and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of testing;
test procedure; all initial test results; final test results; and final
deteriorated test results for all tests. Provide the emission results
for all measured pollutants. Include information for both valid and
invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
vehicle or engine if you did not report it separately under this
subpart. Include the results of any emission measurements, regardless of
the procedure or type of vehicle.
(8) Provide the CumSum analysis required in Sec. 1051.315 and the
sample-size calculation required in Sec. 1051.310 for each engine
family.
(9) Report on each failed vehicle or engine as described in Sec.
1051.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report, so we
can determine whether your new vehicles conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement: 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 1051. We have not changed production
processes or quality-control procedures for test engines (or vehicles)
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)
(d) Send electronic reports of production-line testing 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.
(e) We will send copies of your reports to anyone from the public
who asks for them. See Sec. 1051.815 for information on how we treat
information you consider confidential.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73
FR 59253, Oct. 8, 2008]

[[Page 712]]

Sec. 1051.350 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing
for eight years after you complete all the testing required for an
engine family in a model year.
(c) Keep a copy of the written reports described in Sec. 1051.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line vehicles or engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test vehicle or engine and the names of all
supervisors who oversee this work.
(4) If you shipped the vehicle or engine for testing, the date you
shipped it, the associated storage or port facility, and the date the
vehicle or engine arrived at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing not
otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1051.345 that you do not
include in your written reports.
(e) If we ask, you must give us projected or actual production
figures for an engine family. We may ask you to divide your production
figures by maximum engine power, displacement, fuel type, or assembly
plant (if you produce vehicles or engines at more than one plant).
(f) Keep records of the vehicle or engine identification number for
each vehicle or engine you produce under each certificate of conformity.
You may identify these numbers as a range. Give us these records within
30 days if we ask for them.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40499, July 13, 2005; 73
FR 59253, Oct. 8, 2008]

Subpart E--Testing In-use Engines [Reserved]

Subpart F_Test Procedures

Sec. 1051.501 What procedures must I use to test my vehicles or engines?

This section describes test procedures that you use to determine
whether vehicles meet the emission standards of this part. See Sec.
1051.235 to determine when testing is required for certification. See
subpart D of this part for the production-line testing requirements.
(a) Snowmobiles. For snowmobiles, use the equipment and procedures
for spark-ignition engines in 40 CFR part 1065 to determine whether your
snowmobiles meet the duty-cycle emission standards in Sec. 1051.103.
Measure the emissions of all the pollutants we regulate in Sec.
1051.103. Measure CO2, N2O, and CH4 as
described in Sec. 1051.235. Use the duty cycle specified in Sec.
1051.505.
(b) Motorcycles and ATVs. For motorcycles and ATVs, use the
equipment, procedures, and duty cycle in 40 CFR part 86, subpart F, to
determine whether your vehicles meet the exhaust emission standards in
Sec. 1051.105 or Sec. 1051.107. Measure the emissions of all the
pollutants we regulate in Sec. 1051.105 or Sec. 1051.107. Measure
CO2, N2O, and CH4 as described in Sec.
1051.235. If we allow you to certify ATVs based on engine testing, use
the equipment, procedures, and duty cycle described or referenced in the
section that allows engine testing. For motorcycles with engine
displacement at or below 169 cc and all ATVs, use the driving schedule
in paragraph (b) of appendix I to 40 CFR part 86. For all other
motorcycles, use the driving schedule in paragraph (a) of Appendix I to
part 86. With respect to vehicle-speed governors, test motorcycles and
ATVs in their ungoverned configuration, unless we approve in advance
testing in a governed configuration. We will only approve testing in a
governed configuration if you can show that the governor is permanently
installed on all production vehicles and is unlikely to be removed in
use. With respect to engine-speed governors, test motorcycles and ATVs
in their governed configuration. Run the test engine, with all emission-
control systems operating,

[[Page 713]]

long enough to stabilize emission levels; you may consider emission
levels stable without measurement if you accumulate 12 hours of
operation.
(c) Permeation testing. (1) Use the equipment and procedures
specified in Sec. 1051.515 to measure fuel tank permeation emissions.
(2) Prior to permeation testing of fuel hose, the hose must be
preconditioned by filling the hose with the fuel specified in paragraph
(d)(3) of this section, sealing the openings, and soaking the hose for 4
weeks at 23 5 [deg]C. To measure fuel-line
permeation emissions, use the equipment and procedures specified in SAE
J30 as described in 40 CFR 1060.810. The measurements must be performed
at 23 2 [deg]C using the fuel specified in
paragraph (d)(3) of this section.
(d) Fuels. Use the fuels meeting the following specifications:
(1) Exhaust. Use the fuels and lubricants specified in 40 CFR part
1065, subpart H, for all the exhaust testing we require in this part.
For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use. The following provisions apply for using specific fuel types:
(i) For gasoline-fueled engines, use the grade of gasoline specified
in 40 CFR 1065.710(c) for general testing. You may alternatively use
ethanol-blended fuel meeting the specifications described in 40 CFR
1065.710(b) for general testing without our advance approval. If you use
the ethanol-blended fuel for certifying a given engine family, you may
also use it for production-line testing or any other testing you perform
for that engine family under this part. If you use the ethanol-blended
fuel for certifying a given engine family, we may use the ethanol-
blended fuel or the specified neat gasoline test fuel with that engine
family.
(ii) For diesel-fueled engines, use either low-sulfur diesel fuel or
ultra low-sulfur diesel fuel meeting the specifications in 40 CFR
1065.703. If you use sulfur-sensitive technology as defined in 40 CFR
1039.801 and you measure emissions using ultra low-sulfur diesel fuel,
you must add a permanent label near the fuel inlet with the following
statement: ``ULTRA LOW SULFUR FUEL ONLY''.
(2) Fuel tank permeation. (i) For the preconditioning soak described
in Sec. 1051.515(a)(1) and fuel slosh durability test described in
Sec. 1051.515(d)(3), use the fuel specified in 40 CFR 1065.710(b), or
the fuel specified in 40 CFR 1065.710(c) blended with 10 percent ethanol
by volume. As an alternative, you may use Fuel CE10, which is Fuel C as
specified in ASTM D 471-98 (see 40 CFR 1060.810) blended with 10 percent
ethanol by volume.
(ii) For the permeation measurement test in Sec. 1051.515(b), use
the fuel specified in 40 CFR 1065.710(c). As an alternative, you may use
any of the fuels specified in paragraph (d)(2)(i) of this section.
(3) Fuel hose permeation. Use the fuel specified in 40 CFR
1065.710(b), or the fuel specified in 40 CFR 1065.710(c) blended with 10
percent ethanol by volume for permeation testing of fuel lines. As an
alternative, you may use Fuel CE10, which is Fuel C as specified in ASTM
D 471-98 (see 40 CFR 1060.810) blended with 10 percent ethanol by
volume.
(e) Engine stabilization. Instead of the provisions of 40 CFR
1065.405, you may consider emission levels stable without measurement
after 12 hours of engine operation.
(f) [Reserved]
(g) Special procedures for engine testing. (1) You may use special
or alternate procedures, as described in Sec. 1065.10 of this chapter.
(2) We may reject data you generate using alternate procedures if
later testing with the procedures in part 1065 of this chapter shows
contradictory emission data.
(3) You may test engines using a test speed based on the point of
maximum power if that represents in-use operation better than testing
based on maximum test speed.
(h) Special procedures for vehicle testing. (1) You may use special
or alternate procedures, as described in paragraph (f)(3) of this
section.
(2) We may reject data you generate using alternate procedures if
later testing with the otherwise specified procedures shows
contradictory emission data.
(3)(i) The test procedures specified for vehicle testing are
intended to

[[Page 714]]

produce emission measurements equivalent to those that would result from
measuring emissions during in-use operation using the same vehicle
configuration. If good engineering judgment indicates that use of the
procedures in this part for a vehicle would result in measurements that
are not representative of in-use operation of that vehicle, you must
notify us. If we determine that using these procedures would result in
measurements that are significantly unrepresentative and that changes to
the procedures will result in more representative measurements that do
not decrease the stringency of emission standards or other requirements,
we will specify changes to the procedures. In your notification to us,
you should recommend specific changes you think are necessary.
(ii) You may ask to use emission data collected using other test
procedures, such as those of the California Air Resources Board or the
International Organization for Standardization. We will allow this only
if you show us that these data are equivalent to data collected using
our test procedures.
(iii) You may ask to use alternate procedures that produce
measurements equivalent to those obtained using the specified
procedures. In this case, send us a written request showing that your
alternate procedures are equivalent to the test procedures of this part.
If you prove to us that the procedures are equivalent, we will allow you
to use them. You may not use alternate procedures until we approve them.
(iv) You may ask to use special test procedures if your vehicle
cannot be tested using the specified test procedures (for example, it is
incapable of operating on the specified transient cycle). In this case,
send us a written request showing that you cannot satisfactorily test
your engines using the test procedures of this part. We will allow you
to use special test procedures if we determine that they would produce
emission measurements that are representative of those that would result
from measuring emissions during in-use operation. You may not use
special procedures until we approve them.

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70
FR 40499, July 13, 2005; 73 FR 59253, Oct. 8, 2008; 74 FR 56511, Oct.
30, 2009; 80 FR 9113, Feb. 19, 2015; 86 FR 34516, June 29, 2021]

Sec. 1051.505 What special provisions apply for testing snowmobiles?

Use the following special provisions for testing snowmobiles:
(a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles. You must use the type of testing you select in
your application for certification for all testing you perform for that
engine family. If we test your engines to confirm that they meet
emission standards, we will do testing the same way. If you submit
certification test data collected with both discrete-mode and ramped-
modal testing (either in your original application or in an amendment to
your application), either method may be used for subsequent testing. We
may also perform other testing as allowed by the Clean Air Act. Measure
steady-state emissions as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle using
the weighting factors specified for each mode. In each mode, operate the
engine for at least 5 minutes, then sample emissions for at least 1
minute. Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
(2) For ramped-modal testing, start sampling at the beginning of the
first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065, subpart G.
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether it
meets the steady-state emission standards in Sec. 1051.103:
(i) The following duty cycle applies for discrete-mode testing:

[[Page 715]]

Table 1 of Sec. 1051.505--5-Mode Duty Cycle for Snowmobiles
----------------------------------------------------------------------------------------------------------------
Minimum
Speed Torque time in Weighting
Mode No. (percent) (percent) mode factors
\1\ \2\ (minutes)
----------------------------------------------------------------------------------------------------------------
1........................................................... 100 100 3.0 0.12
2........................................................... 85 51 3.0 0.27
3........................................................... 75 33 3.0 0.25
4........................................................... 65 19 3.0 0.31
5........................................................... Idle 0 3.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at maximum test speed.

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1051.505--Ramped-modal Cycle for Testing Snowmobiles
----------------------------------------------------------------------------------------------------------------
Time in
RMC mode mode Speed (percent) \1\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.......................... 27 Warm Idle.................. 0
1b Transition............................ 20 Linear Transition.......... Linear Transition
2a Steady-state.......................... 121 100........................ 100
2b Transition............................ 20 Linear Transition.......... Linear Transition
3a Steady-state.......................... 347 65......................... 19
3b Transition............................ 20 Linear Transition.......... Linear Transition
4a Steady-state.......................... 305 85......................... 51
4b Transition............................ 20 Linear Transition.......... Linear Transition
5a Steady-state.......................... 272 75......................... 33
5b Transition............................ 20 Linear Transition.......... Linear Transition
6 Steady-state........................... 28 Warm Idle.................. 0
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at maximum test speed.

(b) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510.
(c) For the full-load operating mode, operate the engine at wide-
open throttle.
(d) Ambient temperatures during testing must be between 20 [deg]C
and 30 [deg]C (68 [deg]F and 86 [deg]F), or other representative test
temperatures, as specified in paragraph (f) of this section.
(e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
(f) You may test snowmobiles at ambient temperatures below 20 [deg]C
or using intake air temperatures below 20 [deg]C if you show that such
testing complies with 40 CFR 1065.10(c)(1). You must get our approval
before you begin the emission testing. For example, the following
approach would be appropriate to show that such testing complies with 40
CFR 1065.10(c)(1):
(1) Using good engineering judgment, instrument a representative
snowmobile built with a representative engine from the family being
tested with an appropriate temperature measuring device located in the
intake air plenum where fuel spitback is not likely to occur.
(2) Choose a time and location with the following weather
conditions: windspeed less than 10 knots, no falling precipitation, air
temperature between -20 [deg]C and 0 [deg]C (-4 [deg]F and 32 [deg]F).
(3) Operate the snowmobile until its engine reaches a steady
operating temperature.
(4) Operate the snowmobile on a level surface free of other vehicle
traffic. Operate the snowmobile at each specified engine speed
corresponding to each mode in the emissions test specific to the engine
being tested. When readings are stable, record the temperature in the
intake air plenum and the ambient temperature. Calculate the temperature
difference between the air in the plenum and the ambient air for each
mode.

[[Page 716]]

(5) Calculate the nominal intake air test temperature for each test
mode as -10 [deg]C (14 [deg]F) plus the temperature difference for the
corresponding mode determined in paragraph (f)(4) of this section.
(6) Before the emissions test, select the appropriate carburetor
jetting for -10 [deg]C (14 [deg]F) conditions according to the jet
chart. For each mode, maintain the inlet air temperature within 5 [deg]C
(9 [deg]F) of the corresponding modal temperature calculated in
paragraph (f)(5) of this section.
(7) Adjust other operating parameters to be consistent with
operation at -10 [deg]C (14 [deg]F). For example, this may require that
you modify the engine cooling system used in the laboratory to make its
performance representative of cold-temperature operation.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40500, July 13, 2005; 73
FR 59253, Oct. 8, 2008]

Sec. 1051.510 What special provisions apply for testing ATV engines?
[Reserved]

Sec. 1051.515 How do I test my fuel tank for permeation emissions?

Measure permeation emissions by weighing a sealed fuel tank before
and after a temperature-controlled soak.
(a) Preconditioning fuel soak. To precondition your fuel tank,
follow these five steps:
(1) Fill the tank with the fuel specified in Sec.
1051.501(d)(2)(i), seal it, and allow it to soak at 28 5 [deg]C for 20 weeks. Alternatively, the tank may be
soaked for a shorter period of time at a higher temperature if you can
show that the hydrocarbon permeation rate has stabilized.
(2) Determine the fuel tank's internal surface area in square-meters
accurate to at least three significant figures. You may use less
accurate estimates of the surface area if you make sure not to
overestimate the surface area.
(3) Fill the fuel tank with the test fuel specified in Sec.
1051.501(d)(2)(ii) to its nominal capacity. If you fill the tank inside
the temperature-controlled room or enclosure, do not spill any fuel.
(4) Allow the tank and its contents to equilibrate to 28 2 [deg]C.
(5) Seal the fuel tank using fuel caps and other fittings (excluding
petcocks) that can be used to seal openings in a production fuel tank.
In cases where openings are not normally sealed on the fuel tank (such
as hose-connection fittings and vents in fuel caps), these openings may
be sealed using nonpermeable fittings such as metal or fluoropolymer
plugs.
(b) Permeation test run. To run the test, take the following steps
for a tank that was preconditioned as specified in paragraph (a) of this
section:
(1) Weigh the sealed fuel tank and record the weight to the nearest
0.1 grams. You may use less precise weights as long as the difference in
mass from the start of the test to the end of the test has at least
three significant figures. Take this measurement within 8 hours of
filling the tank with test fuel as specified in paragraph (a)(3) of this
section.
(2) Carefully place the tank within a ventilated, temperature-
controlled room or enclosure. Do not spill or add any fuel.
(3) Close the room or enclosure and record the time.
(4) Ensure that the measured temperature in the room or enclosure is
28 2 [deg]C.
(5) Leave the tank in the room or enclosure for 14 days.
(6) Hold the temperature of the room or enclosure to 28 2 [deg]C; measure and record the temperature at least
daily.
(7) At the end of the soak period, weigh the sealed fuel tank and
record the weight to the nearest 0.1 grams. You may use less precise
weights as long as the difference in mass from the start of the test to
the end of the test has at least three significant figures. Unless the
same fuel is used in the preconditioning fuel soak and the permeation
test run, record weight measurements on five separate days per week of
testing. The test is void if a linear plot of tank weight vs. test days
for the full soak period for permeation testing specified in paragraph
(b)(5) of this section yields r\2\ below 0.8. See 40 CFR 1065.602 for
the equation to calculate r\2\.
(8) Subtract the weight of the tank at the end of the test from the
weight of the tank at the beginning of the test;

[[Page 717]]

divide the difference by the internal surface area of the fuel tank.
Divide this g/m\2\ value by the number of test days (using at least
three significant figures) to calculate the g/m\2\/day emission rate.
Example: If a tank with an internal surface area of 0.72 m\2\ weighed
31882.3 grams at the beginning of the test and weighed 31813.8 grams
after soaking for 14.03 days, then the g/m\2\/day emission rate would
be--

(31882.3 g-31813.8 g)/0.72 m\2\/14.03 days = 6.78 g/m\2\/day.
(9) Round your result to the same number of decimal places as the
emission standard.
(10) In cases where consideration of permeation rates, using good
engineering judgment, leads you to conclude that soaking for 14 days is
not long enough to measure weight change to at least three significant
figures, you may soak for 14 days longer. In this case, repeat the steps
in paragraphs (b)(8) and (9) of this section to determine the weight
change for the full 28 days.
(c) Determination of final test result. To determine the final test
result, apply a deterioration factor to the measured emission level. The
deterioration factor is the difference between permeation emissions
measured before and after the durability testing described in paragraph
(d) of this section. Adjust the baseline test results for each tested
fuel tank by adding the deterioration factor to the measured emissions.
The deterioration factor determination must be based on good engineering
judgement. Therefore, during the durability testing, the test tank may
not exceed the fuel tank permeation standard described in Sec. 1051.110
(this is known as ``line-crossing''). If the deterioration factor is
less than zero, use zero.
(d) Durability testing. You normally need to perform a separate
durability demonstration for each substantially different combination of
treatment approaches and tank materials. Perform these demonstrations
before an emission test by taking the following steps, unless you can
use good engineering judgment to apply the results of previous
durability testing with a different fuel system. You may ask to exclude
any of the following durability tests if you can clearly demonstrate
that it does not affect the emissions from your fuel tank.
(1) Pressure cycling. Perform a pressure test by sealing the tank
and cycling it between + 2.0 psig and -0.5 psig and back to + 2.0 psig
for 10,000 cycles at a rate 60 seconds per cycle.
(2) UV exposure. Perform a sunlight-exposure test by exposing the
tank to an ultraviolet light of at least 24 W/m\2\ (0.40 W-hr/m\2\/min)
on the tank surface for at least 450 hours. Alternatively, the fuel tank
may be exposed to direct natural sunlight for an equivalent period of
time, as long as you ensure that the tank is exposed to at least 450
daylight hours.
(3) Slosh testing. Perform a slosh test by filling the tank to 40
percent of its capacity with the fuel specified in Sec.
1051.501(d)(2)(i) and rocking it at a rate of 15 cycles per minute until
you reach one million total cycles. Use an angle deviation of + 15[deg]
to -15[deg] from level. This test must be performed at a temperature of
28 [deg]C 5 [deg]C.
(4) Final test result. Following the durability testing, the fuel
tank must be soaked (as described in paragraph (a) of this section) to
ensure that the permeation rate is stable. The period of slosh testing
and the period of ultraviolet testing (if performed with fuel in the
tank consistent with paragraph (a)(1) of this section) may be considered
to be part of this soak, provided that the soak begins immediately after
the slosh testing. To determine the final permeation rate, drain and
refill the tank with fresh fuel, and repeat the permeation test run (as
described in paragraph (b) of this section) immediately after this soak
period. The same test fuel must be used for this permeation test run as
for the permeation test run performed prior to the durability testing.
(e) Flow chart. The following figure presents a flow chart for the
permeation testing described in this section, showing the full test
procedure with durability testing, as well as the simplified test
procedure with an applied deterioration factor:

[[Page 718]]

[GRAPHIC] [TIFF OMITTED] TR15JA04.002

[[Page 719]]

[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70
FR 40501, July 13, 2005]

Sec. 1051.520 How do I perform exhaust durability testing?

Sections 1051.240 and 1051.243 describe the method for testing that
must be performed to establish deterioration factors for an engine
family.

[70 FR 40501, July 13, 2005]

Subpart G_Compliance Provisions

Sec. 1051.601 What compliance provisions apply to vehicles and engines
subject to this part?

Engine and vehicle manufacturers, as well as owners, operators, and
rebuilders of these vehicles, and all other persons, must observe the
requirements and prohibitions in part 1068 of this chapter and the
requirements of the Act. The compliance provisions in this subpart apply
only to the vehicles and engines we regulate in this part.

Sec. 1051.605 What provisions apply to engines already certified under
the motor vehicle program or the Large Spark-ignition program?

(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce into commerce new recreational vehicles,
and engines for recreational vehicles, if the engines are already
certified to the requirements that apply to spark-ignition engines under
40 CFR parts 85 and 86 or 40 CFR part 1048 for the appropriate model
year. If you comply with all the provisions of this section, we consider
the certificate issued under 40 CFR part 86 or 1048 for each engine to
also be a valid certificate of conformity under this part 1051 for its
model year, without a separate application for certification under the
requirements of this part 1051. See Sec. 1051.610 for similar
provisions that apply to vehicles that are already certified to the
vehicle-based standards for motor vehicles.
(b) Vehicle-manufacturer provisions. If you are not an engine
manufacturer, you may install an engine certified for the appropriate
model year under 40 CFR part 86 or 1048 in a recreational vehicle as
long as you meet all the requirements and conditions specified in
paragraph (d) of this section. If you modify the non-recreational engine
in any of the ways described in paragraph (d)(2) of this section for
installation in a recreational vehicle, we will consider you a
manufacturer of recreational vehicles. Such engine modifications prevent
you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted under
this section must meet all the applicable requirements from 40 CFR parts
85 and 86 or 40 CFR part 1048. This paragraph (c) applies to engine
manufacturers, vehicle manufacturers who use such an engine, and all
other persons as if the engine were used in its originally intended
application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to these
new engines and vehicles; however, we consider the certificate issued
under 40 CFR part 86 or 1048 for each engine to also be a valid
certificate of conformity under this part 1051 for its model year. If we
make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under this part 1051 or under 40 CFR part 85 or 1068.505.
(d) Specific requirements. If you are an engine or vehicle
manufacturer and meet all the following criteria and requirements
regarding your new engine or vehicle, the vehicle using the engine is
eligible for an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity
issued under 40 CFR part 86 or 1048.
(2) You must not make any changes to the certified engine that could
reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions. For example, if you make any of
the following changes to one of these engines, you do not qualify for
this exemption:
(i) Change any fuel system or evaporative system parameters from the
certified configuration (this does not apply to refueling controls).

[[Page 720]]

(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in recreational vehicles. This
includes engines used in any application, without regard to which
company manufactures the vehicle or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the emission control
information label we require under 40 CFR part 86 or 1048.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
vehicle. In the supplemental label, do the following:
(i) Include the heading: ``RECREATIONAL VEHICLE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR A RECREATIONAL USE
WITHOUT AFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished installation (month and year), if
applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the vehicle or, if the vehicle obscures
the engine's emission control information label, the make sure the
vehicle manufacturer attaches duplicate labels, as described in 40 CFR
1068.105.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the engine or vehicle models you expect to produce under
this exemption in the coming year and describe your basis for meeting
the sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produce each listed [engine or vehicle] model for
recreational application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1051.605.''.
(e) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1051 and the
certificate issued under 40 CFR part 86 or 1048 will not be deemed to
also be a certificate issued under this part 1051. Introducing these
engines into commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines or
vehicles adapted for recreational use under this section may not
generate or use emission credits under this part 1051. These engines or
vehicles may generate credits under the ABT provisions in 40 CFR part
86. These engines or vehicles must use emission credits under 40 CFR
part 86 if they are certified to an FEL that exceeds an applicable
standard.

[70 FR 40501, July 13, 2005, as amended at 73 FR 59254, Oct. 8, 2008]

Sec. 1051.610 What provisions apply to vehicles already certified
under the motor vehicle program?

(a) General provisions. If you are a motor-vehicle manufacturer,
this section allows you to introduce new recreational vehicles into
commerce if the vehicle is already certified to the requirements that
apply under 40 CFR parts 85 and 86. If you comply with all

[[Page 721]]

of the provisions of this section, we consider the certificate issued
under 40 CFR part 86 for each motor vehicle to also be a valid
certificate of conformity for the engine under this part 1051 for its
model year, without a separate application for certification under the
requirements of this part 1051. This section applies especially for
highway motorcycles that are modified for recreational nonroad use. See
Sec. 1051.605 for similar provisions that apply to motor-vehicle
engines or Large SI engines produced for recreational vehicles.
(b) Nonroad vehicle-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce recreational vehicles from motor
vehicles under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. If you modify the
motor vehicle or its engine in any of the ways described in paragraph
(d)(2) of this section, we will consider you a manufacturer of a new
recreational vehicle. Such modifications prevent you from using the
provisions of this section.
(c) Liability. Engines and vehicles for which you meet the
requirements of this section are exempt from all the requirements and
prohibitions of this part, except for those specified in this section.
Engines exempted under this section must meet all the applicable
requirements from 40 CFR parts 85 and 86. This applies to engine
manufacturers, vehicle manufacturers, and all other persons as if the
recreational vehicles were motor vehicles. The prohibited acts of 40 CFR
1068.101(a)(1) apply to these new recreational vehicles; however, we
consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the
recreational vehicle under this part 1051 for its model year. If we make
a determination that these engines or vehicles do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
recreational vehicle and its engine, the vehicle is eligible for an
exemption under this section:
(1) Your vehicle must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could reasonably expect to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following
changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in recreational vehicles. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the recreational vehicle. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The vehicle must have the vehicle emission control information
we require under 40 CFR part 86.
(5) You must add a permanent supplemental label to the vehicle in a
position where it will remain clearly visible. In the supplemental
label, do the following:
(i) Include the heading: ``RECREATIONAL VEHICLE ENGINE EMISSION
CONTROL INFORMATION''.

[[Page 722]]

(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR RECREATIONAL USE WITHOUT
AFFECTING ITS EMISSION CONTROLS.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled vehicle.
(7) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
(i) Identify your full corporate name, address, and telephone
number.
(ii) List the vehicle models you expect to produce under this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
(iii) State: ``We produced each listed engine or vehicle model for
recreational application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1051.610.''.
(e) Failure to comply. If your engines or vehicles do not meet the
criteria listed in paragraph (d) of this section, the engines will be
subject to the standards, requirements, and prohibitions of this part
1051, and the certificate issued under 40 CFR part 86 will not be deemed
to also be a certificate issued under this part 1051. Introducing these
engines into commerce without a valid exemption or certificate of
conformity under this part violates the prohibitions in 40 CFR
1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for recreational use under this section may not generate or use
emission credits under this part 1051. These vehicles may generate
credits under the ABT provisions in 40 CFR part 86. These vehicles must
use emission credits under 40 CFR part 86 if they are certified to an
FEL that exceeds an emission standard that applies.

[70 FR 40502, July 13, 2005, as amended at 73 FR 59254, Oct. 8, 2008]

Sec. 1051.615 What are the special provisions for certifying small
recreational engines?

(a) You may certify ATVs with engines that have total displacement
of less than 100 cc to the following exhaust emission standards instead
of certifying them to the exhaust emission standards of subpart B of
this part:
(1) 25.0 g/kW-hr HC + NOX, with an FEL cap of 40.0 g/kW-
hr HC + NOX.
(2) 500 g/kW-hr CO.
(b) You may certify off-highway motorcycles with engines that have
total displacement of 70 cc or less to the following exhaust emission
standards instead of certifying them to the exhaust emission standards
of subpart B of this part:
(1) 16.1 g/kW-hr HC + NOX, with an FEL cap of 32.2 g/kW-
hr HC + NOX.
(2) 519 g/kW-hr CO.
(c) You may use the averaging, banking, and trading provisions of
subpart H of this part to show compliance with this HC + NOX
standards (an engine family meets emission standards even if its family
emission limit is higher than the standard, as long as you show that the
whole averaging set of applicable engine families meet the applicable
emission standards using emission credits, and the vehicles within the
family meet the family emission limit). You may not use averaging to
meet the CO standards of this section.
(d) Measure steady-state emissions by testing the engine on an
engine dynamometer using the equipment and procedures of 40 CFR part
1065 with either discrete-mode or ramped-modal cycles. You must use the
type of testing you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will do testing the same
way. If you submit certification test data collected with both discrete-
mode and ramped-modal testing (either in your original application or in
an amendment to your application), either method may be used for

[[Page 723]]

subsequent testing. We may also perform other testing as allowed by the
Clean Air Act. Measure steady-state emissions as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle using
the weighting factors specified for each mode. In each mode, operate the
engine for at least 5 minutes, then sample emissions for at least 1
minute. Calculate cycle statistics for the sequence of modes and compare
with the specified values in 40 CFR 1065.514 to confirm that the test is
valid.
(2) For ramped-modal testing, start sampling at the beginning of the
first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing.
(3) Measure emissions by testing the engine on a dynamometer with
one or more of the following sets of duty cycles to determine whether it
meets applicable emission standards:
(i) The following duty cycle applies for discrete-mode testing:

Table 1 of Sec. 1051.615--6-Mode Duty Cycle for Recreational Engines
----------------------------------------------------------------------------------------------------------------
Engine Minimum
speed Torque time in Weighting
Mode No. (percent) (percent) mode factors
\1\ \2\ (minutes)
----------------------------------------------------------------------------------------------------------------
1........................................................... 85 100 5.0 0.09
2........................................................... 85 75 5.0 0.20
3........................................................... 85 50 5.0 0.29
4........................................................... 85 25 5.0 0.30
5........................................................... 85 10 5.0 0.07
6........................................................... Idle 0 5.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum torque at the commanded test speed.

(ii) The following duty cycle applies for ramped-modal testing:

Table 2 of Sec. 1051.615--Ramped-modal Cycle for Testing Recreational Engines
----------------------------------------------------------------------------------------------------------------
RMC mode Time Speed (percent) \1 2\ Torque (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.......................... 41 Warm Idle.................. 0.
1b Transition............................ 20 Linear Transition.......... Linear Transition.
2a Steady-state.......................... 135 85......................... 100.
2b Transition............................ 20 85......................... Linear Transition.
3a Steady-state.......................... 112 85......................... 10.
3b Transition............................ 20 85......................... Linear Transition.
4a Steady-state.......................... 337 85......................... 75.
4b Transition............................ 20 85......................... Linear Transition.
5a Steady-state.......................... 518 85......................... 25.
5b Transition............................ 20 85......................... Linear Transition.
6a Steady-state.......................... 494 85......................... 50.
6b Transition............................ 20 Linear Transition.......... Linear Transition.
7 Steady-state........................... 43 Warm Idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum torque at the commanded test speed.

(4) During idle mode, operate the engine at its warm idle speed as
described in 40 CFR 1065.510.
(5) For the full-load operating mode, operate the engine at wide-
open throttle.
(6) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.

[[Page 724]]

(e) All other requirements and prohibitions of this part apply to
these engines and vehicles.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40503, July 13, 2005; 73
FR 59254, Oct. 8, 2008]

Sec. 1051.620 When may a manufacturer obtain an exemption for competition
recreational vehicles?

(a) We may grant you an exemption from the standards and
requirements of this part for a new recreational vehicle on the grounds
that it is to be used solely for competition. The provisions of this
part other than those in this section do not apply to recreational
vehicles that we exempt for use solely for competition.
(b) We will exempt vehicles that we determine will be used solely
for competition. The basis of our determinations are described in
paragraphs (b)(1), (b)(2), and (c) of this section. Exemptions granted
under this section are good for only one model year and you must request
renewal for each subsequent model year. We will not approve your renewal
request if we determine the vehicles will not be used solely for
competition.
(1) Off-highway motorcycles. Motorcycles that are marketed and
labeled as only for competitive use and that meet at least four of the
criteria listed in paragraphs (b)(1)(i) through (vi) of this section are
considered to be used solely for competition, except in cases where
other information is available that indicates that they are not used
solely for competition. The following features are indicative of
motorcycles used solely for competition:
(i) The absence of a headlight or other lights.
(ii) The absence of a spark arrestor.
(iii) The absence of manufacturer warranty.
(iv) Suspension travel greater than 10 inches.
(v) Engine displacement greater than 50 cc.
(vi) The absence of a functional seat. (For example, a seat with
less than 30 square inches of seating surface would generally not be
considered a functional seat).
(2) Snowmobiles and ATVs. Snowmobiles and ATVs meeting all of the
following criteria are considered to be used solely for competition,
except in cases where other information is available that indicates that
they are not used solely for competition:
(i) The vehicle or engine may not be displayed for sale in any
public dealership.
(ii) Sale of the vehicle must be limited to professional racers or
other qualified racers.
(iii) The vehicle must have performance characteristics that are
substantially superior to noncompetitive models.
(c) Vehicles not meeting the applicable criteria listed in paragraph
(b) of this section will be exempted only in cases where the
manufacturer has clear and convincing evidence that the vehicles will be
used solely for competition.
(d) You must permanently label vehicles exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label a vehicle will void the exemption for that
vehicle.
(e) If we request it, you must provide us any information we need to
determine whether the vehicles are used solely for competition.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]

Sec. 1051.625 What special provisions apply to unique snowmobile designs
for small-volume manufacturers?

(a) If you are a small-volume manufacturer, we may permit you to
produce up to 600 snowmobiles per year that are certified to less
stringent emission standards than those in Sec. 1051.103, as long as
you meet all the conditions and requirements in this section.
(b) To apply for alternate standards under this section, send the
Designated Officer a written request. In your request, do two things:
(1) Show that the snowmobile has unique design, calibration, or
operating characteristics that make it atypical and infeasible or highly
impractical to meet the emission standards in Sec. 1051.103,
considering technology, cost, and other factors.

[[Page 725]]

(2) Identify the level of compliance you can achieve, including a
description of available emission-control technologies and any
constraints that may prevent more effective use of these technologies.
(c) You must give us other relevant information if we ask for it.
(d) An authorized representative of your company must sign the
request and include the statement: ``All the information in this request
is true and accurate, to the best of my knowledge.''.
(e) Send your request for this extension at least nine months before
the relevant deadline. If different deadlines apply to companies that
are not small-volume manufacturers, do not send your request before the
regulations in question apply to the other manufacturers.
(f) If we approve your request, we will set alternate standards for
your qualifying snowmobiles. These standards will not be above 400 g/kW-
hr for CO or 150 g/kW-hr for HC.
(g) You may produce these snowmobiles to meet the alternate
standards we establish under this section as long as you continue to
produce them at the same or lower emission levels.
(h) You may not include snowmobiles you produce under this section
in any averaging, banking, or trading calculations under Subpart H of
this part.
(i) You must meet all the requirements of this part, except as noted
in this section.

Sec. 1051.630 What special provisions apply to unique snowmobile designs
for all manufacturers?

(a) We may permit you to produce up to 600 snowmobiles per year that
are certified to the FELs listed in this section without new test data,
as long as you meet all the conditions and requirements in this section.
(b) You may certify these snowmobiles with FELs of 560 g/kW-hr for
CO and 270 g/kW-hr for HC (using the normal certification procedures).
(c) The emission levels described in this section are intended to
represent worst-case emission levels. You may not certify snowmobiles
under this section if good engineering judgment indicates that they have
emission rates higher than these levels.
(d) Include snowmobiles you produce under this section in your
averaging calculations under Subpart H of this part.
(e) You must meet all the requirements of this part, unless the
regulations of this part specify otherwise.

Sec. 1051.635 What provisions apply to new manufacturers that are
small businesses?

(a) If you are a small business (as defined by the Small Business
Administration at 13 CFR 121.201) that manufactures recreational
vehicles, but does not otherwise qualify for the small-volume
manufacturer provisions of this part, you may ask us to designate you to
be a small-volume manufacturer. You may do this whether you began
manufacturing recreational vehicles before, during, or after 2002.
(b) We may set other reasonable conditions that are consistent with
the intent of this section and the Act. For example, we may place sales
limits on companies that we designate to be small-volume manufacturers
under this section.

[67 FR 68347, Nov. 8, 2002, as amended at 73 FR 59255, Oct. 8, 2008]

Sec. 1051.640 What special provisions apply for custom off-highway
motorcycles that are similar to highway motorcycles?

You may ask to exempt custom-designed off-highway motorcycles that
are substantially similar to highway motorcycles under the display
exemption provisions of 40 CFR 86.407-78(c). Motorcycles exempt under
this provision are subject to the restrictions of 40 CFR 86.407-78(c)
and are considered to be motor vehicles for the purposes of this part
1051.

[69 FR 2445, Jan. 15, 2004]

Sec. 1051.645 What special provisions apply to branded engines?

The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec. 1051.135(c)(2):
(a) You must have a contractual agreement with the other company

[[Page 726]]

that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under Sec.
1051.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
(2) Report all warranty-related information to the certificate
holder.
(b) In your application for certification, identify the company
whose trademark you will use.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

[70 FR 40504, July 13, 2005, as amended at 73 FR 59255, Oct. 8, 2008]

Sec. 1051.650 What special provisions apply for converting a vehicle
to use an alternate fuel?

A certificate of conformity is no longer valid for a vehicle if the
vehicle is modified such that it is not in a configuration covered by
the certificate. This section applies if such modifications are done to
convert the vehicle to run on a different fuel type. Such vehicles may
be recertified as specified in this section if the original certificate
is no longer valid for that vehicle.
(a) Converting a certified new vehicle to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified vehicle is not
covered by a certificate of conformity.
(b) Converting a certified vehicle that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
vehicle is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified vehicle for a
partial useful life. For example, if the vehicle is modified halfway
through its original useful life period, you may generally certify the
vehicle based on completing the original useful life period; or if the
vehicle is modified after the original useful life period is past, you
may generally certify the vehicle based on testing that does not involve
further durability demonstration.
(c) Vehicles (or engines) may be certified using the certification
procedures for new vehicles (or engines) as specified in this part or
using the certification procedures for aftermarket parts as specified in
40 CFR part 85, subpart V. Unless the original vehicle manufacturer
continues to be responsible for the vehicle as specified in paragraph
(d) of this section, you must remove the original manufacturer's
emission control information label if you recertify the vehicle.
(d) The original vehicle manufacturer is not responsible for
operation of modified vehicles in configurations resulting from
modifications performed by others. In cases where the modification
allows a vehicle to be operated in either its original configuration or
a modified configuration, the original vehicle manufacturer remains
responsible for operation of the modified vehicle in its original
configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted vehicles. Such entities are vehicle
manufacturers for purposes of this part.

[73 FR 59255, Oct. 8, 2008]

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1051.701 General provisions.

(a) You may average, bank, and trade emission credits for purposes
of certification as described in this subpart to show compliance with
the standards of this part. To do this you must certify your engines to
Family Emission Limits (FELs) and show that your average emission levels
for all your engine families together are below the emission standards
in subpart B of this part, or that you have sufficient credits to offset
a credit deficit for the model year (as calculated in Sec. 1051.720).
(b) The following averaging set restrictions apply:
(1) You may not average together engine families that are certified
to different standards. You may, however, use banked credits that were
generated relative to different standards, except as prohibited by
paragraphs (b)(2) and (3) of this section, paragraph (e) of this
section, or by other provisions in this part. For example, you may not
average together within a model year off-highway motorcycles that are
certified

[[Page 727]]

to the standards in Sec. 1051.105(a)(1) and Sec. 1051.105(a)(2); but
you may use banked credits generated by off-highway motorcycles that are
certified to the standards in Sec. 1051.105(a)(1) to show compliance
with the standards in Sec. 1051.105(a)(2) in a later model year, and
vice versa.
(2) There are separate averaging, banking, and trading programs for
snowmobiles, ATVs, and off-highway motorcycles. You may not average or
exchange banked or traded credits from engine families of one type of
vehicle with those from engine families of another type of vehicle.
(3) You may not average or exchange banked or traded credits with
other engine families if you use fundamentally different measurement
procedures for the different engine families (for example, ATVs
certified to chassis-based vs. engine-based standards). This paragraph
(b)(3) does not restrict you from averaging together engine families
that use test procedures that we determine provide equivalent emission
results.
(4) You may not average or exchange banked or traded exhaust credits
with evaporative credits, or vice versa.
(c) The definitions of Subpart I 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) Average standard means a standard that allows you comply by
averaging all your vehicles under this part. See subpart B of this part
to determine which standards are average standards.
(3) Averaging set means a set of engines in which emission credits
may be exchanged only with other engines 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.
(d) In your application for certification, base your showing of
compliance on projected production volumes for vehicles whose point of
first retail sale is in the United States. As described in Sec.
1051.730, compliance with the requirements of this subpart is determined
at the end of the model year based on actual production volumes for
vehicles whose point of first retail sale is in the United States. Do
not include any of the following vehicles to calculate emission credits:
(1) Vehicles exempted under subpart G of this part or under 40 CFR
part 1068.
(2) Exported vehicles.
(3) Vehicles not subject to the requirements of this part, such as
those excluded under Sec. 1051.5.
(4) Vehicles for which the location of first retail sale is in a
state that has applicable state emission regulations for that model
year. However, this restriction does not apply if we determine that the
state standards and requirements are equivalent to those of this part
and that these vehicles sold in such a state will not generate credits
under the state program. For example, you may not include vehicles
certified for California if it has more stringent emission standards for
these vehicles or those vehicles generate or use emission credits under
the California program.
(5) Any other vehicles, where we indicate elsewhere in this part
1051 that they are not to be included in the calculations of this
subpart.
(e) You may not use emission credits generated under this subpart to
offset any emissions that exceed an FEL or standard, except as specified
in Sec. 1051.225(f)(1). This applies for all testing, including
certification testing, in-use testing, selective enforcement audits, and
other production-line testing.
(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.

[[Page 728]]

(g) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec. 1051.225.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005; 73
FR 59256, Oct. 8, 2008]

Sec. 1051.705 How do I average emission levels?

(a) As specified in subpart B of this part, certify each vehicle to
an FEL, subject to the FEL caps in subpart B of this part.
(b) Calculate a preliminary average emission level according to
Sec. 1051.720 for each averaging set using projected U.S.-directed
production volumes from your application for certification, excluding
vehicles described in Sec. 1051.701(d)(4).
(c) After the end of your model year, calculate a final average
emission level according to Sec. 1051.720 for each type of recreational
vehicle or engine you manufacture or import. Use actual U.S.-directed
production volumes, excluding vehicles described in Sec.
1051.701(d)(4).
(d) If your preliminary average emission level is below the
allowable average standard, see Sec. 1051.710 for information about
generating and banking emission credits. These credits will be
considered reserved until we verify them in reviewing the end-of-year
report.
(e) If your average emission level is above the allowable average
standard, you must obtain enough emission credits to offset the deficit
by the due date for the final report required in Sec. 1051.730. The
emission credits used to address the deficit may come from emission
credits you have banked or from emission credits you obtain through
trading.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]

Sec. 1051.710 How do I generate and bank emission credits?

(a) Banking is the retention of emission credits by the manufacturer
generating the emission credits for use in averaging or trading in
future model years. You may use banked emission credits only within the
averaging set in which they were generated.
(b) If your average emission level is below the average standard,
you may calculate credits according to Sec. 1051.720. Credits you
generate do not expire.
(c) You may generate credits if you are a certifying manufacturer.
(d) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1051.730. During the model year and
before the due date for the final report, you may designate your
reserved emission credits for averaging or trading.
(e) 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.

[70 FR 40505, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]

Sec. 1051.715 How do I trade emission credits?

(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 may be
used only within 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) [Reserved]
(d) 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. 1051.255(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. 1051.745.

[70 FR 40505, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]

[[Page 729]]

Sec. 1051.720 How do I calculate my average emission level or emission
credits?

(a) Calculate your average emission level for each type of
recreational vehicle or engine for each model year according to the
following equation and round it to the nearest tenth of a g/km or g/kW-
hr. Use consistent units throughout the calculation.
(1) For exhaust emissions:
(i) Calculate the average emission level as:
[GRAPHIC] [TIFF OMITTED] TR08NO02.011

Where:

FELi = The FEL to which the engine family is certified.
ULi = The useful life of the engine family.
Productioni = The number of vehicles in the engine family.

(ii) Use U.S.-directed production projections for initial
certification, and actual U.S.-directed production volumes to determine
compliance at the end of the model year.
(2) For vehicles that have standards expressed as g/kW-hr and a
useful life in kilometers, convert the useful life to kW-hr based on the
maximum engine power and an assumed vehicle speed of 30 km/hr as
follows: UL (kW-hr) = UL (km) x Maximum Engine Power (kW) / 30 km/hr.
(Note: It is not necessary to include a load factor, since credit
exchange is not allowed between vehicles certified to g/kW-hr standards
and vehicles certified to g/km standards.)
(3) For evaporative emission standards expressed as g/m\2\/day, use
the useful life value in years multiplied by 365.24 and calculate the
average emission level as:
[GRAPHIC] [TIFF OMITTED] TR13JY05.019

Where:

FEL i = The FEL to which the engine family is certified, as
described in paragraph (a)(4) of this section.
Production i = The number of vehicles in the engine
family times the average internal surface area of the vehicles' fuel
tanks.

(4) Determine the FEL for calculating credits under paragraph (a)(3)
of this section using any of the following values:
(i) The FEL to which the tank is certified, as long as the FEL is at
or below 3.0 g/m\2\/day.
(ii) 10.4 g/m\2\/day. However, if you use this value to establish
the FEL for any of your tanks, you must use this value to establish the
FEL for every tank not covered by paragraph (a)(4)(i) of this section.
(iii) The measured permeation rate of the tank or the measured
permeation rate of a thinner-walled tank of the same material. However,
if you use this approach to establish the FEL for any of your tanks, you
must establish an FEL based on emission measurements for every tank not
covered by paragraph (a)(4)(i) of this section.
(b) If your average emission level is below the average standard,
calculate credits available for banking according to the following
equation and round them to the nearest tenth of a gram:

[[Page 730]]

[GRAPHIC] [TIFF OMITTED] TR08NO02.013

(c) If your average emission level is above the average standard,
calculate your preliminary credit deficit according to the following
equation, rounding to the nearest tenth of a gram:
[GRAPHIC] [TIFF OMITTED] TR08NO02.014

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005; 73
FR 59256, Oct. 8, 2008]

Sec. 1051.725 What must I include in my applications for certification?

(a) You must declare in your applications for certification your
intent to use the provisions of this subpart. You must also declare the
FELs you select for each engine family. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the applicable
standards.
(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. This means that
if you believe that your average emission level will be above the
standard (i.e., that you will have a deficit for the model year), you
must have banked credits (or project to have received traded credits) to
offset the deficit.
(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 a negative credit balance for
the model year. If you project negative emission credits for an engine
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]

Sec. 1051.730 What ABT reports must I send to EPA?

[[Page 731]]

fuel tanks, state the production volume in terms of surface area and
production volume for each tank configuration and state the total
surface area for the emission family. If you changed an FEL during the
model year, identify the actual production volume associated with each
FEL.
(5) For vehicles that have standards expressed as g/kW-hr, maximum
engine power for each vehicle configuration, and the average engine
power weighted by U.S.-directed production volumes for the engine
family.
(6) Useful life.
(7) Calculated positive or negative emission credits. 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 in each averaging
set in the applicable model year is not negative.
(2) State whether you will retain 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 engine families that generated emission credits for the
trade, including the number of emission credits from each family.
(2) As the buyer, you must include the following information in your
report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each engine family (if
known).
(e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(f) 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 (f)(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.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59256, Oct. 8, 2008]

Sec. 1051.735 What records must I keep?

[[Page 732]]

(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.

[70 FR 40506, July 13, 2005, as amended at 73 FR 59257, Oct. 8, 2008]

Sec. 1051.740 Are there special averaging provisions for snowmobiles?

For snowmobiles, you may only use credits for the same phase or set
of standards against which they were generated, except as allowed by
this section.
(a) Restrictions. (1) You may not use any Phase 1 or Phase 2 credits
for Phase 3 compliance.
(2) You may not use Phase 1 HC credits for Phase 2 HC compliance.
However, because the Phase 1 and Phase 2 CO standards are the same, you
may use Phase 1 CO credits for compliance with the Phase 2 CO standards.
(b) Special credits for next phase of standards. You may choose to
generate credits early for banking for purposes of compliance with later
phases of standards as follows:
(1) If your corporate average emission level at the end of the model
year exceeds the applicable (current) phase of standards (without the
use of traded or previously banked credits), you may choose to
redesignate some of your snowmobile production to a calculation to
generate credits for a future phase of standards. To generate credits
the snowmobiles designated must have an FEL below the emission level of
that set of standards. This can be done on a pollutant specific basis.
(2) Do not include the snowmobiles that you redesignate in the final
compliance calculation of your average emission level for the otherwise
applicable (current) phase of standards. Your average emission level for
the remaining (non-redesignated) snowmobiles must comply with the
otherwise applicable (current) phase of standards.
(3) Include the snowmobiles that you redesignate in a separate
calculation of your average emission level for redesignated engines.
Calculate credits using this average emission level relative to the
specific pollutant in the future phase of standards. These credits may
be used for compliance with the future standards.
(4) For generating early Phase 3 credits, you may generate credits
for HC or CO separately as described:
(i) To determine if you qualify to generate credits in accordance
with paragraphs (b)(1) through (3) of this section, you must meet the
credit trigger level. For HC this value is 75 g/kW-hr. For CO this value
is 200 g/kW-hr.
(ii) HC and CO credits for Phase 3 are calculated relative to 75 g/
kW-hr and 200 g/kW-hr values, respectively.
(5) Credits can also be calculated for Phase 3 using both sets of
standards. Without regard to the trigger level values, if your net
emission reduction for the redesignated averaging set exceeds the
requirements of Phase 3 in Sec. 1051.103 (using both HC +
NOX and CO in the Phase 3 equation in Sec. 1051.103), then
your credits are the difference between the Phase 3 reduction
requirement of that section and your calculated value.

[70 FR 40507, July 13, 2005, as amended at 73 FR 35952, June 25, 2008;
73 FR 59257, Oct. 8, 2008]

Sec. 1051.745 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 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
standard based on a projection that you will have enough emission
credits to avoid a negative credit balance for each averaging set for
the applicable model year. However, except as allowed in Sec.
1051.145(h), 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.

[[Page 733]]

(d) You may ask for a hearing if we void your certificate under this
section (see Sec. 1051.820).

[70 FR 40507, July 13, 2005]

Subpart I_Definitions and Other Reference Information

Sec. 1051.801 What definitions apply to this part?

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 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 engine 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 that is difficult to access if it
cannot be adjusted to affect emissions without significantly degrading
engine performance, or if you otherwise 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
decrease emissions in the engine exhaust before it is exhausted to the
environment. Exhaust-gas recirculation (EGR), turbochargers, and oxygen
sensors are not aftertreatment.
Alcohol-fueled means relating to a vehicle 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.
All-terrain vehicle means a land-based or amphibious nonroad vehicle
that meets the criteria listed in paragraph (1) of this definition; or,
alternatively the criteria of paragraph (2) of this definition but not
the criteria of paragraph (3) of this definition:
(1) Vehicles designed to travel on four low pressure tires, having a
seat designed to be straddled by the operator and handlebars for
steering controls, and intended for use by a single operator and no
other passengers are all-terrain vehicles.
(2) Other all-terrain vehicles have three or more wheels and one or
more seats, are designed for operation over rough terrain, are intended
primarily for transportation, and have a maximum vehicle speed higher
than 25 miles per hour. Golf carts generally do not meet these criteria
since they are generally not designed for operation over rough terrain.
(3) Vehicles that meet the definition of ``offroad utility vehicle''
in this section are not all-terrain vehicles. However, Sec. 1051.1(a)
specifies that some offroad utility vehicles are required to meet the
same requirements as all-terrain vehicles.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
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.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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.
Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant

[[Page 734]]

from either transient or steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft and
other related internal parts.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
(2) Any other component whose primary purpose is to reduce
emissions.
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.
Designated Compliance Officer means the Manager, Light-Duty Engine
Group, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann
Arbor, MI 48105.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data vehicle.
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.
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 vehicle means a vehicle or engine that is tested for
certification. This includes vehicles or 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 within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
Engine family has the meaning given in Sec. 1051.230.
Evaporative means relating to fuel emissions that result from
permeation of fuel through the fuel system materials and from
ventilation of the fuel system.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that is excluded from this part 1051 under
the provisions of Sec. 1051.5.
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 emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places as
the emission

[[Page 735]]

standard it replaces. The family emission limit serves as the emission
standard for the engine family with respect to all required testing.
Fuel line means all hoses or tubing designed to contain liquid fuel
or fuel vapor. This includes all hoses or tubing for the filler neck,
for connections between dual fuel tanks, and for connecting a carbon
canister to the fuel tank. This does not include hoses or tubing for
routing crankcase vapors to the engine's intake or any other hoses or
tubing that are open to the atmosphere.
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. In the case where the fuel tank cap or other components
(excluding fuel lines) are directly mounted on the fuel tank, they are
considered to be a part of the fuel tank.
Fuel type means a general category of fuels such as gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as winter-grade and all-season gasoline.
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.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type. For alcohol-fueled engines, HC
means total hydrocarbon equivalent (THCE). 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 vehicle or engine from other similar engines.
Low-hour means relating to an engine with stabilized emissions and
represents the undeteriorated emission level. This would generally
involve less than 24 hours or 240 kilometers of operation.
Low-permeability material has the meaning given in 40 CFR 1060.801.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures a vehicle or
engine for sale in the United States or otherwise introduces a new
vehicle or engine into commerce in the United States. This includes
importers that import vehicles or engines for resale.
Maximum engine power has the meaning given in 40 CFR 90.3 for 2010
and earlier model years and in Sec. 1051.140 for 2011 and later model
years. Note that maximum engine power is based on the engine alone,
without regard to any governing or other restrictions from the vehicle
installation.
Maximum test speed has the meaning given in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured vehicles (see definition of ``new,''
paragraph (1)), model year means one of the following:
(i) Calendar year.
(ii) Your annual new model production period if it is different than
the calendar year. This must include January 1 of the calendar year for
which the model year is named. It may not begin before January 2 of the
previous calendar year and it must end by December 31 of the named
calendar year. For seasonal production periods not including January 1,
model year means the calendar year in which the production occurs,
unless you choose to certify the applicable emission family with the
following model year. For example, if your production period is June 1,
2010, through November 30, 2010, your model year would be 2010 unless
you choose to certify the emission family for model year 2011.
(2) For an engine originally certified and manufactured as a motor
vehicle engine or a stationary engine that is later used or intended to
be used in a vehicle subject to the standards and requirements of this
part 1051, model year means the calendar year in which the engine was
originally produced. For an engine originally manufactured as a motor
vehicle engine or a stationary engine without having been certified that
is later used or intended to be

[[Page 736]]

used in a vehicle subject to the standards and requirements of this part
1051, model year means the calendar year in which the engine becomes
subject to this part 1051. (See definition of ``new,'' paragraph (2)).
(3) For a nonroad engine that has been previously placed into
service in an application covered by 40 CFR part 90, 91, 1048, or 1054,
where that engine is installed in a piece of equipment that is covered
by this part 1051, model year means the calendar year in which the
engine was originally produced (see definition of ``new,'' paragraph
(3)).
(4) For engines that are not freshly manufactured but are installed
in new recreational vehicles, model year means the calendar year in
which the engine is installed in the recreational vehicle (see
definition of ``new,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new,'' model year has the meaning given in paragraphs
(1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new,'' model year means the calendar year in which the
vehicle is modified.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new'' model year means the calendar year in which the
engine is assembled in its imported configuration, unless specified
otherwise in this part or in 40 CFR part 1068.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New means relating to any of the following things:
(1) A freshly manufactured vehicle for which the ultimate purchaser
has never received the equitable or legal title. This kind of vehicle
might commonly be thought of as ``brand new.''
In the case of this paragraph (1), the vehicle is new from the time
it is produced until the ultimate purchaser receives the title or the
product is placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or a
stationary engine that is later used or intended to be used in a vehicle
subject to the standards and requirements of this part 1051. In this
case, the engine is no longer a motor vehicle or stationary engine and
becomes new. The engine is no longer new when it is placed into service
as a recreational vehicle covered by this part 1051.
(3) A nonroad engine that has been previously placed into service in
an application covered by 40 CFR part 90, 91, 1048, or 1054, when that
engine is installed in a piece of equipment that is covered by this part
1051. The engine is no longer new when it is placed into service in a
recreational vehicle covered by this part 1051. For example, this would
apply to a marine propulsion engine that is no longer used in a marine
vessel.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vehicle covered by
this part 1051. This generally includes installation of used engines in
new recreational vehicles. The engine is no longer new when the ultimate
purchaser receives a title for the vehicle or it is placed into service,
whichever comes first.
(5) An imported vehicle or engine, subject to the following
provisions:
(i) An imported recreational vehicle or recreational-vehicle engine
covered by a certificate of conformity issued under this part that meets
the criteria of one or more of paragraphs (1) through (4) of this
definition, where the original manufacturer holds the certificate, is
new as defined by those applicable paragraphs.
(ii) An imported vehicle or engine covered by a certificate of
conformity issued under this part, where someone other than the original
manufacturer holds the certificate (such as when the engine is modified
after its initial assembly), is new when it is imported. It is no longer
new when the ultimate purchaser receives a title for the vehicle or
engine or it is placed into service, whichever comes first.
(iii) An imported recreational vehicle or recreational-vehicle
engine that is not covered by a certificate of conformity issued under
this part at the time of importation is new. This addresses uncertified
vehicles and engines initially placed into service that someone seeks to
import into the United States. Importation of this kind

[[Page 737]]

of vehicle or engine is generally prohibited by 40 CFR part 1068.
However, the importation of such a vehicle or engine is not prohibited
if it has a model year before 2006, since it is not subject to
standards.
Noncompliant means relating to a vehicle that was originally covered
by a certificate of conformity, but is not in the certified
configuration or otherwise does not comply with the conditions of the
certificate.
Nonconforming means relating to vehicle not covered by a certificate
of conformity that would otherwise be subject to emission standards.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
Nonroad means relating to nonroad engines or equipment that includes
nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor-vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft.
Off-highway motorcycle means a two-wheeled vehicle with a nonroad
engine and a seat (excluding marine vessels and aircraft). (Note:
highway motorcycles are regulated under 40 CFR part 86.)
Official emission result means the measured emission rate for an
emission-data vehicle on a given duty cycle before the application of
any deterioration factor.
Offroad utility vehicle means a nonroad vehicle that has four or
more wheels, seating for two or more persons, is designed for operation
over rough terrain, and has either a rear payload capacity of 350 pounds
or more or seating for six or more passengers. Vehicles intended
primarily for recreational purposes that are not capable of transporting
six passengers (such as dune buggies) are not offroad utility vehicles.
(Note: Sec. 1051.1(a) specifies that some offroad utility vehicles are
required to meet the requirements that apply for all-terrain vehicles.)
Unless there is significant information to the contrary, we consider
vehicles to be intended primarily for recreational purposes if they are
marketed for recreational use, have a rear payload capacity no greater
than 1,000 pounds, and meet at least five of the following criteria:
(1) Front and rear suspension travel is greater than 18 cm.
(2) The vehicle has no tilt bed.
(3) The vehicle has no mechanical power take-off (PTO) and no
permanently installed hydraulic system for operating utility-oriented
accessory devices.
(4) The engine has in-use operating speeds at or above 4,000 rpm.
(5) Maximum vehicle speed is greater than 35 miles per hour.
(6) The speed at which the engine produces peak power is above 4,500
rpm and the engine is equivalent to engines in ATVs certified by the
same manufacturer. For the purpose of this paragraph (6), the engine is
considered equivalent if it could be included in the same emission
family based on the characteristics specified in Sec. 1051.230(b).
(7) Gross Vehicle Weight Rating is no greater than 3,750 pounds.
This is the maximum design loaded weight of the vehicle as defined in 40
CFR 86.1803-01, including passengers and cargo.
Owners manual means a document or collection of documents prepared
by the engine 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.
Phase 1 means relating to Phase 1 standards of Sec. Sec. 1051.103,
1051.105, or 1051.107, or other Phase 1 standards specified in subpart B
of this part.
Phase 2 means relating to Phase 2 standards of Sec. 1051.103, or
other Phase 2 standards specified in subpart B of this part.
Phase 3 means relating to Phase 3 standards of Sec. 1051.103, or
other Phase 3 standards specified in subpart B of this part.
Placed into service means put into initial use for its intended
purpose.
Point of first retail sale means the location at which the initial
retail sale

[[Page 738]]

occurs. This generally means an equipment dealership, but may also
include an engine seller or distributor in cases where loose engines are
sold to the general public for uses such as replacement engines.
Recreational means, for purposes of this part, relating to
snowmobiles, all-terrain vehicles, off-highway motorcycles, and other
vehicles that we regulate under this part. Note that 40 CFR parts 90 and
1054 apply to engines used in other recreational vehicles.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001, unless otherwise
specified.
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-volume manufacturer means one of the following:
(1) For motorcycles and ATVs, a manufacturer that sold motorcycles
or ATVs before 2003 and had annual U.S.-directed production of no more
than 5,000 off-road motorcycles and ATVs (combined number) in 2002 and
all earlier calendar years. For manufacturers owned by a parent company,
the limit applies to the production of the parent company and all of its
subsidiaries.
(2) For snowmobiles, a manufacturer that sold snowmobiles before
2003 and had annual U.S.-directed production of no more than 300
snowmobiles in 2002 and all earlier model years. For manufacturers owned
by a parent company, the limit applies to the production of the parent
company and all of its subsidiaries.
(3) A manufacturer that we designate to be a small-volume
manufacturer under Sec. 1051.635.
Snowmobile means a vehicle designed to operate outdoors only over
snow-covered ground, with a maximum width of 1.5 meters or less.
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.
Suspend has the meaning given in 40 CFR 1068.30.
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.
Test vehicle or engine means an engine in a test sample.
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 a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases such
new nonroad equipment or new nonroad engine for purposes other than
resale.
Ultraviolet light means electromagnetic radiation with a wavelength
between 300 and 400 nanometers.
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 vehicle units,
subject to the requirements of this part, produced by a manufacturer for
which the manufacturer has a reasonable assurance that sale was or will
be made to ultimate purchasers in the United States. This includes
vehicles for which the location of first retail sale is in a state that
has applicable state emission regulations for that model year, unless we
specify otherwise.
Useful life means the period during which a vehicle is required to
comply with all applicable emission standards, specified as a given
number of calendar years and kilometers (whichever comes

[[Page 739]]

first). In some cases, useful life is also limited by a given number of
hours of engine operation. If an engine has no odometer (or hour meter),
the specified number of kilometers (or hours) does not limit the period
during which an in-use vehicle is required to comply with emission
standards, unless the degree of service accumulation can be verified
separately. The useful life for an engine family must be at least as
long as both of the following:
(1) The expected average service life before the vehicle is
remanufactured or retired from service.
(2) The minimum useful life value.
Void has the meaning given in 40 CFR 1068.30.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening. Unless this is
specified at a given speed, it refers to maximum throttle opening at
maximum speed. For electronically controlled or other engines with
multiple possible fueling rates, wide-open throttle also means the
maximum fueling rate at maximum throttle opening under test conditions.

[70 FR 40507, July 13, 2005, as amended at 73 FR 59257, Oct. 8, 2008; 75
FR 23024, Apr. 30, 2010]

Sec. 1051.805 What symbols, acronyms, and abbreviations does this part use?

The following symbols, acronyms, and abbreviations apply to this
part:

[deg]--degrees.
ASTM--American Society for Testing and Materials.
ATV--all-terrain vehicle.
cc--cubic centimeters.
CFR--Code of Federal Regulations.
CH4 methane.
cm--centimeter.
C--Celsius.
CO--carbon monoxide.
CO2--carbon dioxide.
EPA--Environmental Protection Agency.
F--Fahrenheit.
g--grams.
g/gal/day--grams per gallon per test day.
g/m\2\/day--grams per meter-square per test day.
HC--hydrocarbon.
Hg--mercury.
hr--hours.
km--kilometer.
kW--kilowatt.
LPG--liquefied petroleum gas.
m--meters.
mm--millimeters.
mW--milliwatts.
N2O nitrous oxide.
NARA--National Archives and Records Administration.
NMHC--nonmethane hydrocarbons.
NOX--oxides of nitrogen (NO and NOX).
psig--pounds per square inches of gauge pressure.
rpm--revolutions per minute.
SAE--Society of Automotive Engineers.
SI--spark-ignition.
THC--total hydrocarbon.
THCE--total hydrocarbon equivalent.
U.S.C.--United States Code.

[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40510, July 13, 2005; 74
FR 56511, Oct. 30, 2009]

Sec. 1051.815 What provisions apply to confidential information?

[70 FR 40511, July 13, 2005]

Sec. 1051.820 How do I request a hearing?

[[Page 740]]

(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.

[70 FR 40511, July 13, 2005]

Sec. 1051.825 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 vehicles
regulated under this part:
(a) We specify the following requirements related to certification
in this part 1051:
(1) In Sec. Sec. 1051.20 and 1051.25 we describe special provisions
for manufacturers to certify recreational engines instead of vehicles.
(2) [Reserved]
(3) In Sec. 1051.145 we include various reporting and recordkeeping
requirements related to interim provisions.
(4) In subpart C of this part we identify a wide range of
information required to certify vehicles.
(5) In Sec. Sec. 1051.345 and 1051.350 we specify certain records
related to production-line testing.
(6) [Reserved]
(7) In Sec. 1051.501 we specify information needs for establishing
various changes to published vehicle-based test procedures.
(8) 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.
(9) In Sec. Sec. 1051.725, 1051.730, and 1051.735 we specify
certain records related to averaging, banking, and trading.
(b) [Reserved]
(c) We specify the following requirements related to testing in 40
CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for reporting
information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published engine-based test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing test
information.
(4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines or vehicles using portable
analyzers.
(d) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
(1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
(2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information
(3) In 40 CFR 1068.27 we require manufacturers to make engines or
vehicles available for our testing or inspection if we make such a
request.
(4) In 40 CFR 1068.105 we require manufacturers to keep certain
records related to duplicate labels from engine manufacturers.
(5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
(6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
(7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines or vehicles.
(8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
(9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
(10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming vehicles.

[73 FR 59258, Oct. 8, 2008]

[[Page 741]]

PART 1054_CONTROL OF EMISSIONS FROM NEW, SMALL NONROAD SPARK-IGNITION
ENGINES AND EQUIPMENT--Table of Contents

Subpart A_Overview and Applicability

Sec.
1054.1 Does this part apply for my engines and equipment?
1054.2 Who is responsible for compliance?
1054.5 Which nonroad engines are excluded from this part's requirements?
1054.10 How is this part organized?
1054.15 Do any other CFR parts apply to me?
1054.20 What requirements apply to my equipment?
1054.30 Submission of information.

Subpart B_Emission Standards and Related Requirements

1054.101 What emission standards and requirements must my engines meet?
1054.103 What exhaust emission standards must my handheld engines meet?
1054.105 What exhaust emission standards must my nonhandheld engines
meet?
1054.107 What is the useful life period for meeting exhaust emission
standards?
1054.110 What evaporative emission standards must my handheld equipment
meet?
1054.112 What evaporative emission standards must my nonhandheld
equipment meet?
1054.115 What other requirements apply?
1054.120 What emission-related warranty requirements apply to me?
1054.125 What maintenance instructions must I give to buyers?
1054.130 What installation instructions must I give to equipment
manufacturers?
1054.135 How must I label and identify the engines I produce?
1054.140 What is my engine's maximum engine power and displacement?
1054.145 Are there interim provisions that apply only for a limited
time?

Subpart C_Certifying Emission Families

1054.201 What are the general requirements for obtaining a certificate
of conformity?
1054.205 What must I include in my application?
1054.210 May I get preliminary approval before I complete my
application?
1054.220 How do I amend my maintenance instructions?
1054.225 How do I amend my application for certification?
1054.230 How do I select emission families?
1054.235 What testing requirements apply for certification?
1054.240 How do I demonstrate that my emission family complies with
exhaust emission standards?
1054.245 How do I determine deterioration factors from exhaust
durability testing?
1054.250 What records must I keep and what reports must I send to EPA?
1054.255 What decisions may EPA make regarding a certificate of
conformity?

Subpart D_Production-line Testing

1054.300 Applicability.
1054.301 When must I test my production-line engines?
1054.305 How must I prepare and test my production-line engines?
1054.310 How must I select engines for production-line testing?
1054.315 How do I know when my engine family fails the production-line
testing requirements?
1054.320 What happens if one of my production-line engines fails to meet
emission standards?
1054.325 What happens if an engine family fails the production-line
testing requirements?
1054.330 May I sell engines from an engine family with a suspended
certificate of conformity?
1054.335 How do I ask EPA to reinstate my suspended certificate?
1054.340 When may EPA revoke my certificate under this subpart and how
may I sell these engines again?
1054.345 What production-line testing records must I send to EPA?
1054.350 What records must I keep?

Subpart E_In-use Testing

1054.401 General provisions.

Subpart F_Test Procedures

1054.501 How do I run a valid emission test?
1054.505 How do I test engines?
1054.520 What testing must I perform to establish deterioration factors?

Subpart G_Special Compliance Provisions

1054.601 What compliance provisions apply?
1054.610 What is the exemption for delegated final assembly?
1054.612 What special provisions apply for equipment manufacturers
modifying certified nonhandheld engines?
1054.615 What is the exemption for engines certified to standards for
Large SI engines?
1054.620 What are the provisions for exempting engines used solely for
competition?
1054.630 What provisions apply for importation of individual items for
personal use?

[[Page 742]]

1054.635 What special provisions apply for small-volume engine and
equipment manufacturers?
1054.645 What special provisions apply for converting an engine to use
an alternate fuel?
1054.650 What special provisions apply for adding or changing governors?
1054.655 What special provisions apply for installing and removing
altitude kits?
1054.660 What are the provisions for exempting emergency rescue
equipment?
1054.690 What bond requirements apply for certified engines?

Subpart H_Averaging, Banking, and Trading for Certification

1054.701 General provisions.
1054.705 How do I generate and calculate exhaust emission credits?
1054.706 How do I generate and calculate evaporative emission credits?
1054.710 How do I average emission credits?
1054.715 How do I bank emission credits?
1054.720 How do I trade emission credits?
1054.725 What must I include in my application for certification?
1054.730 What ABT reports must I send to EPA?
1054.735 What records must I keep?
1054.740 What special provisions apply for generating and using emission
credits?
1054.745 What can happen if I do not comply with the provisions of this
subpart?

Subpart I_Definitions and Other Reference Information

1054.801 What definitions apply to this part?
1054.805 What symbols, acronyms, and abbreviations does this part use?
1054.815 What provisions apply to confidential information?
1054.820 How do I request a hearing?
1054.825 What reporting and recordkeeping requirements apply under this
part?

Appendix I to Part 1054--Summary of Previous Emission Standards
Appendix II to Part 1054--Duty Cycles for Laboratory Testing

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

Source: 73 FR 59259, Oct. 8, 2008, unless otherwise noted.

Subpart A_Overview and Applicability

Sec. 1054.1 Does this part apply for my engines and equipment?

(a) Except as provided in Sec. 1054.5, the regulations in this part
1054 apply as follows:
(1) The requirements of this part related to exhaust emissions apply
to new, nonroad spark-ignition engines with maximum engine power at or
below 19 kW. This includes auxiliary marine spark-ignition engines.
(2) The requirements of this part related to evaporative emissions
apply as specified in Sec. Sec. 1054.110 and 1054.112 to fuel systems
used with engines subject to exhaust emission standards in this part if
the engines use a volatile liquid fuel (such as gasoline).
(3) This part 1054 applies starting with the model years noted in
the following table:

Table 1 to Sec. 1054.1--Part 1054 Applicability by Model Year

------------------------------------------------------------------------
Engine type Engine displacement Model year
------------------------------------------------------------------------
Handheld........................... all................... 2010
Nonhandheld........................ displacement <225 cc.. 2012
Nonhandheld........................ displacement =225 cc.
------------------------------------------------------------------------

(4) This part 1054 applies for other spark-ignition engines as
follows:
(i) The provisions of Sec. Sec. 1054.620 and 1054.801 apply for new
engines used solely for competition beginning January 1, 2010.
(ii) The provisions of Sec. Sec. 1054.660 and 1054.801 apply for
new engines used in emergency rescue equipment beginning January 1,
2010.
(5) We specify provisions in Sec. Sec. 1054.145(f) and 1054.740
that allow for meeting the requirements of this part before the dates
shown in Table 1 to this section. Engines, fuel-system components, or
equipment certified to the standards in Sec. Sec. 1054.145(f) and
1054.740 are subject to all the requirements of this part as if these
optional standards were mandatory.
(b) Although the definition of nonroad engine in 40 CFR 1068.30
excludes certain engines used in stationary applications, stationary
engines are required under 40 CFR part 60, subpart JJJJ, to comply with
this part starting with the model years shown in Table 1 to this
section.
(c) Engines originally meeting Phase 1 or Phase 2 standards as
specified in appendix I of this part remain subject to those standards.
Those engines remain subject to recall provisions as

[[Page 743]]

specified in 40 CFR part 1068, subpart F, throughout the useful life
corresponding to the original certification. Also, tampering and defeat-
device prohibitions continue to apply for those engines as specified in
40 CFR 1068.101.
(d) The regulations in this part optionally apply to engines with
maximum engine power at or below 30 kW and with displacement at or below
1,000 cubic centimeters that would otherwise be covered by 40 CFR part
1048. See 40 CFR 1048.615 for provisions related to this allowance.
(e) In certain cases, the regulations in this part 1054 apply to
propulsion marine engines that would otherwise be covered by 40 CFR part
1045. See 40 CFR 1045.610 for provisions related to these allowances.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23024, Apr. 30, 2010; 86
FR 34516, June 29, 2021]

Sec. 1054.2 Who is responsible for compliance?

(a) The requirements and prohibitions of this part apply to
manufacturers of engines and equipment, as described in Sec. 1054.1.
The requirements of this part are generally addressed to manufacturers
subject to this part's requirements. The term ``you'' generally means
the certifying manufacturer. For provisions related to exhaust
emissions, this generally means the engine manufacturer, especially for
issues related to certification (including production-line testing,
reporting, etc.). For provisions related to certification with respect
to evaporative emissions, this generally means the equipment
manufacturer. Note that for engines that become new after being placed
into service (such as engines converted from highway or stationary use),
the requirements that normally apply for manufacturers of freshly
manufactured engines apply to the importer or any other entity we allow
to obtain a certificate of conformity.
(b) Equipment manufacturers must meet applicable requirements as
described in Sec. 1054.20. Engine manufacturers that assemble an
engine's complete fuel system are considered to be the equipment
manufacturer with respect to evaporative emissions (see 40 CFR 1060.5).
Note that certification requirements for component manufacturers are
described in 40 CFR part 1060.

[86 FR 34516, June 29, 2021]

Sec. 1054.5 Which nonroad engines are excluded from this part's
requirements?

This part does not apply to the following nonroad engines:
(a) Engines that are certified to meet the requirements of 40 CFR
part 1051 (for example, engines used in snowmobiles and all-terrain
vehicles). Engines that are otherwise subject to 40 CFR part 1051 but
not required to be certified (such as engines exempted under 40 CFR part
1051) are also excluded from this part 1054, unless the regulations in
40 CFR part 1051 specifically require them to comply with the
requirements of this part 1054.
(b) Engines that are certified to meet the requirements of 40 CFR
part 1048, subject to the provisions of Sec. 1054.615.
(c) Propulsion marine engines. See 40 CFR parts 91 and 1045. Note
that the evaporative emission standards of this part also do not apply
with respect to auxiliary marine engines as described in Sec. 1054.20.
(d) Engines used in reduced-scale models of vehicles that are not
capable of transporting a person.

Sec. 1054.10 How is this part organized?

This part 1054 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part
1054 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 engines under this part.
Note that Sec. 1054.145 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
production-line engines.
(e) Subpart E of this part describes general provisions for testing
in-use engines.

[[Page 744]]

(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 and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment manufacturers, owners, operators, rebuilders,
and all others.
(h) Subpart H of this part describes how you may generate and use
exhaust and evaporative emission credits to certify your engines and
equipment.
(i) Subpart I of this part contains definitions and other reference
information.

Sec. 1054.15 Do any other CFR parts apply to me?

(a) Part 1060 of this chapter describes standards and procedures
that apply for controlling evaporative emissions from engines fueled by
gasoline or other volatile liquid fuels and the associated fuel systems.
See Sec. Sec. 1054.110 and 1054.112 for information about how that part
applies.
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1054 describes how to apply the provisions of part 1065
of this chapter to determine whether engines meet the exhaust emission
standards in this part.
(c) The 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 engines subject to this part
1054, or equipment containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment 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) Defect reporting and recall.
(7) Procedures for hearings.
(d) Other parts of this chapter apply if referenced in this part.

Sec. 1054.20 What requirements apply to my equipment?

(a) If you manufacture equipment using engines certified under this
part, your equipment must meet all applicable emission standards with
the engine and fuel system installed.
(b) Except as specified in paragraph (f) of this section, all
equipment subject to the exhaust standards of this part must meet the
evaporative emission standards of 40 CFR part 1060, as described in
Sec. Sec. 1054.110 and 1054.112.
(c) Except as specified in paragraph (f) of this section, you must
identify and label equipment you produce under this section consistent
with the requirements of 40 CFR 1060.135.
(d) You may need to certify your equipment or fuel systems as
described in 40 CFR 1060.1 and 1060.601.
(e) You must follow all emission-related installation instructions
from the certifying manufacturers as described in Sec. 1054.130, 40 CFR
1060.130, and 40 CFR 1068.105. Failure to follow these instructions
subjects you to civil penalties as described in 40 CFR part 1068,
subpart B.
(f) Motor vehicles and marine vessels may contain engines subject to
the exhaust emission standards in this part 1054. Evaporative emission
standards apply to these products as follows:
(1) Marine vessels using spark-ignition engines are subject to the
requirements of 40 CFR part 1045. The vessels are not required to comply
with the evaporative emission standards and related requirements of this
part 1054.
(2) Motor vehicles are subject to the requirements of 40 CFR part
86. They are not required to comply with the evaporative emission
standards and related requirements of this part 1054.

Sec. 1054.30 Submission of information.

Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec. 1054.801). See
Sec. 1054.825 for additional reporting and recordkeeping provisions.

[86 FR 34517, June 29, 2021]

[[Page 745]]

Subpart B_Emission Standards and Related Requirements

Sec. 1054.101 What emission standards and requirements must my
engines meet?

(a) Exhaust emissions. You must show that your engines meet the
following exhaust emission standards, except as specified in paragraphs
(b) through (d) of this section:
(1) Handheld engines must meet the exhaust emission standards in
Sec. 1054.103.
(2) Nonhandheld engines must meet the exhaust emission standards in
Sec. 1054.105.
(3) All engines must meet the requirements in Sec. 1054.115.
(b) Evaporative emissions. Except as specified in Sec. 1054.20, new
equipment using engines that run on a volatile liquid fuel (such as
gasoline) must meet the evaporative emission requirements of 40 CFR part
1060. The requirements of 40 CFR part 1060 that apply are considered
also to be requirements of this part 1054. Marine vessels using
auxiliary marine engines subject to this part must meet the evaporative
emission requirements in 40 CFR 1045.112 instead of the evaporative
emission requirements in this part. We specify evaporative emission
requirements for handheld and nonhandheld equipment separately in
Sec. Sec. 1054.110 and 1054.112.
(c) Wintertime engines. Emission standards regulating HC and
NOX exhaust emissions are optional for wintertime engines.
However, if you certify an emission family to such standards, those
engines are subject to all the requirements of this part as if these
optional standards were mandatory.
(d) Two-stroke snowthrower engines. Two-stroke snowthrower engines
may meet exhaust emission standards that apply to handheld engines with
the same engine displacement instead of the nonhandheld standards that
would otherwise apply.
(e) Relationship between handheld and nonhandheld engines. Any
engines certified to the nonhandheld emission standards in Sec.
1054.105 may be used in either handheld or nonhandheld equipment.
Engines above 80 cc certified to the handheld emission standards in
Sec. 1054.103 may not be used in nonhandheld equipment. 40 CFR 1068.101
prohibits the introduction into commerce or importation of such
nonhandheld equipment except as specified in this paragraph (e). For
purposes of the requirements of this part, engines at or below 80 cc are
considered handheld engines, but may be installed in either handheld or
nonhandheld equipment. These engines are subject to handheld exhaust
emission standards; the equipment in which they are installed are
subject to handheld evaporative emission standards starting with the
model years specified in this part 1054. See Sec. 1054.701(c) for
special provisions related to emission credits for engine families with
displacement at or below 80 cc where those engines are installed in
nonhandheld equipment.
(f) Interim provisions. It is important that you read Sec. 1054.145
to determine if there are other interim requirements or interim
compliance provisions that apply for a limited time.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 68462, Nov. 8, 2010]

Sec. 1054.103 What exhaust emission standards must my handheld
engines meet?

(a) Emission standards. Exhaust emissions from your handheld engines
may not exceed the emission standards in Table 1 to this section.
Measure emissions using the applicable steady-state test procedures
described in subpart F of this part.

Table 1 to Sec. 1054.103--Phase 3 Emission Standards for Handheld
Engines (g/kW-hr)
------------------------------------------------------------------------
HC +
Engine displacement class NOX CO
------------------------------------------------------------------------
Class III............................................. 50 805
Class IV.............................................. 50 805
Class V............................................... 72 603
------------------------------------------------------------------------

[[Page 746]]

limit for each engine family you include in the ABT program. These
family emission limits serve as the emission standards for the engine
family with respect to all required testing instead of the standards
specified in this section. An engine family meets emission standards
even if its family emission limit is higher than the standard, as long
as you show that the whole averaging set of applicable engine families
meets the emission standards using emission credits and the engines
within the family meet the family emission limit. The following FEL caps
are the maximum values you may specify for family emission limits:
(1) 336 g/kW-hr for Class III engines.
(2) 275 g/kW-hr for Class IV engines.
(3) 186 g/kW-hr for Class V engines.
(c) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the emission
family are designed to operate. You must meet the numerical emission
standards for hydrocarbon in this section based on the following types
of hydrocarbon emissions for engines powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(d) Useful life. Your engines must meet the exhaust emission
standards in paragraph (a) of this section over their full useful life
as described in Sec. 1054.107.
(e) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, production-line,
and in-use testing.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34517, June 29, 2021]

Sec. 1054.105 What exhaust emission standards must my nonhandheld
engines meet?

(a) Emission standards. Exhaust emissions from your engines may not
exceed the emission standards in Table 1 to this section. Measure
emissions using the applicable steady-state test procedures described in
subpart F of this part.

Table 1 to Sec. 1054.105--Phase 3 Emission Standards for Nonhandheld
Engines (g/kW-hr)
------------------------------------------------------------------------
CO standard
Primary CO for marine
Engine displacement class HC + NOX standard generator
engines
------------------------------------------------------------------------
Class I.......................... 10.0 610 5.0
Class II......................... 8.0 610 5.0
------------------------------------------------------------------------

(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT) program
for HC + NOX emissions as described in subpart H of this
part. You may not generate or use emission credits for CO emissions. To
generate or use emission credits, you must specify a family emission
limit for each engine family you include in the ABT program. These
family emission limits serve as the emission standards for the engine
family with respect to all required testing instead of the standards
specified in this section. An engine family meets emission standards
even if its family emission limit is higher than the standard, as long
as you show that the whole averaging set of applicable engine families
meets the emission standards using emission credits, and the engines
within the family meet the family emission limit. The following FEL caps
are the maximum values you may specify for family emission limits:
(1) 40.0 g/kW-hr for Class I engines with displacement below 100 cc.
(2) 16.1 g/kW-hr for Class I engines with displacement at or above
100 cc.
(3) 12.1 for Class II engines.
(c) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the emission
family are designed to operate. You must meet the numerical emission
standards for hydrocarbon in this section based on the

[[Page 747]]

following types of hydrocarbon emissions for engines powered by the
following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Natural gas-fueled engines: NMHC emissions.
(3) Other engines: THC emissions.
(d) Useful life. Your engines must meet the exhaust emission
standards in paragraph (a) of this section over their full useful life
as described in Sec. 1054.107.
(e) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, production-line,
and in-use testing.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34517, June 29, 2021]

Sec. 1054.107 What is the useful life period for meeting exhaust
emission standards?

This section describes an engine family's useful life, which is the
period during which engines are required to comply with all emission
standards that apply. The useful life period is five years or a number
of hours of operation, whichever comes first, as described in this
section.
(a) Determine the useful life period for exhaust requirements as
follows:
(1) Except as specified in paragraphs (a)(2) and (3) of this
section, the useful life period for exhaust requirements is the number
of engine operating hours from Table 1 to this section that most closely
matches the expected median in-use life of your engines. The median in-
use life of your engine is the shorter of the following values:
(i) The median in-use life of equipment into which the engine is
expected to be installed.
(ii) The median in-use life of the engine without being scrapped or
rebuilt.

Table 1 to Sec. 1054.107--Nominal Useful Life Periods
----------------------------------------------------------------------------------------------------------------
Nonhandheld
-----------------------------------------------------------------------------------------------------------------
Extended life
Residential residential Commercial
\1\
----------------------------------------------------------------------------------------------------------------
Class I......................................................... 125 250 500
Class II........................................................ 250 500 1,000
----------------------------------------------------------------------------------------------------------------

Handheld
-------------------------------------------------------------------------
Light use Medium use Heavy use
------------------------------------------------------------------------
Class III--V 50 125 300
------------------------------------------------------------------------
\1\ Or ``General Purpose.''

(2) You may select a longer useful life for nonhandheld engines than
that specified in paragraph (a)(1) of this section in 100-hour
increments not to exceed 3,000 hours for Class I engines or 5,000 hours
for Class II engines. For engine families generating emission credits,
you may do this only with our approval. These are considered ``Heavy
Commercial'' engines.
(3) The minimum useful life period for engines with maximum engine
power above 19 kW is 1,000 hours (see Sec. 1054.1(d)).
(b) Keep any available information to support your selection and
make it available to us if we ask for it. We may require you to certify
to a different useful life value from the table if we determine that the
selected useful life value is not justified by the data. We may consider
any relevant information, including your product warranty statements and
marketing materials regarding engine life, in making this determination.
We may void your certificate if we determine that you intentionally
selected an incorrect value. Support your selection based on any of the
following information:
(1) Surveys of the life spans of the equipment in which the subject
engines are installed.
(2) Engineering evaluations of field aged engines to ascertain when
engine performance deteriorates to the point where usefulness and/or
reliability is impacted to a degree sufficient to necessitate overhaul
or replacement.

[[Page 748]]

(3) Failure reports from engine customers.
(4) Engineering evaluations of the durability, in hours, of specific
engine technologies, engine materials, or engine designs.

Sec. 1054.110 What evaporative emission standards must my handheld
equipment meet?

The following evaporative emission requirements apply for handheld
equipment over a useful life of five years:
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements for EPA Nonroad Fuel Lines or EPA Cold-Weather
Fuel Lines as specified in 40 CFR 1060.102. These requirements apply
starting in the 2012 model year, except that they apply starting in the
2013 model year for emission families involving small-volume emission
families that are not used in cold-weather equipment. For fuel lines
used in cold-weather equipment, you may generate or use emission credits
to show compliance with these permeation standards through 2015 as
described in Sec. 1054.145(h).
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. The requirements in 40 CFR
1060.103 apply for handheld equipment starting in the 2010 model year,
except that they apply starting in the 2011 model year for structurally
integrated nylon fuel tanks, in the 2012 model year for handheld
equipment using nonhandheld engines, and in the 2013 model year for all
small-volume emission families. For nonhandheld equipment using engines
at or below 80 cc, the requirements of this paragraph (b) apply starting
in the 2012 model year. You may generate or use emission credits to show
compliance with the requirements of this paragraph (b) under the
averaging, banking, and trading program as described in subpart H of
this part. FEL caps apply as specified in Sec. 1054.112(b)(1) through
(3) starting in the 2015 model year.
(c) Running loss. The running loss requirements specified in 40 CFR
part 1060 do not apply for handheld equipment.
(d) Other requirements. The provisions of 40 CFR 1060.101(e) and (f)
include general requirements that apply to all nonroad equipment subject
to evaporative emission standards.
(e) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34517, June 29, 2021]

Sec. 1054.112 What evaporative emission standards must my nonhandheld
equipment meet?

The evaporative emission requirements of this section apply starting
in the 2011 model year for equipment using Class II engines and in the
2012 model year for equipment using Class I engines over a useful life
of five years. See Sec. 1054.110 for requirements that apply for
nonhandheld equipment using engines at or below 80 cc.
(a) Fuel line permeation. Nonmetal fuel lines must meet the
permeation requirements for EPA Nonroad Fuel Lines as specified in 40
CFR 1060.102.
(b) Tank permeation. Fuel tanks must meet the permeation
requirements specified in 40 CFR 1060.103. Equipment manufacturers may
generate or use emission credits to show compliance with the
requirements of this paragraph (b) under the averaging, banking, and
trading program as described in subpart H of this part. Starting in the
2014 model year for Class II equipment and in the 2015 model year for
Class I equipment, the following FEL caps represent the maximum values
for family emission limits that you may use for your fuel tanks:
(1) Except as specified in paragraphs (b)(2) of this section, you
may not use fuel tanks with a family emission limit that exceeds 5.0 g/
m\2\/day for testing at a nominal temperature of 28 [deg]C, or 8.3 g/
m\2\/day for testing at a nominal temperature of 40 [deg]C.
(2) For small-volume emission families, you may not use fuel tanks
with a family emission limit that exceeds 8.0 g/m\2\/day for testing at
a nominal temperature of 28 [deg]C, or 13.3 g/m\2\/day for testing at a
nominal temperature of 40 [deg]C.

[[Page 749]]

(3) FEL caps do not apply to fuel caps that are certified separately
to meet permeation standards.
(c) Running loss. Running loss requirements apply as specified in 40
CFR 1060.104.
(d) Diurnal emissions. Nonhandheld equipment may optionally be
certified to the diurnal emission standards specified in 40 CFR
1060.105, in which case the permeation standards specified in paragraphs
(a) and (b) of this section do not apply.
(e) Other requirements. The provisions of 40 CFR 1060.101(e) and (f)
include general requirements that apply to all nonroad equipment subject
to evaporative emission standards.
(f) Engine manufacturers. To the extent that engine manufacturers
produce engines with fuel lines or fuel tanks, those fuel-system
components must meet the requirements specified in this section. The
timing of new standards is based on the date of manufacture of the
engine.

[73 FR 59259, Oct. 8, 2008, as amended at 73 FR 73789, Dec. 4, 2008]

Sec. 1054.115 What other requirements apply?

The following requirements apply with respect to engines that are
required to meet the emission standards of this part:
(a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
(1) Snowthrower engines 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 the following things:
(i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
(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. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. We may require that you set adjustable
parameters to any specification within the adjustable range during any
testing, including certification testing, production-line testing, or
in-use testing. You may ask us to limit idle-speed or carburetor
adjustments to a smaller range than the physically adjustable range if
you show us that the engine will not be adjusted outside of this smaller
range during in-use operation without significantly degrading engine
performance.
(c) Altitude adjustments. Engines must meet applicable emission
standards for valid tests conducted under the ambient conditions
specified in 40 CFR 1065.520. Except as specified in Sec. 1054.145(c),
engines must meet applicable emission standards at all specified
atmospheric pressures, except that for atmospheric pressures below 94.0
kPa you may rely on an altitude kit for all testing if you meet the
requirements specified in Sec. 1054.205(r). If you rely on an altitude
kit for certification, you must identify in the owners manual the
altitude range for which you expect proper engine performance and
emission control with and without the altitude kit; you must also state
in the owners manual that operating the engine with the wrong engine
configuration at a given altitude may increase its emissions and
decrease fuel efficiency and performance. See Sec. 1054.145(c) for
special provisions that apply for handheld engines.
(d) Prohibited controls. You may not design your engines 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 engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.

[[Page 750]]

(e) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that the
engine may reasonably be expected to encounter during normal operation
and use. This does not apply for altitude kits installed or removed
consistent with Sec. 1054.655. This also does not apply to auxiliary
emission control devices you identify in your application for
certification if any of the following is true:
(1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.

Sec. 1054.120 What emission-related warranty requirements apply to me?

The requirements of this section apply to the manufacturer
certifying with respect to exhaust emissions. See 40 CFR part 1060 for
the warranty requirements related to evaporative emissions.
(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new engine, 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. Your emission-related warranty must be valid
during the periods specified in this paragraph (b). You may offer an
emission-related warranty more generous than we require. The emission-
related warranty for the engine may not be shorter than any published
warranty you offer without charge for the engine. Similarly, the
emission-related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If an
engine has no hour meter, we base the warranty periods in this paragraph
(b) only on the engine's age (in years). The warranty period begins on
the date of sale to the ultimate purchaser. The minimum warranty periods
are as follows:
(1) The minimum warranty period is two years except as allowed under
paragraph (b)(2) or (3) of this section.
(2) We may establish a shorter warranty period for handheld engines
subject to severe service in seasonal equipment if we determine that
these engines are likely to operate for a number of hours greater than
the applicable useful life within 24 months. You must request this
shorter warranty period in your application for certification or in an
earlier submission.
(3) For engines equipped with hour meters, you may deny warranty
claims for engines that have accumulated a number of hours greater than
50 percent of the applicable useful life.
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including 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 these components even if
another company produces the component. Your emission-related warranty
does not need to cover components whose failure would not increase an
engine'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.
(e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.
Include instructions for obtaining warranty service consistent with the
requirements of paragraph (f) of this section.
(f) Requirements related to warranty claims. You are required at a
minimum to meet the following conditions to ensure that owners will be
able to promptly obtain warranty repairs:
(1) You must provide and monitor a toll-free telephone number and an
e-

[[Page 751]]

mail address for owners to receive information about how to make a
warranty claim, and how to make arrangements for authorized repairs.
(2) You must provide a source of replacement parts within the United
States. For parts that you import, this requires you to have at least
one distributor within the United States.
(3) You must use one of the following methods to show that you will
generally be able to honor warranty claims:
(i) If you have authorized service centers in all U.S. population
centers with a population of 100,000 or more based on the 2000 census,
you may limit warranty repairs to these service providers.
(ii) You may limit warranty repairs to authorized service centers
for owners located within 100 miles of an authorized service center. For
owners located more than 100 miles from an authorized service center,
you must state in your warranty that you will either pay for shipping
costs to and from an authorized service center, provide for a service
technician to come to the owner to make the warranty repair, or pay for
the repair to be made at a local nonauthorized service center. The
provisions of this paragraph (f)(3)(ii) apply only for the contiguous
states, excluding the states with high-altitude areas identified in 40
CFR part 1068, Appendix III.
(iii) You may use the approach described in paragraphs (f)(3)(i) of
this section for some states and the approach described in paragraph
(f)(3)(ii) of this section for other states. However, you must have at
least one authorized service center in each state unless the whole state
is within 100 miles of authorized service centers in other states.
(4) If your plan for meeting the requirements of this paragraph (f)
does not include at least 100 authorized repair facilities in the United
States or at least one such facility for each 5,000 engines you sell in
the United States, you must also post a bond as described in Sec.
1054.690 to ensure that you will fulfill your warranty-repair
responsibilities even if you are not obligated to post a bond under that
section. Note that you may post a single bond to meet the requirements
of this section and Sec. 1054.690.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34517, June 29, 2021]

Sec. 1054.125 What maintenance instructions must I give to buyers?

[[Page 752]]

degradation in emission control for engines that do not have their fuel
injectors replaced.
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
(iv) You otherwise show us that the maintenance is reasonably likely
to be done at the recommended intervals.
(2) You may schedule cleaning or changing air filters or changing
spark plugs at the least frequent interval described in the owners
manual. See Sec. 1054.245 for testing requirements related to these
maintenance steps.
(3) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph (b) or
(c) of this section.
(4) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(3) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
(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 engines from in-use testing or deny a warranty
claim. Do not take these maintenance steps during service accumulation
on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are addressing.
You may also address maintenance of low-use engines (such as
recreational or stand-by engines) by specifying the maintenance interval
in terms of calendar months or years in addition to your specifications
in terms of engine operating hours. All special maintenance instructions
must be consistent with good engineering judgment. We may disapprove
your maintenance instructions if we determine that you have specified
special maintenance steps to address engine operation that is not
atypical, or that the maintenance is unlikely to occur in use. For
example, this paragraph (c) does not allow you to design engines that
require special maintenance for a certain type of expected operation. 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 (i.e., 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 re-seating valves,
removing combustion chamber deposits, or any other emission-related
maintenance on the components we specify in 40 CFR part 1068, Appendix I
that is not covered in paragraph (a) of this section. You must state in
the owners manual that these steps are not necessary to keep the
emission-related warranty valid. If operators fail to do this
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim. Do not take these inspection or

[[Page 753]]

maintenance steps during service accumulation on your emission-data
engines.
(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
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing fuel or oil filters,
servicing engine-cooling systems, and adjusting idle speed, governor,
engine bolt torque, valve lash, or injector lash. You may not perform
this nonemission-related maintenance on emission-data engines more often
than the least frequent intervals that you recommend to the ultimate
purchaser.
(f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that the
engine 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 engine will work properly only with the identified
component or service.
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
(1) Each affected component was not in general use on similar
engines before 1997.
(2) The primary function of each affected component is to reduce
emissions.
(3) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
(h) Owners manual. Explain the owner's responsibility for proper
maintenance in the owners manual.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23024, Apr. 30, 2010; 86
FR 34517, June 29, 2021]

Sec. 1054.130 What installation instructions must I give to equipment
manufacturers?

(a) If you sell an engine for someone else to install in a piece of
equipment, 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 the 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 piece of equipment violates federal law (40 CFR
1068.105(b)), subject to fines or other penalties as described in the
Clean Air Act.''
(3) Describe the instructions needed to properly install the exhaust
system and any other components. Include instructions consistent with
the requirements of Sec. 1054.655 related to altitude kits.
(4) Describe the steps needed to control evaporative emissions in
accordance with certificates of conformity that you hold. Include
instructions for connecting fuel lines as needed to prevent running loss
emissions, if applicable. Such instructions must include sufficient
detail to ensure that running loss control will not cause the engine to
exceed exhaust emission standards. For example, you may specify a
maximum vapor flow rate under normal operating conditions. Also include
notification that the installer must meet the requirements of Sec.
1054.112 and 40 CFR part 1060.
(5) Describe how your certification is limited for any type of
application. For example, if you certify engines only for

[[Page 754]]

rated-speed applications, tell equipment manufacturers that the engine
must not be installed in equipment involving intermediate-speed
operation. Also, if your wintertime engines are not certified to the
otherwise applicable HC+NOX standards in this subpart, tell
equipment manufacturers that the engines must be installed in equipment
that is used only in wintertime.
(6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. For example, this may include specified
limits for catalyst systems, such as exhaust backpressure, catalyst
location, and temperature profiles during engine operation.
(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 equipment,
as described in 40 CFR 1068.105.''
(c) You do not need installation instructions for engines you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation requirements.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34517, June 29, 2021]

Sec. 1054.135 How must I label and identify the engines I produce?

The provisions of this section apply to engine manufacturers.
(a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
(1) Attached in one piece so it is not removable without being
destroyed or defaced.
(2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
(3) Durable and readable for the engine's entire life.
(4) Written in English.
(c) The label must conform to the following specifications without
exception:
(1) Include the heading ``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 emission family
(and subfamily, where applicable).
(4) State the following based on the useful life requirements in
Sec. 1054.107: ``EMISSION COMPLIANCE PERIOD = [identify applicable
useful life period] HOURS''. In addition to specifying the hours, you
may optionally add the descriptive terms specified in Sec. 1054.107(a)
to characterize the useful life. You may use the term Heavy Commercial
for nonhandheld engines if you establish a longer useful life under
Sec. 1054.107(a)(2).
(5) State the engine's displacement (in cubic centimeters); however,
you may omit this from the label if all the engines in the emission
family have the same per-cylinder displacement and total displacement.
(6) State the date of manufacture [DAY (optional), MONTH, and YEAR];
however, you may omit this from the label if you stamp, engrave, or
otherwise permanently identify it elsewhere on the engine, in which case
you must also describe in your application for certification where you
will identify the date on the engine.
(7) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
(8) Include one of the following statements:
(i) If you are an integrated equipment manufacturer certifying
engines with respect to exhaust emissions and meeting all applicable
evaporative emission requirements under 40 CFR part 1060, state--

[[Page 755]]

``THIS ENGINE MEETS U.S. EPA EXH/EVP REGS FOR [MODEL YEAR].''
(ii) In all other cases, state--
``THIS ENGINE MEETS U.S. EPA EXH REGS FOR [MODEL YEAR].''
(d) The following information may be included on the label or in the
owners manual:
(1) List specifications and adjustments for engine tuneups.
(2) Identify the altitude at which an altitude kit should be
installed if you specify an altitude kit under Sec. 1054.115(c).
(3) Identify the fuel type and any requirements for fuel and
lubricants.
(4) If your nonhandheld engines are certified for use only at rated
speed or only at intermediate speed, add the statement: ``CERTIFIED FOR
[rated-speed or intermediate-speed] APPLICATIONS ONLY'' or ``CERTIFIED
FOR [identify nominal engine speed or range of speeds for testing]
OPERATION ONLY''.
(e) You may add information to the emission control information
label as follows:
(1) You may identify other emission standards that the engine meets
or does not meet (such as California standards), as long as this does
not cause you to omit any of the information described in paragraph (c)
of this section. 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 engine 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.
(f) Except for the labeling requirements specified in paragraph (c)
of this section, you may ask us to approve modified labeling
requirements in this part 1054 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.
(g) If others install your engine in their equipment in a way that
obscures the engine label such that the label cannot be read during
normal maintenance, we require them to add a duplicate label on the
equipment (see 40 CFR 1068.105). If equipment manufacturers request it,
send them labels that include all the information from the original
label and that are clearly identified as duplicate labels. You may omit
the date of manufacture from the duplicate label. Keep a written record
of each request for five years after it is no longer needed for ongoing
production.
(h) Integrated equipment manufacturers certifying their engines and
equipment with respect to both exhaust and evaporative emission
standards may meet labeling requirements with a single label that has
all the required information specified in this section and in 40 CFR
1060.135.

[73 FR 59259, Oct. 8, 2008, as amended at 80 FR 9114, Feb. 19, 2015; 86
FR 34518, June 29, 2021]

Sec. 1054.140 What is my engine's maximum engine power and displacement?

This section describes how to quantify your engine's maximum engine
power and displacement for the purposes of this part.
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest 0.1 kilowatts for nonhandheld engines and to the nearest 0.01
kilowatts for handheld engines. The nominal power curve of an engine
configuration is the relationship between maximum available engine brake
power and engine speed for an engine, using the mapping procedures of 40
CFR part 1065, based on the manufacturer's design and production
specifications for the engine. For handheld engines, we may allow
manufacturers to base the nominal power curve on other mapping
procedures, consistent with good engineering judgment. This information
may also be expressed by a torque curve that relates maximum available
engine torque with engine speed. Note that maximum engine power is based
on engines and installed engine governors; equipment

[[Page 756]]

designs that further limit engine operation do not change maximum engine
power.
(b) An engine configuration's displacement is the intended swept
volume of all the engine's cylinders. The swept volume of the engine is
the product of the internal cross-section area of the cylinders, the
stroke length, and the number of cylinders. Calculate the engine's
intended swept volume from the design specifications for the cylinders
using enough significant figures to allow determination of the
displacement to the nearest 0.1 cc. Determine the final value by
rounding to the nearest cubic centimeter. For example, for a one-
cylinder engine with circular cylinders having an internal diameter of
6.00 cm and a 6.25 cm stroke length, the rounded displacement would be:
(1) x (6.00/2) \2\ x ([pi]) x (6.25) = 177 cc.
(c) The nominal power curve and intended swept volume must be within
the range of the actual power curves and swept volumes of production
engines considering normal production variability. If after production
begins it is determined that either your nominal power curve or your
intended swept volume does not represent production engines, we may
require you to amend your application for certification under Sec.
1054.225.

Sec. 1054.145 Are there interim provisions that apply only for a
limited time?

The interim provisions in this section apply instead of other
provisions in this part. This section describes how and when these
interim provisions apply.
(a)-(b) [Reserved]
(c) Special provisions for handheld engines. Handheld engines
subject to Phase 3 emission standards must meet the standards at or
above barometric pressures of 96.0 kPa in the standard configuration and
are not required to meet emission standards at lower barometric
pressures. This is intended to allow testing under most weather
conditions at all altitudes up to 1,100 feet above sea level. In your
application for certification, identify the altitude above which you
rely on an altitude kit and describe your plan for making information
and parts available such that you would reasonably expect that altitude
kits would be widely used at all such altitudes.
(d) Alignment of model years for exhaust and evaporative standards.
Evaporative emission standards generally apply based on the model year
of the equipment, which is determined by the equipment's date of final
assembly. However, in the first year of new emission standards,
equipment manufacturers may apply evaporative emission standards based
on the model year of the engine as shown on the engine's emission
control information label. For example, for the fuel line permeation
standards starting in 2012, equipment manufacturers may order a batch of
2011 model year engines for installation in 2012 model year equipment,
subject to the anti-stockpiling provisions of 40 CFR 1068.105(a). The
equipment with the 2011 model year engines would not need to meet fuel
line permeation standards, as long as the equipment is fully assembled
by December 31, 2012.
(e) [Reserved]
(f) Early banking for evaporative emission standards--handheld
equipment manufacturers. You may earn emission credits for handheld
equipment you produce before the evaporative emission standards of Sec.
1054.110 apply. To do this, your equipment must use fuel tanks with a
family emission limit below 1.5 g/m2/day (or 2.5 g/m2/day for testing at
40 [deg]C). Calculate your credits as described in Sec. 1054.706 based
on the difference between the family emission limit and 1.5 g/m2/day (or
2.5 g/m2/day for testing at 40 [deg]C).
(g) through (i) [Reserved]
(j) Continued use of 40 CFR part 90 test data. You may continue to
use data based on the test procedures that apply for engines built
before the requirements of this part start to apply if we allow you to
use carryover emission data under Sec. 1054.235(d) for your emission
family. You may also use those test procedures for measuring exhaust
emissions for production-line testing with any engine family whose
certification is based on testing with those procedures. For any EPA
testing, we will rely on the procedures described in subpart F of this
part, even if you used carryover data based on older test procedures as
allowed under this paragraph (j).

[[Page 757]]

(k)-(m) [Reserved]
(n) California test fuel. You may perform testing with a fuel
meeting the requirements for certifying the engine in California instead
of the fuel specified in Sec. 1054.501(b)(2), as follows:
(1) You may certify individual engine families using data from
testing conducted with California Phase 2 test fuel through model year
2019. Any EPA testing with such an engine family may use either
California Phase 2 test fuel or the test fuel specified in Sec.
1054.501.
(2) Starting in model year 2013, you may certify individual engine
families using data from testing conducted with California Phase 3 test
fuel. Any EPA testing with such an engine family may use either
California Phase 3 test fuel or the test fuel specified in Sec.
1054.501, unless you certify to the more stringent CO standards
specified in this paragraph (n)(2). If you meet these alternate CO
standards, we will also use California Phase 3 test fuel for any testing
we perform with engines from that engine family. The following alternate
CO standards apply instead of the CO standards specified in Sec.
1054.103 or Sec. 1054.105:

Table 1 to Sec. 1054.145--Alternate CO Standards for Testing With
California Phase 3 Test Fuel
[g/kW-hr]
------------------------------------------------------------------------
Alternate CO
Engine type standard
------------------------------------------------------------------------
Class I................................................. 549
Class II................................................ 549
Class III............................................... 536
Class IV................................................ 536
Class V................................................. 536
Marine generators....................................... 4.5
------------------------------------------------------------------------

[86 FR 34518, June 29, 2021]

Subpart C_Certifying Emission Families

Sec. 1054.201 What are the general requirements for obtaining a certificate
of conformity?

Engine manufacturers must certify their engines with respect to the
exhaust emission standards in this part. Manufacturers of engines,
equipment, or fuel-system components may need to certify their products
with respect to evaporative emission standards as described in 40 CFR
1060.1 and 1060.601. The following general requirements apply for
obtaining a certificate of conformity:
(a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date but it is not valid for any
production after December 31 of the model year for which it is issued.
No certificate will be issued after December 31 of the model year. If
you certify with respect to both exhaust and evaporative emissions, you
must submit separate applications.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1054.255).
(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. 1054.250.
(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. 1054.255 for provisions describing how we will process
your application.
(g) We may require you to deliver your test engines to a facility we
designate for our testing (see Sec. 1054.235(c)).
(h) For engines that become new after being placed into service,
such as engines converted to run on a different fuel, we may specify
alternate certification provisions consistent with the intent of this
part. See Sec. 1054.645 and the definition of ``new nonroad engine'' in
Sec. 1054.801.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]

Sec. 1054.205 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.
1054.201(c). We may require you to provide additional information to
evaluate your application. The provisions of this section apply to

[[Page 758]]

integrated equipment manufacturers and engine manufacturers selling
loose engines. Nonintegrated equipment manufacturers must follow the
requirements of 40 CFR part 1060.
(a) Describe the emission family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, all-
season gasoline). List each distinguishable engine configuration in the
emission family. For each engine configuration in which the maximum
modal power of the emission-data engine is at or above 25 kW (or power
at or above 15 kW if displacement is above 1000 cc), list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1054.140.
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls and show how your design will prevent
running loss emissions, if applicable. Also describe in detail all
system components for controlling exhaust 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 (b),
treat as separate AECDs any devices that modulate or activate
differently from each other. Include sufficient detail to allow us to
evaluate whether the AECDs are consistent with the defeat device
prohibition of Sec. 1054.115. For example, if your engines will
routinely experience in-use operation that differs from the specified
duty cycle for certification, describe how the fuel-metering system
responds to varying speeds and loads not represented by the duty cycle.
If you test an emission-data engine by disabling the governor for full-
load operation such that the engine operates at an air-fuel ratio
significantly different than under full-load operation with an installed
governor, explain why these differences are necessary or appropriate.
For conventional carbureted engines without electronic fuel controls, it
is sufficient to state that there is no significant difference in air-
fuel ratios.
(c) [Reserved]
(d) Describe the engines, equipment, and fuel system components you
selected for testing and the reasons for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used. For
handheld engines, describe how you selected the value for rated speed.
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the emission family's useful life. Describe the basis
for selecting useful life values with respect to exhaust emissions (see
Sec. 1054.107).
(i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec. 1054.120
and 1054.125). Describe your basis for meeting the warranty-assurance
provisions in Sec. 1054.120(f). Describe your recall repair network if
it is different than your warranty repair network. State that you will
post a bond as specified in Sec. 1054.120(f) and 1054.690 or describe
why those requirements do not apply.
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in nonroad equipment (see
Sec. 1054.130).
(k) Describe your emission control information label (see Sec.
1054.135).
(l) Identify the emission standards or FELs for the emission family.
(m) Identify the emission family's deterioration factors and
describe how you developed them (see Sec. 1054.245). Present any
emission test data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.

[[Page 759]]

(o) Present emission data to show that you meet exhaust emission
standards, as follows:
(1) Present emission data for hydrocarbon (such as THC, THCE, or
NMHC, as applicable), NOX, and CO on an emission-data engine
to show your engines meet the applicable exhaust emission standards as
specified in Sec. 1054.101. Show emission figures before and after
applying deterioration factors for each engine. Include test data from
each applicable duty cycle specified in Sec. 1054.505(b). If we specify
more than one grade of any fuel type (for example, low-temperature and
all-season gasoline), you need to submit test data only for one grade,
unless the regulations of this part specify otherwise for your engine.
(2) Note that Sec. Sec. 1054.235 and 1054.245 allow you to submit
an application in certain cases without new emission data.
(p) Report test results as follows:
(1) Report all valid test results involving measurement of
pollutants for which emission standards apply. Also indicate whether
there are test results from invalid tests or from any other tests of the
emission-data engine, whether or not they were conducted according to
the test procedures of subpart F of this part. We may require you to
report these additional test results. We may ask you to send other
information to confirm that your tests were valid under the requirements
of this part and 40 CFR parts 1060 and 1065.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1054.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(q) Describe all adjustable operating parameters (see Sec.
1054.115(b)), including production tolerances. 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 engines to settings outside your intended
physically adjustable ranges.
(r) Describe how your nonhandheld engines comply with emission
standards at varying atmospheric pressures. Include a description of
altitude kits you design to comply with the requirements of Sec.
1054.115(c). Identify the part number of each component you describe.
Identify the altitude range for which you expect proper engine
performance and emission control with and without the altitude kit.
State that your engines will comply with applicable emission standards
throughout the useful life with the altitude kit installed according to
your instructions. Describe any relevant testing, engineering analysis,
or other information in sufficient detail to support your statement. In
addition, describe your plan for making information and parts available
such that you would reasonably expect that altitude kits would be widely
used in the high-altitude counties specified in 40 CFR part 1068,
Appendix III. For example, engine owners should have ready access to
information describing when an altitude kit is needed and how to obtain
this service. Similarly, parts and service information should be
available to qualified service facilities in addition to authorized
service centers if that is needed for owners to have such altitude kits
installed locally.
(s) If your engines are subject to handheld emission standards on
the basis of meeting weight limitations described in the definition of
``handheld'' in Sec. 1054.801, describe your analysis showing that you
meet the applicable weight-related restrictions.
(t) State whether your certification is limited for certain engines.
If this is the case, describe how you will prevent use of these engines
in applications for which they are not certified. This applies for
engines such as the following:
(1) Wintertime engines not certified to the specified HC +
NOX standard.
(2) Two-stroke snowthrower engines using the provisions of Sec.
1054.101(d).
(u) Unconditionally certify that all the engines in the emission
family comply with the requirements of this part, other referenced parts
of the CFR, and the Clean Air Act.

[[Page 760]]

(v) Provide the following information about your plans for producing
and selling engines:
(1) Identify the estimated initial and final dates for producing
engines from the engine family for the model year.
(2) Identify the estimated date for initially introducing certified
engines into U.S. commerce under this certificate.
(3) Include good-faith estimates of U.S.-directed production
volumes. Include a justification for the estimated production volumes if
they are substantially different than actual production volumes in
earlier years for similar models. Also indicate whether you expect the
engine family to contain only nonroad engines, only stationary engines,
or both.
(w) State that you will post a bond as specified in Sec. 1054.690
or describe why those requirements do not apply.
(x) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1054.725 if you
participate in the ABT program and include the information required by
Sec. 1054.690 if you need to post a bond under that section.
(y) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
(z) 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.
(aa) For imported engines or equipment, identify the following:
(1) The port(s) at which you have imported your engines (or
equipment containing your engines) over the previous 12 months.
(2) The names and addresses of the agents you have authorized to
import your engines or equipment.
(3) 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.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009; 75
FR 23025, Apr. 30, 2010; 86 FR 34518, June 29, 2021]

Sec. 1054.210 May I get preliminary approval before I complete my
application?

If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to emission family definitions, auxiliary emission
control devices, deterioration factors, useful life, testing for service
accumulation, maintenance, and delegated final assembly. 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 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. 1054.220 How do I amend my maintenance instructions?

[[Page 761]]

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
engines 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).

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010; 86
FR 34519, June 29, 2021]

Sec. 1054.225 How do I amend my application for certification?

Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine or fuel-system
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 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 included in your application.
(a) You must amend your application before you take any of the
following actions:
(1) Add an engine or fuel-system configuration to an emission
family. In this case, the configuration added must be consistent with
other configurations in the emission family with respect to the criteria
listed in Sec. 1054.230.
(2) Change a configuration already included in an emission 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 for an emission family with respect to exhaust
emissions as described in paragraph (f) of this section.
(b) To amend your application for certification, send the following
relevant information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the model or
configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended
emission family complies with all applicable requirements in this part.
You may do this by showing that the original emission-data engine or
emission-data equipment is still appropriate for showing that the
amended family complies with all applicable requirements in this part.
(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 emission families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your new or modified configuration. You may ask for a
hearing if we deny your request (see Sec. 1054.820).
(e) For emission families already covered by a certificate of
conformity, you may start producing the new or modified configuration
anytime after you send us your amended application and before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected configurations do not meet applicable requirements, we
will notify you to cease production of the configurations and may
require you to recall the engine or equipment at no expense to the
owner. Choosing to produce engines under this paragraph (e) is deemed to
be consent

[[Page 762]]

to recall all engines or equipment 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 engine
or equipment.
(f) You may ask us to approve a change to your FEL with respect to
exhaust emissions in certain cases after the start of production. The
changed FEL may not apply to engines you have already introduced into
U.S. commerce, except as described in this paragraph (f). If we approve
a changed FEL after the start of production, you must identify the month
and year for applying the new FEL. 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 emission 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 engine, 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 engines showing that emissions are
below the proposed lower FEL. The lower FEL does not apply to engines
you produce before the new FEL starts to apply, as specified in this
paragraph (f). 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 59259, Oct. 8, 2008, as amended at 86 FR 34519, June 29, 2021]

Sec. 1054.230 How do I select emission families?

[[Page 763]]

an engine family may not include engines certified to different family
emission limits, though you may change family emission limits without
recertifying as specified in Sec. 1054.225.
(10) Useful life.
(c) You may subdivide a group that is identical under paragraph (b)
of this section into different emission families if you show the
expected emission characteristics are different during the useful life.
(d) You may group engines that are not identical with respect to the
things listed in paragraph (b) of this section into the same emission
family, as follows:
(1) In unusual circumstances, you may group such engines into the
same emission family if you show that their emission characteristics
during the useful life will be similar.
(2) If you are a small-volume engine manufacturer, you may group any
nonhandheld engines with the same useful life that are subject to the
same emission standards into a single emission family.
(3) The provisions of this paragraph (d) do not exempt any engines
from meeting all the applicable standards and requirements in subpart B
of this part.
(e) Select test engines from the emission family as described in 40
CFR 1065.401.
(f) You may combine engines from different classes into a single
emission family under paragraph (d)(1) of this section if you certify
the emission family to the more stringent set of standards from the two
classes in that model year.
(g) You may certify dual-fuel or flexible-fuel engines in a single
engine family. You may include dedicated-fuel versions of this same
engine model in the same engine family, as long as they are identical to
the engine configuration with respect to that fuel type for the dual-
fuel or flexible-fuel version of the engine. For example, if you produce
an engine that can alternately run on gasoline and natural gas, you can
include the gasoline-only and natural gas-only versions of the engine in
the same engine family as the dual-fuel engine if engine operation on
each fuel type is identical with or without installation of components
for operating on the other fuel.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010]

Sec. 1054.235 What testing requirements apply for certification?

This section describes the exhaust emission testing you must perform
to show compliance with the emission standards in Sec. Sec. 1054.103
and 1054.105. See Sec. Sec. 1054.240 and 1054.245 and 40 CFR part 1065,
subpart E, regarding service accumulation before emission testing.
(a) Select an emission-data engine from each engine family for
testing as described in 40 CFR 1065.401. Select a configuration and set
adjustable parameters in a way that is most likely to exceed the
HC+NOX standard in subpart B of this part, using good
engineering judgment. Configurations must be tested as they will be
produced, including installed governors, if applicable.
(b) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part. In the case of dual-fuel
engines, measure emissions when operating with each type of fuel for
which you intend to certify the engine. In the case of flexible-fuel
engines, measure emissions when operating with the fuel mixture that is
most likely to cause the engine to exceed the applicable
HC+NOX emission standard, though you may ask us to instead
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 engines or other engines from the emission
family, as follows:
(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

[[Page 764]]

possible and make available the instruments, personnel, and equipment we
need.
(2) If we measure emissions on one of your engines, the results of
that testing become the official emission results for the engine.
(3) We may set the adjustable parameters of your engine to any point
within the physically adjustable ranges (see Sec. 1054.115(b)).
(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, we may calibrate it within normal
production tolerances 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. 1054.801)
because it is permanently sealed.
(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 emission family from the previous model year differs from
the current emission family only with respect to model year, items
identified in Sec. 1054.225(a), or other characteristics unrelated to
emissions. We may waive this paragraph (d)(1) 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 of this part that apply to the emission family covered by
the application for certification.
(e) We may require you to test another engine of the same or
different configuration in addition to the engine(s) tested under
paragraph (b) 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.
(g) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065
starting in the 2011 and 2012 model years, respectively. Also measure
N2O with each low-hour certification test using the
procedures specified in 40 CFR part 1065 starting in the 2013 model year
for any engine family that depends on NOx aftertreatment to meet
emission standards. Small-volume engine manufacturers 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 each constituent. Round the final values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr.
(2) Round N2O to the nearest 0.001 g/kW-hr.
(3) Round CH4 to the nearest 0.001 g/kW-hr.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009; 86
FR 34519, June 29, 2021]

Sec. 1054.240 How do I demonstrate that my emission family complies
with exhaust emission standards?

(a) For purposes of certification, your emission family is
considered in compliance with the emission standards in Sec.
1054.101(a) if all emission-data engines representing that family have
test results showing official emission results and deteriorated emission
levels at or below these standards. This paragraph (a) also applies for
all test points for emission-data engines within the family used to
establish deterioration factors. Note that your FELs are considered to
be the applicable emission standards with which you must comply if you
participate in the ABT program in subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data
engine 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 in subpart B of this part. This
paragraph (b) also applies for all test points for emission-data engines
within the family used to establish deterioration factors.
(c) Determine a deterioration factor to compare emission levels from
the emission-data engine with the applicable emission standards in
subpart B of this part. Section 1054.245 specifies how

[[Page 765]]

to test engines to develop deterioration factors that represent the
expected deterioration in emissions over your engines' full useful life.
Calculate a multiplicative deterioration factor as described in Sec.
1054.245(b). If the deterioration factor is less than one, use one.
Specify the deterioration factor to one more significant figure than the
emission standard. In the case of dual-fuel and flexible-fuel engines,
apply deterioration factors separately for each fuel type. You may use
assigned deterioration factors that we establish for up to 10,000
nonhandheld engines from small-volume emission families in each model
year, except that small-volume engine manufacturers may use assigned
deterioration factors for any or all of their engine families.
(d) Determine the official emission result for each pollutant to at
least one more decimal place than the applicable standard in subpart B
of this part. Apply the deterioration factor to the official emission
result, as described in Sec. 1054.245(b), 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. In the case of HC+NOX standards, add
the official emission results and apply the deterioration factor to the
sum of the pollutants before rounding. However, if your deterioration
factors are based on emission measurements that do not cover the
engine's full useful life, apply deterioration factors to each pollutant
and then add the results before rounding.
(e) The provisions of this paragraph (e) apply only for engine
families with a useful life at or below 300 hours. To apply the
deterioration factor to engines other than the original emission-data
engine, they must be operated for the same number of hours before
starting emission measurements that you used for the original emission-
data engine, within one hour. For example, if the original emission-data
engine operated for 8 hours before the low-hour emission test, operate
the other test engines for 7 to 9 hours before starting emission
measurements.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34520, June 29, 2021]

Sec. 1054.245 How do I determine deterioration factors from exhaust
durability testing?

[[Page 766]]

may ask us to approve a different fuel mixture for flexible-fuel engines
if you demonstrate that a different criterion is more appropriate. For
dual-fuel engines, you must measure emissions on each fuel type at each
test point, either with separate engines dedicated to a given fuel, or
with different configurations of a single engine.
(4) You may perform maintenance on emission-data engines as
described in Sec. 1054.125 and 40 CFR part 1065, subpart E. If you
change one or more spark plugs on an emission-data engine as allowed
under Sec. 1054.125, you must measure emissions before and after this
maintenance. If you clean or change an air filter on an emission-data
engine as allowed under Sec. 1054.125, you must measure emissions
before and after every second time you perform this maintenance. Use the
average values from these two measurements to calculate deterioration
factors. The emission-data engine must meet applicable emission
standards before and after maintenance to be considered in compliance,
as described in Sec. 1054.240(a) and (b).
(5) Calculate your deterioration factor using a linear least-squares
fit of your test data but treat the low-hour test point as occurring at
hour zero. Your deterioration factor is the ratio of the calculated
emission level at the point representing the full useful life to the
calculated emission level at zero hours, expressed to one more
significant figure than the emission standard in subpart B of this part.
(6) If you test more than one engine to establish deterioration
factors, average the deterioration factors from all the engines before
rounding.
(7) If your durability engine fails between 80 percent and 100
percent of useful life, you may use the last emission measurement as the
test point representing the full useful life, provided it occurred after
at least 80 percent of the useful life.
(8) If your useful life is 1,000 hours or longer, and your
durability engine fails between 50 percent and 100 percent of useful
life, you may extrapolate your emission results to determine the
emission level representing the full useful life, provided emissions
were measured at least once after 50 percent of the useful life.
(9) Use good engineering judgment for all aspects of the effort to
establish deterioration factors under this paragraph (b).
(10) You may use other testing methods to determine deterioration
factors, consistent with good engineering judgment, as long as we
approve those methods in advance.
(c) If you qualify for using assigned deterioration factors under
Sec. 1054.240, determine the deterioration factors as follows:
(1) For two-stroke engines without aftertreatment, use a
deterioration factor of 1.1 for HC, NOX, and CO. For four-
stroke engines without aftertreatment, use deterioration factors of 1.4
for HC, 1.0 for NOX, and 1.1 for CO for Class 2 engines, and
use 1.5 for HC and NOX, and 1.1 for CO for all other engines.
(2) For Class 2 engines with aftertreatment, use a deterioration
factor of 1.0 for NOX. For all other cases involving engines
with aftertreatment, calculate separate deterioration factors for HC,
NOX, and CO using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29JN21.169

Where:

NE = engine-out emission levels (pre-catalyst) from the low-hour test
result for a given pollutant, in g/kW-hr.
EDF = the deterioration factor specified in paragraph (c)(1) of this
section for the type of engine for a given pollutant.
CC = the catalyst conversion from the low-hour test, in g/kW-hr. This is
the difference between the official emission result and NE.
F = 1.0 for NOX and 0.8 for HC and CO.

(3) Combine separate deterioration factors for HC and NOX
from paragraph (c)(2) of this section into a combined deterioration
factor for HC+NOX using the following equation:

[[Page 767]]

[GRAPHIC] [TIFF OMITTED] TR29JN21.170

(d) Include the following information in your application for
certification:
(1) If you determine your deterioration factors based on test data
from a different emission family, explain why this is appropriate and
include all the emission measurements on which you base the
deterioration factor.
(2) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including the method you
use to accumulate hours.
(3) If you calculate deterioration factors under paragraph (c) of
this section, identify the parameters and variables you used for the
calculation.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34520, June 29, 2021]

Sec. 1054.250 What records must I keep and what reports must I send
to EPA?

(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1054.345. In
addition, within 45 days after the end of the model year, you must send
us a report describing information about engines you produced during the
model year as follows:
(1) State the total production volume for each engine family that is
not subject to reporting under Sec. 1054.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in Sec.
1054.345.
(3) [Reserved]
(4) For production volumes you report under this paragraph (a),
identify whether or not the figures include California sales. Include a
separate count of production volumes for California sales if those
figures are available.
(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. 1054.205 that you
were not required to include in your application.
(3) A detailed history of all emission-data engines. For each
engine, describe all of the following:
(i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
(ii) How you accumulated engine 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.
(v) All tests to diagnose engine or emission control performance,
giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each emission family divided by assembly
plant.
(5) Keep a list of engine identification numbers for all the engines
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.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34520, June 29, 2021]

[[Page 768]]

Sec. 1054.255 What decisions may EPA make regarding a certificate of
conformity?

(a) If we determine an application is complete and shows that the
emission family meets all the requirements of this part and the Clean
Air Act, we will issue a certificate of conformity for the emission
family for that model year. We may make the approval subject to
additional conditions.
(b) We may deny an application for certification if we determine
that an emission 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 an application, we
will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a
certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing, reporting, or bonding
requirements in this part.
(2) Submit false or incomplete information. This includes doing
anything after submitting an application that causes submitted
information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines or equipment 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 an application to
include all engines or equipment being produced.
(7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep
records, send reports, or give us information as required under this
part or the Clean Air Act. Note that these are also violations of 40 CFR
1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you
intentionally submitted false or incomplete information. This includes
doing anything after submitting your application that causes the
submitted information to be false or incomplete.
(f) If we deny an application or suspend, revoke, or void a
certificate of conformity, you may ask for a hearing (see Sec.
1054.820).

[86 FR 34521, June 29, 2021]

Subpart D_Production-line Testing

Sec. 1054.300 Applicability.

This subpart specifies requirements for engine manufacturers to test
their production engines for exhaust emissions to ensure that the
engines are being produced as described in the application for
certification. The production-line verification described in 40 CFR part
1060, subpart D, applies for equipment and components for evaporative
emissions.

Sec. 1054.301 When must I test my production-line engines?

(a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
(1) Small-volume engine manufacturers may omit testing under this
subpart.
(2) We may exempt small-volume emission families from routine
testing under this subpart. Submit your request for approval as
described in Sec. 1054.210. In your request, describe your basis for
projecting a production volume below 5,000 units. We will approve your
request if we agree that you have made good-faith estimates of your
production volumes. You must promptly notify us if your actual
production exceeds 5,000 units during the model year. If you exceed the
production limit or if there is evidence of a nonconformity, we may
require you to test production-line engines under this subpart, or under
40 CFR part 1068, subpart E, even if we have approved an exemption under
this paragraph (a)(2).
(b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec. 1054.325 and 1054.340).

[[Page 769]]

(c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
families, without regard to whether they have passed these production-
line testing requirements. The requirements of this subpart do not
affect our ability to do selective enforcement audits, as described in
40 CFR part 1068. Individual engines in families that pass these
production-line testing requirements must also conform to all applicable
regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs for testing production-line
engines in the following circumstances:
(1) You may use analyzers and sampling systems that meet the field-
testing requirements of 40 CFR part 1065, subpart J, but not the
otherwise applicable requirements in 40 CFR part 1065 for laboratory
testing, to demonstrate compliance with emission standards if you double
the minimum sampling rate specified in Sec. 1054.310(b). Use measured
test results to determine whether engines comply with applicable
standards without applying a measurement allowance. This alternate
program does not require prior approval but we may disallow use of this
option where we determine that use of field-grade equipment would
prevent you from being able to demonstrate that your engines are being
produced to conform to the specifications in your application for
certification.
(2) You may ask to use another alternate program for testing
production-line engines. In your request, you must show us that the
alternate program gives equal assurance that your products meet the
requirements of this part. We may waive some or all of this subpart's
requirements if we approve your alternate approach. For example, in
certain circumstances you may be able to give us equal assurance that
your products meet the requirements of this part by using less rigorous
measurement methods if you offset that by increasing the number of test
engines.
(e) If you certify an engine family with carryover emission data, as
described in Sec. 1054.235(d), 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. The minimum testing
rate is one engine per engine 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 engines
that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34521, June 29, 2021]

Sec. 1054.305 How must I prepare and test my production-line engines?

[[Page 770]]

setting within its physically adjustable range.
(1) [Reserved]
(2) We may specify adjustments within the physically adjustable
range by considering their effect on emission levels. We may also
consider how likely it is that someone will make such an adjustment with
in-use equipment.
(3) We may specify an air-fuel ratio within the adjustable range
specified in Sec. 1054.115(b).
(e) Stabilizing emission levels. Use good engineering judgment to
operate your engines before testing such that deterioration factors can
be applied appropriately. Determine the stabilization period as follows:
(1) For engine families with a useful life at or below 300 hours,
operate the engine for the same number of hours before starting emission
measurements that you used for the emission-data engine, within one
hour. For example, if the emission-data engine operated for 8 hours
before the low-hour emission test, operate the test engines for 7 to 9
hours before starting emission measurements.
(2) For engine families with a useful life above 300 hours, operate
each engine for no more than the greater of two periods:
(i) 12 hours.
(ii) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
(f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe or if it would permanently damage the engine. Report to us, in
your written report under Sec. 1054.345, all adjustments or repairs you
make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and the
emission results from all tests. If we determine that you improperly
invalidated a test, we may require you to ask for our approval for
future testing before substituting results of the new tests for invalid
ones.

Sec. 1054.310 How must I select engines for production-line testing?

[[Page 771]]

the previous model year. Then, calculate the required sample size for
the model year as described in paragraph (c) of this section. Use the
last test result from the previous model year only for this first
calculation. For all subsequent calculations, use only results from the
current model year.
(c) Calculate the required sample size for each engine family.
Separately calculate this figure for HC + NOX and CO. The
required sample size is the greater of these calculated values. Use the
following equation:
[GRAPHIC] [TIFF OMITTED] TR08OC08.095

Where:

(1) Determine the 95% confidence coefficient, t\95\, from the
following table:

--------------------------------------------------------------------------------------------------------------------------------------------------------
n t95 n t95 n t95
--------------------------------------------------------------------------------------------------------------------------------------------------------
2................................................................. 6.31 12 1.80 22 1.72
3................................................................. 2.92 13 1.78 23 1.72
4................................................................. 2.35 14 1.77 24 1.71
5................................................................. 2.13 15 1.76 25 1.71
6................................................................. 2.02 16 1.75 26 1.71
7................................................................. 1.94 17 1.75 27 1.71
8................................................................. 1.90 18 1.74 28 1.70
9................................................................. 1.86 19 1.73 29 1.70
10................................................................. 1.83 20 1.73 30 1.70
11................................................................. 1.81 21 1.72 31 + 1.65
--------------------------------------------------------------------------------------------------------------------------------------------------------

(2) Calculate the standard deviation, [sigma], for the test sample
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR08OC08.096

Where:

Xi = Emission test result for an individual engine.
n = The number of tests completed in an engine family.

(d) Use final deteriorated test results to calculate the variables
in the equations in paragraph (c) of this section (see Sec.
1054.315(a)(2)).
(e) After each new test, recalculate the required sample size using
the updated mean values, standard deviations, and the appropriate 95-
percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the rest
of the year. You may need to adjust your schedule for selecting engines
if the required sample size changes. If your scheduled quarterly testing
for the remainder of the model year is sufficient to meet the calculated
sample size, you may wait until the next quarter to do additional
testing. Continue to randomly select engines from each engine family.
(g) Continue testing until one of the following things happens:
(1) After completing the minimum number of tests required in
paragraph (b) of this section, the number of tests completed in an
engine family, n, is greater than the required sample size, N, and the
sample mean, x, is less than or equal to the emission standard. For
example, if N = 5.1 after the fifth test, the sample-size calculation
does not allow you to stop testing.
(2) The engine family does not comply according to Sec. 1054.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed
production volume for the engine family, rounded to the nearest whole
number. Do not count an engine under this paragraph

[[Page 772]]

(g)(4) if it fails to meet an applicable emission standard.
(5) You choose to declare that the engine family does not comply
with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for
one pollutant but not another, you must continue measuring emission
levels of all pollutants for any additional tests required under this
section. However, you need not continue making the calculations
specified in this subpart for the pollutant for which testing is not
required. This paragraph (h) does not affect the number of tests
required under this section, the required calculations in Sec.
1054.315, or the remedial steps required under Sec. 1054.320.
(i) You may elect to test more randomly chosen engines than we
require under this section. Include these engines in the sample-size
calculations.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34521, June 29, 2021]

Sec. 1054.315 How do I know when my engine family fails the
production-line testing requirements?

This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an emission-family
basis. See Sec. 1054.320 for the requirements that apply to individual
engines that fail a production-line test.
(a) Calculate your test results as follows:
(1) Initial and final test results. Calculate and round the test
results for each engine. If you do multiple tests on an engine in a
given configuration (without modifying the engine), calculate the
initial results for each test, then add all the test results together
and divide by the number of tests. Round this final calculated value for
the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec. 1054.240(c)).
(3) Round deteriorated test results. Round the results to the number
of decimal places in the emission standard expressed to one more decimal
place.
(b) Construct the following CumSum Equation for each engine family
for HC + NOX and CO emissions:

Ci = Max [0 or Ci-1 + Xi-(STD + 0.25 x
[sigma])]

Where:

(c) Use final deteriorated test results to calculate the variables
in the equation in paragraph (b) of this section (see Sec.
1054.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of engines, include
the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic,
Ci, to the recalculated Action Limit, H, defined as H = 5.0 x
[sigma].
(g) If the CumSum statistic exceeds the Action Limit in two
consecutive tests, the engine family fails the production-line testing
requirements of this subpart. Tell us within ten working days if this
happens. You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec.
1054.225(f).
(h) If you amend the application for certification for an engine
family under Sec. 1054.225, do not change any previous calculations of
sample size or CumSum statistics for the model year.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34521, June 29, 2021]

Sec. 1054.320 What happens if one of my production-line engines fails
to meet emission standards?

(a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1054.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before your
certificate of conformity can cover that engine:

[[Page 773]]

(1) Correct the problem and retest the engine to show it complies
with all emission standards.
(2) Include the test results and describe the remedy for each engine
in the written report required under Sec. 1054.345.
(b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1054.225).
(c) Use test data from a failing engine for the compliance
demonstration under Sec. 1054.315 as follows:
(1) Use the original, failing test results as described in Sec.
1054.315, whether or not you modify the engine or destroy it.
(2) Do not use test results from a modified engine as final test
results under Sec. 1054.315, unless you change your production process
for all engines to match the adjustments you made to the failing engine.
If this occurs, count the modified engine as the next engine in the
sequence, rather than averaging the results with the testing that
occurred before modifying the engine.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34521, June 29, 2021]

Sec. 1054.325 What happens if an engine family fails the production-line
testing requirements?

(a) We may suspend your certificate of conformity for an engine
family if it fails under Sec. 1054.315. The suspension may apply to all
facilities producing engines from an engine family even if you find
noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when you
receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec. 1054.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
(d) Section 1054.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
(e) You may request to amend the application for certification to
raise the FEL of the engine family before or after we suspend your
certificate as described in Sec. 1054.225(f). We will approve your
request if the failure is not caused by a defect and it is clear that
you used good engineering judgment in establishing the original FEL.

Sec. 1054.330 May I sell engines from an engine family with a suspended
certificate of conformity?

You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec. 1054.315 only if one of
the following occurs:
(a) You test each engine you produce and show it complies with
emission standards that apply.
(b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines and
remedy any noncompliance at no expense to the owner if later testing
shows that the engine family still does not comply.

Sec. 1054.335 How do I ask EPA to reinstate my suspended certificate?

Sec. 1054.340 When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

(a) We may revoke your certificate for an engine family in the
following cases:

[[Page 774]]

(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of this
subpart and your proposed remedy to address a suspended certificate
under Sec. 1054.335 is inadequate to solve the problem or requires you
to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked certificate
of conformity, you must modify the engine family and then show it
complies with the requirements of this part.
(1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to evaluate
the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec. 1054.345 What production-line testing records must I send to EPA?

(a) Within 45 days of the end of each test period, send us a report
with the following information:
(1) Describe any facility used to test production-line engines and
state its location.
(2) State the total U.S.-directed production volume and number of
tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
(5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of testing;
test procedure; all initial test results; final test results; and final
deteriorated test results for all tests. Provide the emission results
for all measured pollutants. Include information for both valid and
invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure or
type of engine.
(8) Provide the CumSum analysis required in Sec. 1054.315 and the
sample-size calculation required in Sec. 1054.310 for each engine
family.
(9) Report on each failed engine as described in Sec. 1054.320.
(10) State the date the test period ended for each engine family.
(b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
(c) An authorized representative of your company must sign the
following statement:

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 1054. We have not changed production
processes or quality-control procedures for test engines 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)

(d) Send electronic reports of production-line testing 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.
(e) We will send copies of your reports to anyone from the public
who asks for them. Section 1054.815 describes how we treat information
you consider confidential.

Sec. 1054.350 What records must I keep?

(a) Organize and maintain your records as described in this section.
We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing
for

[[Page 775]]

eight years after you complete all the testing required for an engine
family in a model year.
(c) Keep a copy of the written reports described in Sec. 1054.345.
(d) Keep the following additional records:
(1) A description of all test equipment for each test cell that you
can use to test production-line engines.
(2) The names of supervisors involved in each test.
(3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
(4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine arrived
at the testing facility.
(5) Any records related to your production-line tests that are not
in the written report.
(6) A brief description of any significant events during testing not
otherwise described in the written report or in this section.
(7) Any information specified in Sec. 1054.345 that you do not
include in your written reports.
(e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your production figures by maximum engine power,
displacement, fuel type, or assembly plant (if you produce engines at
more than one plant).
(f) Keep records of the engine identification number for each engine
you produce under each certificate of conformity. You may identify these
numbers as a range. Give us these records within 30 days if we ask for
them.
(g) We may ask you to keep or send other information necessary to
implement this subpart.

Subpart E_In-use Testing

Sec. 1054.401 General provisions.

We may perform in-use testing of any engines or equipment subject to
the standards of this part. We will consult with you as needed for
information or special equipment related to testing your engines.

Subpart F_Test Procedures

Sec. 1054.501 How do I run a valid emission test?

(a) Applicability. 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 or
equipment meet emission standards.
(b) General requirements. Use the equipment and procedures for
spark-ignition engines in 40 CFR part 1065 to determine whether engines
meet the exhaust emission standards, as follows:
(1) Measure the emissions of all exhaust constituents subject to
emission standards as specified in Sec. 1054.505 and 40 CFR part 1065.
Measure CO2, N2O, and CH4 as described
in Sec. 1054.235. See Sec. 1054.650 for special provisions that apply
for variable-speed engines (including engines shipped without
governors).
(2) Use the appropriate fuels and lubricants specified in 40 CFR
part 1065, subpart H, for all the testing we require in this part.
Gasoline test fuel must meet the specifications in 40 CFR 1065.710(c),
except as specified in Sec. 1054.145(n) and 40 CFR 1065.10 and
1065.701. Use gasoline specified for general testing except as specified
in paragraph (d) of this section. For service accumulation, use the test
fuel or any commercially available fuel that is representative of the
fuel that in-use engines will use. Note that Sec. 1054.145(n) allows
for testing with gasoline test fuels specified by the California Air
Resources Board for any individual engine family.
(3) Ambient conditions for duty-cycle testing must be within ranges
specified in 40 CFR 1065.520, subject to the provisions of Sec.
1054.115(c).
(i) Corrections. Emissions may not be corrected for the effects of
test temperature or pressure. You may correct emissions for humidity as
specified in 40 CFR 1065.670.
(ii) Intake air temperature. Measure engine intake air temperature
as described in 40 CFR 1065.125, and control it if necessary, consistent
with good engineering judgment. For example, since the purpose of this
requirement is

[[Page 776]]

to ensure that the measured air temperature is consistent with the
intake air temperature that would occur during in-use operation at the
same ambient temperature, do not cool the intake air and do not measure
air temperature at a point where engine heat affects the temperature
measurement.
(4) The provisions of 40 CFR 1065.405 describe how to prepare an
engine for testing. However, you may consider emission levels stable
without measurement after 12 hours of engine operation, except for the
following special provisions that apply for engine families with a
useful life of 300 hours or less:
(i) We will not approve a stabilization period longer than 12 hours
even if you show that emissions are not yet stabilized.
(ii) Identify the number of hours you use to stabilize engines for
low-hour emission measurements. You may consider emissions stable at any
point less than 12 hours. For example, you may choose a point at which
emission levels reach a low value before the effects of deterioration
are established.
(5) Prepare your engines for testing by installing a governor that
you normally use on production engines, consistent with Sec. Sec.
1054.235(b) and 1054.505.
(6) During testing, supply the engine with fuel in a manner
consistent with how it will be supplied with fuel in use. If you sell
engines with complete fuel systems and your production engines will be
equipped with a vapor line that routes running loss vapors into the
engine's intake system, measure exhaust emissions using a complete fuel
system representing a production configuration that sends fuel vapors to
the test engine's intake system in a way that represents the expected
in-use operation. You may alternatively demonstrate by engineering
analysis that your engines will continue to meet emission standards for
any amount of running loss vapor that can reasonably be expected during
in-use operation.
(7) Determine the carbon mass fraction of fuel, wc, using
a calculation based on measured fuel properties as described in 40 CFR
1065.655(d)(1). You may not use the default values specified in 40 CFR
1065.655(d)(2).
(c) Special and alternate procedures. You may use special or
alternate procedures to the extent we allow them under 40 CFR 1065.10.
The following additional provisions apply:
(1) If you are unable to run the test cycle specified in this part
for your engine, use an alternate test cycle that will result in a
cycle-weighted emission measurement equivalent to the expected average
in-use emissions. This cycle must be approved under 40 CFR 1065.10.
(2) Describe in your application for certification any specially
designed fixtures or other hardware if they are needed for proper
testing of your engines. (Note: You do not need to specify the size or
performance characteristics of engine dynamometers.) You must send us
these fixtures or other hardware if we ask for them. We may waive the
requirement of Sec. 1054.205(aa) to identify a test facility in the
United States for such engine families as long as the projected U.S.-
directed production volume of all your engine families using the
provisions of this paragraph (c)(2) is less than 5 percent of your total
production volume from all engine families certified under this part
1054.
(d) Wintertime engines. You may test wintertime engines at the
ambient temperatures specified in 40 CFR 1065.520, even though this does
not represent in-use operation for these engines (40 CFR 1065.10(c)(1)).
In this case, you may use good engineering judgment to modify the test
engine as needed to achieve intake temperatures that are analogous to
in-use conditions. You may also test wintertime engines at reduced
ambient temperatures as specified in 40 CFR 1051.505. Use the gasoline
specified for low-temperature testing only if you test your engines at
ambient temperatures below 20 [deg]C.

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 56511, Oct. 30, 2009; 78
FR 36397, June 17, 2013; 80 FR 9114, Feb. 19, 2015; 86 FR 34522, June
29, 2021]

Sec. 1054.505 How do I test engines?

(a) This section describes how to test engines under steady-state
conditions.

[[Page 777]]

For handheld engines you must perform tests with discrete-mode sampling.
For nonhandheld engines we allow you to perform tests with either
discrete-mode or ramped-modal testing methods, as described in 40 CFR
Part 1065. You must use the same modal testing method for certification
and all other testing you perform for an engine family. If we test your
engines to confirm that they meet emission standards, we will use the
modal testing method you select for your own testing. If you submit
certification test data collected with both discrete-mode and ramped-
modal testing (either in your original application or in an amendment to
your application), either method may be used for subsequent testing. We
may also perform other testing as allowed by the Clean Air Act. Conduct
duty-cycle testing as follows:
(1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle using
the weighting factors specified for each mode. Control engine speed as
specified in this section. Use one of the following methods for
confirming torque values for nonhandheld engines:
(i) Calculate torque-related cycle statistics and compare with the
established criteria as specified in 40 CFR 1065.514 to confirm that the
test is valid.
(ii) Evaluate each mode separately to validate the duty cycle. All
torque feedback values recorded during non-idle sampling periods must be
within 2 percent of the reference value or within
0.27 N[middot]m of the reference value, whichever
is greater. Also, the mean torque value during non-idle sampling periods
must be within 1 percent of the reference value or
0.12 N[middot]m of the reference value, whichever
is greater. Control torque during idle as specified in paragraph (c) of
this section.
(2) Unless we specify otherwise, you may simulate the governor for
ramped-modal testing consistent with good engineering judgment.
(b) Measure emissions by testing the engine on a dynamometer with
the test procedures for constant-speed engines in 40 CFR part 1065 while
using one of the steady-state duty cycles identified in this paragraph
(b) to determine whether it meets the exhaust emission standards
specified in Sec. 1054.101(a). This requirement applies for all
engines, including those not meeting the definition of ``constant-speed
engine'' in 40 CFR 1065.1001.
(1) For handheld engines, use the two-mode duty cycle described in
paragraph (a) of Appendix II of this part. Establish an engine's rated
speed as follows:
(i) For ungoverned handheld engines used in fixed-speed applications
all having approximately the same nominal in-use operating speed, hold
engine speed within 350 rpm of the nominal speed for testing. We may
allow you to include in your engine family without additional testing a
small number engines that will be installed such that they have a
different nominal speed. If your engine family includes a majority of
engines with approximately the same nominal in-use operating speed and a
substantial number of engines with different nominal speeds, you must
test engines as specified in this paragraph (b)(1)(i) and paragraph
(b)(1)(ii) of this section.
(ii) For ungoverned handheld engines for which there is not a
dominant value for nominal in-use operating speeds, hold engine speed
within 350 rpm of the point at which the engine generates maximum power.
(iii) For governed handheld engines, hold engine speed at maximum
test speed, as defined in 40 CFR 1065.1001.
(2) For nonhandheld engines, use the six-mode duty cycle or the
corresponding ramped-modal cycle described in paragraph (b) of appendix
II of this part. Control engine speeds and torques during idle mode as
specified in paragraph (c) of this section. Control engine speed during
the full-load operating mode as specified in paragraph (d) of this
section. For all other modes, control engine speed to within 5 percent
of the nominal speed specified in paragraph (d) of this section or let
the installed governor (in the production configuration) control engine
speed. For all modes except idle, control torque as needed to meet the
cycle-validation criteria in paragraph (a)(1) of

[[Page 778]]

this section. The governor may be adjusted before emission sampling to
target the nominal speed identified in paragraph (d) of this section,
but the installed governor must control engine speed throughout the
emission-sampling period whether the governor is adjusted or not. Note
that ramped-modal testing involves continuous sampling, so governor
adjustments may not occur during such a test. Note also that our testing
may involve running the engine with the governor in the standard
configuration even if you adjust the governor as described in this
paragraph (b)(2) for certification or production-line testing.
(c) During idle mode for nonhandheld engines, operate the engine
with the following parameters:
(1) Allow the engine to operate at the idle speed determined by the
installed governor. If any production engines from the engine family
have a user-selectable idle speed, operate the engine with an installed
governor that controls engine speed to the lowest available speed
setting.
(2) Keep engine torque under 5 percent of the nominal torque value
for Mode 1.
(3) You must conduct testing at the idle mode even if the allowable
torque values overlap with those for another specified mode.
(d) During full-load operation for nonhandheld engines, operate the
engine with the following parameters:
(1) In normal circumstances, select a test speed of either 3060 rpm
or 3600 rpm that is most appropriate for the engine family. If all the
engines in the engine family are used in intermediate-speed equipment,
select a test speed of 3060 rpm. The test associated with intermediate-
speed operation is referred to as the A Cycle. If all the engines in the
engine family are used in rated-speed equipment, select a test speed of
3600 rpm. The test associated with rated-speed operation is referred to
as the B Cycle. If an engine family includes engines used in both
intermediate-speed equipment and rated-speed equipment, select the test
speed for emission-data engines that will result in worst-case
emissions. In unusual circumstances, you may ask to use a test speed
different than that specified in this paragraph (d)(1) if it better
represents in-use operation.
(2) Operate the engine ungoverned at wide-open throttle at the test
speed established in paragraph (d)(1) of this section until the engine
reaches thermal stability as described in 40 CFR 1065.530(a)(2)(ii).
Record the torque value after stabilization. Use this value for the
full-load torque setting and for denormalizing the rest of the duty
cycle.
(3) Control engine speed during emission sampling to stay within 5
percent of the nominal speed identified in paragraph (d)(1) of this
section.
(4) The provisions of this paragraph (d) apply instead of the engine
mapping procedures in 40 CFR 1065.510.

[73 FR 59259, Oct. 8, 2008, as amended at 79 FR 23751, Apr. 28, 2014; 86
FR 34522, June 29, 2021]

Sec. 1054.520 What testing must I perform to establish deterioration
factors?

Sections 1054.240 and 1054.245 describe the required methods for
testing to establish deterioration factors for an emission family.

Subpart G_Special Compliance Provisions

Sec. 1054.601 What compliance provisions apply?

[[Page 779]]

practice. Unless we specify otherwise, include relevant inventory and
production records from the preceding eight years. Note that 40 CFR
1068.103(f) applies to any engines inventoried beyond your normal
practice and authorizes us to review your records to verify your normal
practices, whether or not you maintain the engines in inventory for more
than 12 months.
(c) The provisions of 40 CFR 1068.215 apply for cases in which the
manufacturer takes possession of engines for purposes of recovering
components as described in this paragraph (c). Note that this paragraph
(c) does not apply for certified engines that still have the emission
control information label since such engines do not need an exemption.
(1) You must label the engine as specified in 40 CFR 1068.215(c)(3),
except that the label may be removable as specified in 40 CFR
1068.45(b).
(2) You may not resell the engine. For components other than the
engine block, you may generate revenue from the sale of the components
that you recover, or from the sale of new engines containing these
components. You may also use components other than the engine block for
engine rebuilds as otherwise allowed under the regulations. You may use
the engine block from an engine that is exempted under this paragraph
(c) only to make a new engine, and then only where such an engine has a
separate identity from the original engine.
(3) Once the engine has reached its final destination, you may stop
collecting records describing the engine's final disposition and how you
use the engine. This does not affect the requirement to maintain the
records you have already collected under 40 CFR 1068.215. This also does
not affect the requirement to maintain records for new engines.
(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 the
definitions in this part of either dual-fuel or flexible-fuel. 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.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23025, Apr. 30, 2010; 86
FR 34522, June 29, 2021]

Sec. 1054.610 What is the exemption for delegated final assembly?

The provisions of 40 CFR 1068.261 related to delegated final
assembly do not apply for handheld engines certified under this part
1054. The provisions of 40 CFR 1068.261 apply for nonhandheld engines,
with the following exceptions and clarifications:
(a) Through the 2014 model year, you may use the provisions of this
section for engines you sell to a distributor, where you establish a
contractual arrangement in which you designate the distributor to be
your agent in all matters related to compliance with the requirements of
this section. Identify each of the distributors you intend to designate
as your agent under this paragraph (a) in your application for
certification. You may continue to use the provisions of this paragraph
(a) this for later model years for specific distributors if we approve
it based on your clear and convincing demonstration that each
distributor can be expected to comply fully with the requirements of
this section and 40 CFR 1068.261. We may set additional conditions
beyond the provisions specified in this section to ensure that all
engines will be in a certified configuration when installed by the
equipment manufacturer.
(b) If you identify distributors as your agents under paragraph (a)
of this section, you must perform or arrange for audits of all
participating distributors and equipment manufacturers based on the
following auditing rate instead of the provisions specified in 40 CFR
1068.261(d)(3)(i) and (ii):
(1) If you sell engines to 48 or more equipment manufacturers under
the provisions of this section, you must annually perform or arrange for
audits of twelve equipment manufacturers to whom you sell engines under
this section. To select individual equipment manufacturers, divide all
the affected equipment manufacturers into quartiles based on the number
of engines they buy from you; select equal numbers of equipment
manufacturers from

[[Page 780]]

each quartile each model year as much as possible. Vary the equipment
manufacturers selected for auditing from year to year, though audits may
be repeated in later model years if you find or suspect that a
particular equipment manufacturer is not properly installing
aftertreatment devices.
(2) If you sell engines to fewer than 48 equipment manufacturers
under the provisions of this section, set up a plan to perform or
arrange for audits of each equipment manufacturer on average once every
four model years.

Sec. 1054.612 What special provisions apply for equipment manufacturers
modifying certified nonhandheld engines?

The provisions of this section are limited to small-volume emission
families.
(a) General provisions. If you buy certified nonhandheld engines for
installation in equipment you produce, but you install the engines such
that they use intake or exhaust systems that are not part of the
originally certified configuration, you become the engine manufacturer
for those engines and must certify that they will meet emission
standards. We will allow you to utilize the provisions for simplified
certification specified in paragraph (b) of this section, as long as
your design stays within the overall specifications from the original
engine manufacturer (such as exhaust backpressure) and you use a
catalyst as described in the original engine manufacturer's application
for certification.
(b) Simplified certification. You must perform testing with an
emission-data engine to show that you meet exhaust emission standards;
however, you may use the deterioration factor from the original engine
manufacturer. The production-line testing requirements in subpart D of
this part do not apply for engines certified under this section. You
must meet all the other requirements that apply to engine manufacturers
for engines subject to standards under this part. The engine family must
have the same useful life value specified by the original engine
manufacturer for that engine. In your application for certification
describe any differences between the original engine manufacturer's
design and yours and explain why the deterioration data generated by the
original engine manufacturer is appropriate for your configuration.
(c) Engine exemption. As an engine manufacturer, you may produce
nonconforming engines for equipment manufacturers as allowed under this
section. You do not have to request this exemption for your engines, but
you must have written assurance from equipment manufacturers that they
need a certain number of exempted engines under this section. Add a
removable label to the engines as described in 40 CFR 1068.262.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34522, June 29, 2021]

Sec. 1054.615 What is the exemption for engines certified to standards
for Large SI engines?

(a) An engine is exempt from the requirements of this part if it is
in an emission family that has a valid certificate of conformity showing
that it meets emission standards and other requirements under 40 CFR
part 1048 for the appropriate model year.
(b) The only requirements or prohibitions from this part that apply
to an engine that is exempt under this section are in this section.
(c) If your engines do not have the certificate required in
paragraph (a) of this section, they will be subject to the provisions of
this part. Introducing these engines into U.S. commerce without a valid
exemption or certificate of conformity violates the prohibitions in 40
CFR 1068.101(a).
(d) Engines exempted under this section are subject to all the
requirements affecting engines under 40 CFR part 1048, including
evaporative emission standards. The requirements and restrictions of 40
CFR part 1048 apply to anyone manufacturing these engines, anyone
manufacturing equipment that uses these engines, and all other persons
in the same manner as if these were nonroad spark-ignition engines above
19 kW.
(e) Engines exempted under this section may not generate or use
emission credits under this part 1054.

[[Page 781]]

Sec. 1054.620 What are the provisions for exempting engines used solely
for competition?

The provisions of this section apply for new engines and equipment
built on or after January 1, 2010.
(a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
(b) We will exempt engines that we determine will be used solely for
competition. The basis of our determination is described in paragraphs
(c) and (d) of this section. Exemptions granted under this section are
good for only one model year and you must request renewal for each
subsequent model year. We will not approve your renewal request if we
determine the engine will not be used solely for competition.
(c) Engines meeting all the following criteria are considered to be
used solely for competition:
(1) Neither the engine nor any equipment containing the engine may
be displayed for sale in any public dealership or otherwise offered for
sale to the general public. Note that this does not preclude display of
these engines as long as they are not available for sale to the general
public.
(2) Sale of the equipment in which the engine is installed must be
limited to professional competition teams, professional competitors, or
other qualified competitors. Engine manufacturers may sell loose engines
to these same qualified competitors, and to equipment manufacturers
supplying competition models for qualified competitors.
(3) The engine and the equipment in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
(4) The engines are intended for use only as specified in paragraph
(e) of this section.
(d) You may ask us to approve an exemption for engines not meeting
the criteria listed in paragraph (c) of this section as long as you have
clear and convincing evidence that the engines will be used solely for
competition.
(e) Engines are considered to be used solely for competition only if
their use is limited to competition events sanctioned by a state or
federal government agency or another widely recognized public
organization with authorizing permits for participating competitors.
Operation of such engines may include only racing events, trials to
qualify for racing events, and practice associated with racing events.
Authorized attempts to set speed records are also considered racing
events. Engines will not be considered to be used solely for competition
if they are ever used for any recreational or other noncompetitive
purpose. Any use of exempt engines in recreational events is a violation
of 40 CFR 1068.101(b)(4).
(f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
(g) If we request it, you must provide us any information we need to
determine whether the engines are used solely for competition. This
would generally include documentation regarding the number of engines
and the ultimate purchaser of each engine as well as any documentation
showing an equipment manufacturer's request for an exempted engine. Keep
these records for five years.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34522, June 29, 2021]

Sec. 1054.630 What provisions apply for importation of individual items
for personal use?

(a) Any individual may import previously used nonconforming engines
for purposes other than resale, but no more than once in any five-year
period. This may include up to three nonconforming engines imported at
the same time. To import engines under this section, provide to the
Customs official the following information:
(1) Identify your name, address, and telephone number.
(2) If you are importing engines under this section on behalf of
another person, identify the ultimate engine

[[Page 782]]

owner's name, address, and telephone number.
(3) Identify the total number of engines you are importing and
specify the make, model, identification number, and original production
year of each engine.
(4) State: ``I am importing these previously used engines for
personal use. I have not imported any engines under the provisions of 40
CFR 1054.630 within the previous five years. I am not importing these
engines for purpose of resale. I authorize EPA enforcement officers to
inspect my engines and my facilities as permitted by the Clean Air
Act.''
(b) We may require you to send us additional information but you do
not need written approval from us to import engines under this section.
We will also not require a U.S. Customs Service bond for engines you
import under this section.
(c) The provisions of this section may not be used to circumvent
emission standards that apply to new engines under this part. For
example, you may not purchase new engines and use them in a trivial
manner outside of the United States to qualify for importation under
this section.
(d) If you violate the provisions of this section, or submit false
information to obtain this exemption, you will be subject to civil
penalties as specified in 40 CFR 1068.101(a)(2) and (b)(5).

Sec. 1054.635 What special provisions apply for small-volume engine
and equipment manufacturers?

This section describes how we apply the special provisions in this
part for small-volume engine and equipment manufacturers.
(a) If you qualify under paragraph (1) or (2) of the definition of
small-volume engine manufacturer or under paragraph (1) or (2) of the
definition of small-volume equipment manufacturer in Sec. 1054.801, the
small-volume provisions apply as specified in this part.
(b) If you are a small business (as defined by the Small Business
Administration at 13 CFR 121.201) that manufactures nonroad spark-
ignition engines or equipment, but you do not qualify under paragraph
(1) or (2) of the definition of small-volume engine manufacturer or
under paragraph (1) or (2) of the definition of small-volume equipment
manufacturer in Sec. 1054.801, you may ask us to designate you to be a
small-volume engine or equipment manufacturer. You may do this whether
you began manufacturing engines before, during, or after 2007. We may
set other reasonable conditions that are consistent with the intent of
this section and the Clean Air Act.
(c) Special provisions apply for small-volume engine and equipment
manufacturers, as illustrated by the following examples:
(1) Additional lead time and other provisions related to the
transition to new emission standards. See Sec. 1054.145.
(2) More flexible arrangements for creating engine families. See
Sec. 1054.230.
(3) Assigned deterioration factors. See Sec. 1054.240.
(4) Waived requirements for production-line testing. See Sec.
1054.301.
(5) Streamlined certification provisions for equipment manufacturers
relying on engine manufacturer's design parameters. See Sec. 1054.612.
(6) [Reserved]
(7) Additional special provisions apply for small-volume engine and
equipment manufacturers under 40 CFR part 1068. For example, see 40 CFR
1068.250.
(d) Small-volume engine and equipment manufacturers may ask us to
waive or modify the requirements of Sec. 1054.690 if this would cause a
serious economic hardship, as long as you demonstrate to us in some
other way that you will meet any potential compliance-or enforcement-
related obligations. In evaluating such a request, we would consider the
extent to which there is a risk of noncompliance or nonconformity and
the extent to which the manufacturer could be expected to fulfill future
regulatory obligations and administrative judgments. We may also
consider how many years the manufacturer has certified engines without a
violation or a finding of noncompliance to determine whether to adjust
applicable asset thresholds or to reduce the minimum bond value. We may
set other reasonable conditions to ensure that the manufacturer will
meet applicable requirements.

[[Page 783]]

(e) If you use any of the provisions of this part that apply
specifically to small-volume manufacturers and we find that you exceed
the production limits or otherwise do not qualify as a small-volume
manufacturer, we may consider you to be in violation of the requirements
that apply for companies that are not small-volume manufacturers for
those engines produced in excess of the specified production limits. If
you no longer qualify as a small-volume engine manufacturer (based on
increased production volumes or other factors), we will work with you to
determine a reasonable schedule for complying with additional
requirements that apply. For example, if you no longer qualify as a
small-volume engine manufacturer shortly before you certify your engines
for the next model year, we might allow you to use assigned
deterioration factors for one more model year.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34522, June 29, 2021]

Sec. 1054.645 What special provisions apply for converting an engine to
use an alternate fuel?

A certificate of conformity is no longer valid for an engine if the
engine is modified such that it is not in a configuration covered by the
certificate. This section applies if such modifications are done to
convert the engine to run on a different fuel type. Such engines may
need to be recertified as specified in this section if the certificate
is no longer valid for that engine.
(a) Converting a certified new engine to run on a different fuel
type violates 40 CFR 1068.101(a)(1) if the modified engine is not
covered by a certificate of conformity.
(b) Converting a certified engine that is not new to run on a
different fuel type violates 40 CFR 1068.101(b)(1) if the modified
engine is not covered by a certificate of conformity. We may specify
alternate certification provisions consistent with the requirements of
this part. For example, you may certify the modified engine for a
partial useful life. For example, if the engine is modified halfway
through its original useful life period, you may generally certify the
engine based on completing the original useful life period; or if the
engine is modified after the original useful life period is past, you
may generally certify the engine based on testing that does not involve
further durability demonstration.
(c) Engines may be certified using the certification procedures for
new engines as specified in this part or using the certification
procedures for aftermarket parts as specified in 40 CFR part 85, subpart
V. Unless the original engine manufacturer continues to be responsible
for the engine as specified in paragraph (d) of this section, you must
remove the original engine manufacturer's emission control information
label if you recertify the engine.
(d) The original engine manufacturer is not responsible for
operation of modified engines in configurations resulting from
modifications performed by others. In cases where the modification
allows an engine to be operated in either its original configuration or
a modified configuration, the original engine manufacturer remains
responsible for operation of the modified engine in its original
configuration.
(e) Entities producing conversion kits may obtain certificates of
conformity for the converted engines. Such entities are engine
manufacturers for purposes of this part.

Sec. 1054.650 What special provisions apply for adding or changing
governors?

The special provisions in this section apply for engines that will
not be governed to control engine speeds consistent with the constant-
speed operation reflected by the duty cycles specified in Sec.
1054.505. We refer to these as constant-speed governors in this section.
Paragraph (a) of this section also applies for any engines shipped
without installed governors.
(a) The representative-testing requirements of 40 CFR 1065.10(c)(1)
related to in-use duty cycles do not apply to engines you produce and
ship without constant-speed governors if you comply with all the
following requirements:
(1) You must have test data showing that the effectiveness of the
engine's emission controls over the expected

[[Page 784]]

range of in-use operation will be similar to that measured over the
specified duty cycle. Alternatively, if your emission controls depend on
maintaining a consistent air-fuel ratio, you may demonstrate that the
engine is calibrated to maintain a consistent air-fuel ratio over the
expected range of in-use operation.
(2) Describe in your application for certification the data and
analysis that supports your conclusion.
(b) It is a violation of the tampering provisions in 40 CFR
1068.101(b)(1) to remove a governor from a certified engine unless you
recertify the engine in the modified configuration.

Sec. 1054.655 What special provisions apply for installing and removing
altitude kits?

An action for the purpose of installing or modifying altitude kits
and performing other changes to compensate for changing altitude is not
considered a prohibited act under 40 CFR 1068.101(b) if it is done
consistent with the manufacturer's instructions.

[86 FR 34522, June 29, 2021]

Sec. 1054.660 What are the provisions for exempting emergency rescue
equipment?

The provisions of this section apply for new equipment built on or
after January 1, 2010.
(a) Equipment manufacturers may introduce into U.S. commerce
equipment that is not certified to current emission standards under the
following conditions if the equipment will be used solely in emergency
rescue situations:
(1) You must determine annually that no engines certified to current
emission standards are available to power the equipment safely and
practically. We may review your records supporting this determination at
any time.
(2) You may not use exempted engines for the following equipment
used to provide remote power to a rescue tool: generators, alternators,
compressors, or pumps.
(3) If engines that meet less stringent emission standards are
capable of powering your equipment safely and practically, you must use
them as a condition of this exemption. You must use available engines
meeting the most stringent standards feasible.
(4) You must send the engine manufacturer a written request for each
exempted equipment model.
(5) You must notify the Designated Compliance Officer of your intent
to use the provisions of this section. We may require you to notify us
annually or to send us annual reports describing how you meet the
conditions of this section.
(b) For the purposes of this section, ``emergency rescue
situations'' means firefighting or other situations in which a person is
retrieved from imminent danger.
(c) As an engine manufacturer, you may produce exempt engines under
this section without our prior approval if you have a written request
for an exempted engine for use in emergency rescue equipment from the
equipment manufacturer. You must permanently label engines with the
following statement: ``EMERGENCY RESCUE EQUIPMENT--EXEMPT FROM EMISSION
STANDARDS UNDER 40 CFR 1054.660.'' Failure to properly label an engine
will void the exemption.
(d) We may discontinue an exemption under this section if we find
that engines are not used solely for emergency rescue equipment or if we
find that a certified engine is available to power the equipment safely
and practically.

Sec. 1054.690 What bond requirements apply for certified engines?

This section generally applies for certifying engine manufacturers.
It also applies to importers that do not certify engines as described in
paragraph (j) of this section.
(a) Before introducing certified engines into U.S. commerce, you
must post a bond to cover any potential compliance or enforcement
actions under the Clean Air Act with respect to engines certified under
this part unless you demonstrate to us in your application for
certification that you are able to meet any potential compliance- or
enforcement-related obligations, as described in this section. Note that
you might also need to post bond under this section to meet your
obligations under Sec. 1054.120(f).

[[Page 785]]

(b) The bonding requirements apply if you do not have long-term
assets in the United States meeting any of the following thresholds:
(1) A threshold of $3 million applies if you have been a certificate
holder in each of the preceding ten years without failing a test
conducted by EPA officials or having been found by EPA to be
noncompliant under applicable regulations.
(2) A threshold of $6 million applies if you are a secondary engine
manufacturer.
(3) A threshold of $10 million applies if you do not qualify for the
smaller bond thresholds in paragraph (b)(1) or (2) of this section.
(c) For the purpose of establishing your level of long-term assets
under paragraph (b) of this section, include the values from your most
recent balance sheet for buildings, land, and fixed equipment, but
subtract depreciation and related long-term liabilities (such as a
mortgage). If you have sufficient long-term assets to avoid bond
payments under this section, you must identify the location of these
assets in your application for certification.
(d) Determine the value of the bond as follows:
(1) Calculate a value based on the per-engine bond values shown in
Table 1 to this section and on the projected U.S.-directed production
volume from each displacement grouping for the model year. For example,
if you have projected U.S.-directed production volumes of 10,000 engines
with 180 cc displacement and 10,000 engines with 400 cc displacement in
2013, the calculated bond amount is $750,000. If the calculated value is
less than $500,000, the appropriate bond amount is $500,000. If the
calculated value exceeds the applicable threshold value specified in
paragraph (b) of this section, use the applicable threshold value as the
appropriate value of the bond. These values may be adjusted as described
in paragraphs (d)(2) through (4) of this section. You may generally
change your projected U.S.-directed production volume under Sec.
1054.225 during the model year; however, you may not decrease your bond
based on new projected U.S.-directed production volumes once you have
imported or otherwise introduced into U.S. commerce your first engine
from that model year.

Table 1 to Sec. 1054.690--Per-Engine Bond Values
------------------------------------------------------------------------
The per-
For engines with displacement falling in the following engine bond
ranges . . . value is . . .
------------------------------------------------------------------------
Disp. <225 cc........................................... $25
225 <= Disp. < 740 cc................................... 50
740 <= Disp. <= 1,000 cc................................ 100
Disp. 1,000 cc............................... 200
------------------------------------------------------------------------

(2) If your estimated or actual U.S.-directed production volume
increases beyond the level appropriate for your current bond payment,
you must post additional bond to reflect the increased volume within 90
days after you change your estimate or determine the actual production
volume. You may not decrease your bond in a given year, but you may
calculate a lower bond value in a later year based on the highest actual
U.S.-directed production volumes from the preceding three years.
(3) If you sell engines without aftertreatment components under the
provisions of Sec. 1054.610, you must increase the per-engine bond
values for the current year by 20 percent.
(4) The minimum bond value is $25,000 instead of $500,000 if you are
a small-volume engine manufacturer or a small-volume equipment
manufacturer that has been a certificate holder in each of the preceding
five years without failing a test conducted by EPA officials or having
been found by EPA to be noncompliant under applicable regulations.
(e) The threshold identified in paragraph (b) of this section and
the bond values identified in paragraph (d) of this section are in 2008
dollars. We will adjust these values for 2020 and later, and every 10
years after that, by considering the current Consumer Price Index values
published by the Bureau of Labor Statistics relative to 2008. We will
generally round values for thresholds and total bond obligations as
follows:
(1) Round calculated values at or below $125,000 to the nearest
$5,000.
(2) Round calculated values above $125,000 and at or below $2.25
million to the nearest $50,000.
(3) Round calculated values above $2.25 million to the nearest
$500,000.

[[Page 786]]

(f) If you are required to post a bond under this section, you must
get the bond from a third-party surety that is cited in the U.S.
Department of Treasury Circular 570, ``Companies Holding Certificates of
Authority as Acceptable Sureties on Federal Bonds and as Acceptable
Reinsuring Companies'' (https://www.fiscal.treasury.gov/surety-bonds/
circular-570.html). You must maintain this bond for every year in which
you sell certified engines. The surety agent remains responsible for
obligations under the bond for two years after the bond is cancelled or
expires without being replaced.
(g) If you forfeit some or all of your bond in an enforcement
action, you must post any appropriate bond for continuing sale within 90
days after you forfeit the bond amount.
(h) You will forfeit the proceeds of the bond posted under this
section if you need to satisfy any United States administrative
settlement agreement, administrative final order, or judicial judgment
against you arising from your violation of this chapter, or violation of
18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of
the Clean Air Act.
(i) If you are required to post a bond under this section, you must
note that in your application for certification as described in Sec.
1054.205. Your certification is conditioned on your compliance with this
section. Your certificate is automatically suspended if you fail to
comply with the requirements of this section. This suspension applies
with respect to all engines in your possession as well as all engines
being imported or otherwise introduced into U.S. commerce. For example,
if you maintain a bond sufficient to cover 500 engines, you may
introduce into U.S. commerce only 500 engines under your certificate;
your certificate would be automatically suspended for any additional
engines. Introducing such additional engines into U.S. commerce would
violate 40 CFR 1068.101(a)(1). For importation, U.S. Customs may deny
entry of engines lacking the necessary bond, whether there is no bond or
the value of the bond is not sufficient for the appropriate production
volumes. We may also revoke your certificate.
(j) The following provisions apply if you import engines for resale
when those engines have been certified by someone else (or equipment
containing such engines):
(1) You and the certificate holder are each responsible for
compliance with the requirements of this part and the Clean Air Act. For
example, we may require you to comply with the warranty requirements in
Sec. 1054.120.
(2) You do not need to post bond if you or the certificate holder
complies with the bond requirements of this section. You also do not
need to post bond if the certificate holder complies with the asset
requirements of this section and the repair-network provisions of Sec.
1054.120(f)(4).

[73 FR 59259, Oct. 8, 2008, as amended at 74 FR 8426, Feb. 24, 2009; 75
FR 23025, Apr. 30, 2010; 80 FR 9114, Feb. 19, 2015; 86 FR 34522, June
29, 2021]

Subpart H_Averaging, Banking, and Trading for Certification

Sec. 1054.701 General provisions.

[[Page 787]]

(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) Standard means the emission standard that applies under subpart
B of this part for engines or fuel-system components not participating
in the ABT program of this subpart.
(9) Trade means to exchange emission credits, either as a buyer or
seller.
(c) The use of emission credits is limited to averaging sets, as
follows:
(1) You may not average or exchange exhaust credits with evaporative
credits, or vice versa.
(2) Handheld engines and nonhandheld engines are in separate
averaging sets with respect to exhaust emissions except as specified in
Sec. 1054.740(e). You may use emission credits generated with Phase 2
engines for Phase 3 handheld engines only if you can demonstrate that
those credits were generated by handheld engines, except as specified in
Sec. 1054.740(e). Similarly, you may use emission credits generated
with Phase 2 engines for Phase 3 nonhandheld engines only if you can
demonstrate that those credits were generated by nonhandheld engines,
subject to the provisions of Sec. 1054.740.
(3) Equipment using handheld engines and equipment using nonhandheld
engines are in separate averaging sets with respect to evaporative
emissions. You may not average or exchange evaporative credits between
either of these averaging sets.
(4) For purposes of calculating emission credits under this subpart,
engines with displacement at or below 80 cc are presumed to be handheld
engines. You may treat these as nonhandheld engines for calculating
exhaust or evaporative emission credits only for those engines you can
demonstrate will be installed in nonhandheld equipment. For example, if
50 percent of engines in a family will be used in nonhandheld equipment,
you may calculate the emission credits for 50 percent of the engines to
be nonhandheld credits. Use the specified calculation methods for
handheld engines to quantify positive or negative exhaust emission
credits for all engines at or below 80 cc.
(d) You may not generate evaporative credits based on permeation
measurements from metal fuel tanks.
(e) 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
exhaust emissions from an engine exceed an exhaust FEL or standard (for
example, during a selective enforcement audit), you may use emission
credits to recertify the family with a higher FEL that applies only to
future production.
(f) Emission credits may be used in the model year they are
generated (averaging) and in future model years (banking). Emission
credits may not be used for past model years.
(g) You may increase or decrease an exhaust FEL during the model
year by amending your application for certification under Sec.
1054.225. See 40 CFR 1060.225 for provisions related to changing an FEL
for fuel tank permeation.
(h) Engine and equipment manufacturers certifying with respect to
evaporative emissions may use emission credits to demonstrate compliance
under this subpart. Component manufacturers may establish FELs for their
certified products, but they may not generate or use emission credits
under this subpart.
(i) As described in Sec. 1054.730, compliance with the requirements
of this subpart is determined at the end of the model year based on
actual U.S.-directed production volumes. Do not include any of the
following engines or equipment to calculate emission credits:
(1) Engines or equipment with a permanent exemption under subpart G
of this part or under 40 CFR part 1068.
(2) Engines or equipment intended for export.
(3) Engines or equipment that are subject to state emission
standards for that model year. However, this restriction does not apply
if we determine that the state standards and requirements are equivalent
to those of this part and that products sold in such a

[[Page 788]]

state will not generate credits under the state program. For example,
you may not include engines or equipment certified for California if
California has more stringent emission standards for these products or
if your products generate or use emission credits under the California
program.
(4) Engines or equipment not subject to the requirements of this
part, such as those excluded under Sec. 1054.5.
(5) Any other engines or equipment where we indicate elsewhere in
this part 1054 that they are not to be included in the calculations of
this subpart.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.705 How do I generate and calculate exhaust emission credits?

The provisions of this section apply for calculating exhaust
emission credits. You may generate exhaust emission credits only if you
are a certifying engine manufacturer.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg) using consistent units throughout the following
equation:

Emission credits (kg) = (STD - FEL) x (Volume) x (Power) x (UL) x (LF) x
(10^-3)

Where:

STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the averaging,
banking, and trading program within the given family during
the model year, as described in Sec. 1054.701(i).
Power = the maximum modal power of the emission-data engine as
calculated from the applicable test procedure described in
subpart F of this part, in kilowatts.
UL = the useful life for the given family, in hours.
LF = load factor. Use 0.47 for nonhandheld engines and 0.85 for handheld
engines. We may specify a different load factor if we approve
the use of special test procedures for a family under 40 CFR
1065.10(c)(2), consistent with good engineering judgment.

(b) [Reserved]

Sec. 1054.706 How do I generate and calculate evaporative emission
credits?

The provisions of this section apply for calculating evaporative
emission credits related to fuel tank permeation. You may generate
credits only if you are a certifying equipment manufacturer. This may
include engine manufacturers that make engines with complete fuel
systems as described in Sec. 1054.2.
(a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission standard.
Calculate positive emission credits for a family that has an FEL below
the standard. Calculate negative emission credits for a family that has
an FEL above the standard. Sum your positive and negative credits for
the model year before rounding. Round the sum of emission credits to the
nearest kilogram (kg) using consistent units throughout the following
equation:

Emission credits (kg) = (STD-FEL) x (Total Area) x (UL) x (AF) x (365) x
(10^-3)

Where:
STD = the emission standard, in g/m\2\/day.
FEL = the family emission limit for the family, in g/m\2\/day, as
described in paragraph (b) of this section.
Total Area = The combined internal surface area of all fuel tanks in the
family, taking production volume into account, in m\2\.
UL = 5 years, which represents the useful life for the given family.
AF= adjustment factor. Use 1.0 for testing at 28 [deg]C; use 0.60 for
testing at 40 [deg]C.

[[Page 789]]

testing at 40 [deg]C as described in paragraph (b)(3) of this section.
(1) To use an FEL below 5.0 g/m\2\/day, it must be based on emission
measurements.
(2) The provisions of this paragraph (b)(2) apply for all emission
families with FELs at or above 5.0 g/m\2\/day. To calculate emission
credits for such emission families, you must choose from one of the
following options and apply it to all your emission families with FELs
at or above 5.0 g/m\2\/day:
(i) Option 1: Establish all your FELs based on emission
measurements. This may include measurements from a certifying fuel tank
manufacturer.
(ii) Option 2: Use an assigned FEL of 10.4 g/m\2\/day. This would
apply without regard to whether any of these emission families have
measured emission levels below 10.4 g/m\2\/day. If any of your fuel
tanks were otherwise certified (by you or the fuel tank manufacturer)
with an FEL at or above 5.0 g/m\2\/day, the assigned FEL of 10.4 g/m\2\/
day applies only for emission credit calculations.
(3) Determine the FEL for calculating emission credits relative to
testing at 40 [deg]C as described in paragraph (b)(1) and (2) of this
section, but use 8.3 g/m\2\/day instead of 5.0 g/m\2\/day and use 17.3
g/m\2\/day instead of 10.4 g/m\2\/day.

Sec. 1054.710 How do I average emission credits?

(a) Averaging is the exchange of emission credits among your
families. You may average emission credits only within the same
averaging set.
(b) You may certify one or more families to an FEL above the
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 a family to an FEL that exceeds the otherwise
applicable standard, you must obtain enough emission credits to offset
the family's deficit by the due date for the final report required in
Sec. 1054.730. The emission credits used to address the deficit may
come from your other 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.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.715 How do I bank emission credits?

(a) Banking is the retention of emission credits by the manufacturer
generating the emission credits for use in future model years for
averaging or trading. You may use banked emission credits only within
the averaging set in which they were generated, except as described in
this subpart.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1054.730 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.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.720 How do I trade emission credits?

(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 may be
used only within the averaging set in which they were generated, except
as described in this subpart.
(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 engine or
equipment manufacturer.
(c) If a negative emission credit balance results from a
transaction, both

[[Page 790]]

the buyer and seller are liable, except in cases we deem to involve
fraud. See Sec. 1054.255(e) for cases involving fraud. We may void the
certificates of all families participating in a trade that results in a
manufacturer having a negative balance of emission credits. See Sec.
1054.745.

Sec. 1054.725 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 family that will
be certified using the ABT program. You must also declare the FELs you
select for the 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 emission standard.
(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 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.730 What ABT reports must I send to EPA?

(a) If any of your 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 family participating in the ABT program:
(1) Family designation and averaging set.
(2) The emission standards that would otherwise apply to the 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. 1054.225.
(4) The projected and actual U.S.-directed production volumes for
the model year as described in Sec. 1054.701(i). For fuel tanks, state
the production volume in terms of surface area and production volume for
each fuel tank configuration and state the total surface area for the
emission family. If you changed an FEL during the model year, identify
the actual U.S.-directed production volume associated with each FEL.
(5) The maximum modal power of the emission-data engine or the
appropriate internal surface area of the fuel tank.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole
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 families in each averaging set in the applicable model
year is not negative.
(2) State whether you will retain 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.

[[Page 791]]

(ii) A copy of any contracts related to the trade.
(iii) The averaging set corresponding to the 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, send us a written request with justification for a
waiver.
(f) 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 (f)(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.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010; 86
FR 34523, June 29, 2021]

Sec. 1054.735 What records must I keep?

(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 or equipment if you do not keep all the
records required under this section. You must therefore keep these
records to continue to bank valid credits.
(c) Keep a copy of the reports we require in Sec. 1054.730.
(d) Keep records of the engine identification number for each engine
or piece of equipment you produce that generates or uses emission
credits under the ABT program. You may identify these numbers as a
range. If you change the FEL after the start of production, identify the
date you started using each FEL and the range of engine identification
numbers associated with each FEL.
(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 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.740 What special provisions apply for generating and using
emission credits?

(a) You may generate Phase 3 emission credits from 2008 through 2011
model year Class I engines if you voluntarily meet the Phase 3 exhaust
emission standards specified in Sec. 1054.105. Divide these into
transitional and enduring emission credits as follows:
(1) Transitional credits are based on reducing emissions from Phase
2 levels down to Phase 3 levels. Calculate the value of transitional
emission credits as described in Sec. 1054.705, based on setting STD
equal to 15.0 g/kW-hr and FEL equal to 10.0 g/kW-hr. You may use these
transitional credits only for Class I engines in 2012 through 2014 model
years. You may not use these transitional credits for Class II engines.
(2) Enduring credits are based on reducing emissions below Phase 3
levels. Calculate the value of enduring credits as described in Sec.
1054.705, based on setting STD equal to 10.0 g/kW-hr and FEL to the
value of the family emission limit you select for the family. You may
use these enduring credits for any nonhandheld engines certified to the
Phase 3 standards under this part,

[[Page 792]]

except as specified in paragraph (d) of this section.
(b) You may generate Phase 3 emission credits from 2008 through 2010
model year Class II engines if you voluntarily meet the Phase 3 exhaust
emission standards specified in Sec. 1054.105. Divide these into
transitional and enduring emission credits as follows:
(1) Transitional credits are based on reducing emissions from Phase
2 levels down to Phase 3 levels. Calculate the value of transitional
emission credits as described in Sec. 1054.705, based on setting STD
equal to 11.0 g/kW-hr and FEL equal to 8.0 g/kW-hr. You may use these
transitional credits only for Class II engines in 2011 through 2013
model years. You may not use these transitional credits for Class I
engines.
(2) Enduring credits are based on reducing emissions below Phase 3
levels. Calculate the value of enduring credits as described in Sec.
1054.705, based on setting STD equal to 8.0 g/kW-hr and FEL to the value
of the family emission limit you select for the family. You may use
these enduring credits for any nonhandheld engines certified to the
Phase 3 standards under this part, except as specified in paragraph (d)
of this section.
(c) You may not use emission credits generated by nonhandheld
engines certified to Phase 2 emission standards to demonstrate
compliance with the Phase 3 exhaust emission standards in 2014 and later
model years.
(d) [Reserved]
(e) You may use Phase 2 or Phase 3 emission credits from nonhandheld
engines to demonstrate compliance with the Phase 3 standards for
handheld engines subject to the following restrictions:
(1) The handheld family must be certified in 2008 and all later
model years using carryover of emission data from an engine family that
was most recently certified with new emission data in 2007 or an earlier
model year.
(2) The handheld family's FEL may not increase above the level
selected for the 2007 model year in later years unless such an increase
is based on emission data from production engines.
(3) Your total production of handheld engines certified under this
paragraph (e) may not exceed 30,000 in any model year.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34523, June 29, 2021]

Sec. 1054.745 What can happen if I do not comply with the provisions
of this subpart?

Subpart I_Definitions and Other Reference Information

Sec. 1054.801 What definitions apply to this part?

[[Page 793]]

access if it cannot be adjusted to affect emissions without
significantly degrading engine performance, or if you otherwise 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, thermal reactor, 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),
turbochargers, and oxygen sensors are not aftertreatment.
Alcohol-fueled engine means 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.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Applicable emission standard or applicable standard means an
emission standard to which an engine (or equipment) is subject.
Additionally, if an engine (or equipment) has been or is being certified
to another standard or FEL, applicable emission standard means the FEL
or other standard to which the engine (or equipment) has been or is
being certified. This definition does not apply to subpart H of this
part.
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.
Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
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. 1054.235(d).
Certification means relating to the process of obtaining a
certificate of conformity for an emission family that complies with the
emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission
level in an emission family for a given pollutant from either transient
or steady-state testing.
Class I means relating to nonhandheld engines with total
displacement below 225 cc. See Sec. 1054.101 for special provisions
that apply for engines with total displacement at or below 80 cc.
Class II means relating to nonhandheld engines with total
displacement at or above 225 cc.
Class III means relating to handheld engines with total displacement
below 20 cc.
Class IV means relating to handheld engines with total displacement
at or above 20 cc but below 50 cc.
Class V means relating to handheld engines with total displacement
at or above 50 cc.
Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
Cold-weather equipment is limited to the following types of handheld
equipment: chainsaws, cut-off saws, clearing saws, brush cutters with
engines at or above 40cc, commercial earth and wood drills, and ice
augers. This includes earth augers if they are also marketed as ice
augers.
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.
Critical emission-related component means any of the following
components:
(1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, air filters,
spark

[[Page 794]]

plugs, and all sensors and actuators associated with any of these
components.
(2) Any other component whose primary purpose is to reduce
emissions.
Date of manufacture has the meaning given in 40 CFR 1068.30.
Days means calendar days unless otherwise specified. For example,
when we specify working days we mean calendar days, excluding weekends
and U.S. national holidays.
Designated Compliance Officer means the Director, Gasoline Engine
Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood
Drive, Ann Arbor, MI 48105; [email protected].
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means the relationship between emissions at the
end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1054.240 and 1054.245), 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. 1054.505.
Displacement has the meaning given in Sec. 1054.140.
Dry weight means the weight of the equipment as sold without fuel,
oil, or engine coolant.
Dual-fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels (see
Sec. 1054.601(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-data equipment means an engine, piece of equipment, or fuel
system component that is tested for certification. This includes units
tested to establish deterioration factors.
Emission family has the meaning given in Sec. 1054.230. We may
refer to emission families as ``engine families'' where provisions
relate only to exhaust emissions from engines.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
Engine configuration means a unique combination of engine hardware
and calibration within an emission family. Engines within a single
engine configuration differ only with respect to normal production
variability or factors unrelated to emissions.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer.
Equipment means any mechanical device commonly known as equipment,
including vehicles. If the equipment has an installed engine, the term
equipment includes the installed engine and fuel system components.
Equipment manufacturer means a manufacturer of nonroad equipment.
All nonroad equipment manufacturing entities under the control of the
same person are considered to be a single nonroad equipment
manufacturer. (Note: In Sec. 1054.626, the term ``equipment
manufacturer'' has a narrower meaning that applies only to that
section.).
Evaporative means relating to fuel emissions controlled by 40 CFR
part 1060. This generally includes emissions that result from permeation
of fuel through the fuel-system materials or from ventilation of the
fuel system.

[[Page 795]]

Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1054.5, is not
subject to this part 1054.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust-gas recirculation (EGR) 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 emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places as
the emission standard it replaces. The family emission limit serves as
the emission standard for the engine family (exhaust) or emission family
(evaporative) with respect to all required testing.
Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels (see Sec. 1054.601(d)).
Fuel line means hose or tubing designed to contain liquid fuel
(including molded hose or tubing). This does not include any of the
following:
(1) Fuel tank vent lines.
(2) Segments of hose or tubing whose external surface is normally
exposed to liquid fuel inside the fuel tank.
(3) Hose or tubing designed to return unused fuel from the
carburetor to the fuel tank for handheld engines.
(4) Primer bulbs that contain liquid fuel only for priming the
engine before starting.
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 gasoline or
natural gas. There can be multiple grades within a single fuel type,
such as premium gasoline, regular gasoline, or low-level ethanol-
gasoline blends.
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.
Handheld means relating to equipment that meets any of the following
criteria:
(1) It is carried by the operator throughout the performance of its
intended function.
(2) It is designed to operate multi-positionally, such as upside
down or sideways, to complete its intended function.
(3) It has a combined engine and equipment dry weight under 16.0
kilograms, has no more than two wheels, and at least one of the
following attributes is also present:
(i) The operator provides support or carries the equipment
throughout the performance of its intended function. Carry means to
completely bear the weight of the equipment, including the engine.
Support means to hold a piece of equipment in position to prevent it
from falling, slipping, or sinking, without carrying it.
(ii) The operator provides support or attitudinal control for the
equipment throughout the performance of its intended function.
Attitudinal control involves regulating the horizontal or vertical
position of the equipment.
(4) It is an auger with a combined engine and equipment dry weight
under 22.0 kilograms.
(5) It is used in a recreational application with a combined total
vehicle dry weight under 20.0 kilograms.
(6) It is a hand-supported jackhammer or rammer/compactor. This does
not include equipment that can remain upright without operator support,
such as a plate compactor.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in subpart B of
this part.

[[Page 796]]

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.
Integrated equipment manufacturer means an equipment manufacturer
that also manufactures the engines for its equipment. Equipment
manufacturers that manufacture the engines for some but not all of their
equipment are considered to be integrated manufacturers for that
equipment using the manufacturer's own engines.
Intermediate-speed equipment means nonhandheld equipment in which
the installed engine is intended for operation at speeds substantially
below 3600 rpm.
Low-hour means relating to an engine that is considered to have
stabilized emissions and represents the undeteriorated emission level. A
low-hour engine typically operates no more than a few hours beyond the
minimum stabilization period. However, a low-hour engine could have more
hours as long as emissions remain stable. In the absence of other
information, a low-hour engine with a useful life of 300 hours or less
would generally have operated no more than 15 hours and a low-hour
engine with a longer useful life would generally have operated no more
than 24 hours.
Manufacture means the physical and engineering process of designing,
constructing, and assembling an engine or piece of equipment.
Manufacturer has the meaning given in section 216(1) of the Clean
Air Act (42 U.S.C. 7550(1)). 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 nonroad engine
or piece of equipment into U.S. commerce. This includes importers who
import engines, equipment, or vehicles for resale, but not dealers. All
manufacturing entities under the control of the same person are
considered to be a single manufacturer.
Marine engine means a nonroad engine that is installed or intended
to be installed on a vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion. This includes a portable auxiliary marine engine only if its
fueling, cooling, or exhaust system is an integral part of the vessel.
Marine generator engine means an auxiliary marine engine used
primarily to operate an electrical generator or alternator to produce
electric power.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Maximum engine power has the meaning given in Sec. 1054.140.
Maximum test torque has the meaning given in 40 CFR 1065.1001.
Model year has the meaning given in 40 CFR part 1060 for equipment
and means one of the following things for engines:
(1) For freshly manufactured engines (see definition of ``new
nonroad engine,'' paragraph (1)), model year means your annual new model
production period. This must include January 1 of the calendar year for
which the model year is named. It may not begin before January 2 of the
previous calendar year and it must end by December 31 of the named
calendar year. For seasonal production periods not including January 1,
model year means the calendar year in which the production occurs,
unless you choose to certify the applicable emission family with the
following model year. For example, if your production period is June 1,
2010 through November 30, 2010, your model year would be 2010 unless you
choose to certify the emission family for model year 2011.
(2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the

[[Page 797]]

calendar year in which the engine becomes a new nonroad engine. (See
definition of ``new nonroad engine,'' paragraph (2).)
(3) For a nonroad engine excluded under Sec. 1054.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced (see
definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
(ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine,'' model year means the calendar year
in which the engine is assembled in its final certified configuration.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar year
in which the engine is assembled in its imported configuration, unless
specified otherwise in this part or in 40 CFR part 1068.
Motor vehicle has the meaning given in 40 CFR 85.1703(a).
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced until
the ultimate purchaser receives the title or the product is placed into
service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or a
stationary engine that is later used or intended to be used in a piece
of nonroad equipment. In this case, the engine is no longer a motor
vehicle or stationary engine and becomes a ``new nonroad engine.'' The
engine is no longer new when it is placed into nonroad service. This
paragraph (2) applies if a motor vehicle engine or a stationary engine
is installed in nonroad equipment, or if a motor vehicle or a piece of
stationary equipment is modified (or moved) to become nonroad equipment.
(3) A nonroad engine that has been previously placed into service in
an application we exclude under Sec. 1054.5, when that engine is
installed in a piece of equipment that is covered by this part. The
engine is no longer new when it is placed into nonroad service covered
by this part. For example, this paragraph (3) would apply to a marine-
propulsion engine that is no longer used in a marine vessel but is
instead installed in a piece of nonroad equipment subject to the
provisions of this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a title
for the equipment or the product is placed into service, whichever comes
first.
(5) An imported nonroad engine, subject to the following provisions:
(i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or more
of paragraphs (1) through (4) of this definition, where the original
engine manufacturer holds the certificate, is new as defined by
paragraphs (1) through (4).
(ii) An imported engine that will be covered by a certificate of
conformity issued under this part, where someone other than the original
engine manufacturer holds the certificate (such as when the engine is
modified after its initial assembly), is a new nonroad engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
(iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the

[[Page 798]]

time of importation is new. This paragraph (5)(iii) addresses
uncertified engines and equipment initially placed into service that
someone seeks to import into the United States. Importation of this kind
of engine (or equipment containing such an engine) is generally
prohibited by 40 CFR part 1068. However, the importation of such an
engine is not prohibited if the engine has a date of manufacture before
January 1, 1997, since it is not subject to standards.
New nonroad equipment means either of the following things:
(1) A nonroad piece of equipment for which the ultimate purchaser
has never received the equitable or legal title. The product is no
longer new when the ultimate purchaser receives this title or the
product is placed into service, whichever comes first.
(2) A nonroad piece of equipment with an engine that becomes new
while installed in the equipment. For example, a complete piece of
equipment that was imported without being covered by a certificate of
conformity would be new nonroad equipment because the engine would be
considered new at the time of importation.
Noncompliant engine or noncompliant equipment means an engine or
equipment 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 or nonconforming equipment means an engine or
equipment not covered by a certificate of conformity that would
otherwise be subject to emission standards.
Nonhandheld means relating to an engine (or equipment) subject to
the standards of this part that is not a handheld engine (or equipment).
Nonintegrated equipment manufacturer means an equipment manufacturer
that is not an integrated equipment manufacturer. Equipment
manufacturers that manufacture the engines for some but not all of their
equipment are considered to be nonintegrated manufacturers for that
equipment using a different engine manufacturer's engines.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbon and the emitted mass of methane.
Nonroad means relating to nonroad engines or equipment that includes
nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle engines,
stationary engines, engines used solely for competition, or engines used
in aircraft.
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.
Overhead valve means relating to a four-stroke spark-ignition engine
in which the intake and exhaust valves are located above the combustion
chamber within the cylinder head. Such engines are sometimes referred to
as ``valve-in-head'' engines.
Owners manual means a document or collection of documents prepared
by the engine 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.
Permeation emissions means fuel that escapes from the fuel system by
diffusing through the walls of fuel-system components.
Phase 1 means relating to the Phase 1 emission standards described
in appendix I of this part.
Phase 2 means relating to the Phase 2 emission standards described
in appendix I of this part.
Phase 3 means relating to the Phase 3 exhaust emission standards
described in Sec. 1054.105.
Placed into service means put into initial use for its intended
purpose. Engines and equipment do not qualify as being ``placed into
service'' based on incidental use by a manufacturer or dealer.

[[Page 799]]

Ramped-modal means relating to the ramped-modal type of steady-state
test described in Sec. 1054.505.
Rated-speed equipment means nonhandheld equipment in which the
installed engine is intended for operation at a rated speed that is
nominally 3600 rpm or higher.
Recreational application means an application in which a vehicle is
ridden primarily for pleasure. Note that engines used in reduced-scale
model vehicles that cannot be ridden (such as model airplanes) are
excluded from this part under Sec. 1054.5.
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. In general this
means to terminate the certificate or an exemption for an engine family.
Round has the meaning given in 40 CFR 1065.1001.
Running loss emissions has the meaning given in 40 CFR 1060.801.
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.
Side valve means relating to a four-stroke spark-ignition engine in
which the intake and exhaust valves are located to the side of the
cylinder, not within the cylinder head. Such engines are sometimes
referred to as ``L-head'' engines.
Small-volume emission family means one of the following:
(1) For requirements related to exhaust emissions for nonhandheld
engines and to exhaust and evaporative emissions for handheld engines,
small-volume emission family means any emission family whose U.S.-
directed production volume in a given model year is projected at the
time of certification to be no more than 5,000 engines or pieces of
equipment.
(2) For requirements related to evaporative emissions for
nonhandheld equipment, small-volume emission family means any equipment
manufacturer's U.S.-directed production volume for identical fuel tank
is projected at the time of certification to be no more than 5,000
units. Tanks are generally considered identical if they are produced
under a single part number to conform to a single design or blueprint.
Tanks should be considered identical if they differ only with respect to
production variability, post-production changes (such as different
fittings or grommets), supplier, color, or other extraneous design
variables.
Small-volume engine manufacturer means one of the following:
(1) For handheld engines, an engine manufacturer that had U.S.-
directed production volume of handheld engines of no more than 25,000
handheld engines in any calendar year. For manufacturers owned by a
parent company, this production limit applies to the production of the
parent company and all its subsidiaries.
(2) For nonhandheld engines, an engine manufacturer that had U.S.-
directed production volume of no more than 10,000 nonhandheld engines in
any calendar year. For manufacturers owned by a parent company, this
production limit applies to the production of the parent company and all
its subsidiaries.
(3) An engine manufacturer that we designate to be a small-volume
engine manufacturer under Sec. 1054.635.
Small-volume equipment manufacturer means one of the following:
(1) For handheld equipment, an equipment manufacturer that had a
U.S.-directed production volume of no more than 25,000 pieces of
handheld equipment in any calendar year. For manufacturers owned by a
parent company, this production limit applies to the production of the
parent company and all its subsidiaries.
(2) For nonhandheld equipment, an equipment manufacturer with annual
U.S.-directed production volumes of no more than 5,000 pieces of
nonhandheld equipment in any calendar year. For manufacturers owned by a
parent company, this production limit applies to

[[Page 800]]

the production of the parent company and all its subsidiaries.
(3) An equipment manufacturer that we designate to be a small-volume
equipment manufacturer under Sec. 1054.635.
Snowthrower engine means an engine used exclusively to power
snowthrowers.
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 means relating to emission tests in which engine speed
and load are held at a finite set of essentially constant values.
Steady-state tests are either discrete-mode tests or ramped-modal tests.
Structurally integrated nylon fuel tank has the meaning given in 40
CFR 1060.801.
Subchapter U means the portion of the Code of Federal Regulations
including 40 CFR parts 1000 through 1299.
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.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an emission family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Tethered gas cap means a gas cap that is loosely but permanently
connected to the fuel tank.
Thermal reactor means a hot surface in the engine exhaust system
that has the effect of significantly lowering emissions of one or more
regulated pollutants. Hot surfaces that have an inconsequential effect
on emissions are not thermal reactors.
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 an
atomic 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 engines. The
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases such
new nonroad equipment or new nonroad engine for purposes other than
resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year for an emission family means the model year
after the one currently in production.
U.S.-directed production volume means the number of engine or
equipment units, subject to the requirements of this part, produced by a
manufacturer for which the manufacturer has a reasonable assurance that
sale was or will be made to ultimate purchasers in the United States.
Useful life means the period during which the engine and equipment
are designed to properly function in terms of power output and intended
function, without being remanufactured, specified as a number of hours
of operation or calendar years, whichever comes first. It is the period
during which a nonroad engine is required to comply with all applicable
emission standards. See, for example, Sec. Sec. 1054.107, 1054.110, and
1054.112. If an engine has no hour meter, the specified number of hours
does not limit the period during which an in-use engine is required to
comply with emission standards unless the degree of service accumulation
can be verified separately.
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means marine vessel.
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 801]]

Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
Wide-open throttle means maximum throttle opening.
Wintertime engine means an engine used exclusively to power
equipment that is used only in wintertime, such as snowthrowers and ice
augers.

[73 FR 59259, Oct. 8, 2008, as amended at 75 FR 23026, Apr. 30, 2010; 86
FR 34523, June 29, 2021]

Sec. 1054.805 What symbols, acronyms, and abbreviations does
this part use?

The following symbols, acronyms, and abbreviations apply to this
part:
ABT Averaging, banking, and trading.
cc cubic centimeters.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g gram.
HC hydrocarbon.
hr hour.
kPa kilopascals.
kW kilowatts.
N2O nitrous oxide.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psig pounds per square inch of gauge pressure.
RPM revolutions per minute.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
U.S.C. United States Code.

Sec. 1054.815 What provisions apply to confidential information?

The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

[86 FR 34525, June 29, 2021]

Sec. 1054.820 How do I request a hearing?

Sec. 1054.825 What reporting and recordkeeping requirements apply
under this part?

[[Page 802]]

this chapter. The following items illustrate the kind of reporting and
recordkeeping we require for engines and equipment regulated under this
part:
(1) We specify the following requirements related to engine and
equipment certification in this part:
(i) In Sec. 1054.20 we require equipment manufacturers to label
their equipment if they are relying on component certification.
(ii) In Sec. 1054.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
(iii) In Sec. 1054.145 we include various reporting and
recordkeeping requirements related to interim provisions.
(iv) In subpart C of this part we identify a wide range of
information required to certify engines.
(v) In Sec. Sec. 1054.345 and 1054.350 we specify certain records
related to production-line testing.
(vi) [Reserved]
(vii) 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.
(viii) In Sec. Sec. 1054.725, 1054.730, and 1054.735 we specify
certain records related to averaging, banking, and trading.
(2) We specify the following requirements related to component and
equipment certification in 40 CFR part 1060:
(i) In 40 CFR 1060.20 we give an overview of principles for
reporting information.
(ii) In 40 CFR part 1060, subpart C, we identify a wide range of
information required to certify products.
(iii) In 40 CFR 1060.301 we require manufacturers to keep records
related to evaluation of production samples for verifying that the
products are as specified in the certificate of conformity.
(iv) In 40 CFR 1060.310 we require manufacturers to make components,
engines, or equipment available for our testing if we make such a
request.
(v) In 40 CFR 1060.505 we specify information needs for establishing
various changes to published test procedures.
(3) 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.
(4) 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 equipment 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.

[86 FR 34525, June 29, 2021]

[[Page 803]]

Sec. Appendix I to Part 1054--Summary of Previous Emission Standards

The following standards, which EPA originally adopted under 40 CFR
part 90, apply to nonroad spark-ignition engines produced before the
model years specified in Sec. 1054.1:
(a) Handheld engines. (1) Phase 1 standards apply for handheld
engines as summarized in the following table starting with model year
1997:

Table 1 to Appendix I--Phase 1 Emission Standards for Handheld Engines
[g/kW-hr] \a\
------------------------------------------------------------------------
Engine displacement class HC NOX CO
------------------------------------------------------------------------
Class III........................... 295 5.36 805
Class IV............................ 241 5.36 805
Class V............................. 161 5.36 603
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.

(2) Phase 2 standards apply for handheld engines as summarized in
the following table starting with model year 2002 for Class III and
Class IV, and starting in model year 2004 for Class V:

Table 2 to Appendix I--Phase 2 Emission Standards for Handheld Engines
[g/kW-hr]
------------------------------------------------------------------------
Engine displacement class HC + NOX CO
------------------------------------------------------------------------
Class III............................... \a\ 50 805
Class IV................................ \b\ 50 805
Class V................................. \c\ 72 603
------------------------------------------------------------------------
\a\ Class III engines had alternate HC+NOX standards of 238, 175, and
113 for model years 2002, 2003, and 2004, respectively.
\b\ Class IV engines had alternate HC+NOX standards of 196, 148, and 99
for model years 2002, 2003, and 2004, respectively.
\c\ Class V engines had alternate HC+NOX standards of 143, 119, and 96
for model years 2004, 2005, and 2006, respectively.

(b) Nonhandheld engines. (1) Phase 1 standards apply for nonhandheld
engines as summarized in the following table starting with model year
1997:

Table 3 to Appendix I--Phase 1 Emission Standards for Nonhandheld
Engines
[g/kW-hr] \a\
------------------------------------------------------------------------
Engine displacement class HC + NOX CO
------------------------------------------------------------------------
Class I................................. 16.1 519
Class II................................ 13.4 519
------------------------------------------------------------------------
\a\ Phase 1 standards are based on testing with new engines only.

(2) Phase 2 standards apply for nonhandheld engines as summarized in
the following table starting with model year 2001 (except as noted for
Class I engines):

Table 4 to Appendix I--Phase 2 Emission Standards for Nonhandheld
Engines
[g/kW-hr]
------------------------------------------------------------------------
HC + NOX
Engine displacement class NMHC + NOX CO
------------------------------------------------------------------------
Class I-A......................... 50 .............. 610
Class I-B......................... 40 37 610
Class I \a\....................... 16.1 14.8 610
Class II \b\...................... 12.1 11.3 610
------------------------------------------------------------------------
\a\ The Phase 2 standards for Class I engines apply for new engines
produced starting August 1, 2007, and for any engines belonging to an
engine model whose original production date was on or after August 1,
2003.
\b\ Class II engines had alternate HC + NOX standards of 18.0, 16.6,
15.0, 13.6 and alternate NMHC + NOX standards of 16.7, 15.3, 14.0,
12.7 for model years 2001 through 2004, respectively.

(3) Note that engines subject to Phase 1 standards were not subject
to useful life provisions as specified in Sec. 1054.107. In addition,
engines subject to Phase 1 standards and engines subject to Phase 2
standards were both not subject to the following provisions:
(i) Evaporative emission standards as specified in Sec. Sec.
1054.110 and 1054.112.
(ii) Altitude adjustments as specified in Sec. 1054.115(c).
(iii) Warranty assurance provisions as specified in Sec.
1054.120(f).
(iv) Emission-related installation instructions as specified in
Sec. 1054.130.
(v) Bonding requirements as specified in Sec. 1054.690.

[86 FR 34526, June 29, 2021]

Sec. Appendix II to Part 1054--Duty Cycles for Laboratory Testing

(a) Test handheld engines with the following steady-state duty
cycle:

------------------------------------------------------------------------
Torque
G3 mode No. Engine speed \a\ (percent) Weighting
\b\ factors
------------------------------------------------------------------------
1............................. Rated speed....... 100 0.85
2............................. Warm idle 0 0.15
------------------------------------------------------------------------
\a\ Test engines at the specified speeds as described in Sec.
1054.505.
\b\ Test engines at 100 percent torque by setting operator demand to
maximum. Control torque during idle at its warm idle speed as
described in 40 CFR 1065.510.

(b) Test nonhandheld engines with one of the following steady-state
duty cycles:
(1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
Torque
G2 mode No. \a\ (percent) Weighting
\b\ factors
------------------------------------------------------------------------
1................................................ 100 0.09
2................................................ 75 0.2
3................................................ 50 0.29
4................................................ 25 0.3
5................................................ 10 0.07

[[Page 804]]

6................................................ 0 0.05
------------------------------------------------------------------------
\a\ Control engine speed as described in Sec. 1054.505. Control engine
speed for Mode 6 as described in Sec. 1054.505(c) for idle
operation.
\b\ The percent torque is relative to the value established for full-
load torque, as described in Sec. 1054.505.

(2) The following duty cycle applies for ramped-modal testing:

Table 3 to Paragraph (b)(2)
------------------------------------------------------------------------
Time in
RMC mode \a\ mode Torque (percent) b c
(seconds)
------------------------------------------------------------------------
1a Steady-state..................... 41 0.
1b Transition....................... 20 Linear transition.
2a Steady-state..................... 135 100.
2b Transition....................... 20 Linear transition.
3a Steady-state..................... 112 10.
3b Transition....................... 20 Linear transition.
4a Steady-state..................... 337 75.
4b Transition....................... 20 Linear transition.
5a Steady-state..................... 518 25.
5b Transition....................... 20 Linear transition.
6a Steady-state..................... 494 50.
6b Transition....................... 20 Linear transition.
7 Steady-state...................... 43 0.
------------------------------------------------------------------------
\a\ Control engine speed as described in Sec. 1054.505. Control engine
speed for Mode 6 as described in Sec. 1054.505(c) for idle
operation.
\b\ Advance from one mode to the next within a 20-second transition
phase. During the transition phase, command a linear progression from
the torque setting of the current mode to the torque setting of the
next mode.
\c\ The percent torque is relative to the value established for full-
load torque, as described in Sec. 1054.505.

[73 FR 59259, Oct. 8, 2008, as amended at 86 FR 34527, June 29, 2021]

[[Page 805]]

FINDING AIDS

--------------------------------------------------------------------

A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.

Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

[[Page 807]]

Table of CFR Titles and Chapters

(Revised as of July 1, 2022)

Title 1--General Provisions

I Administrative Committee of the Federal Register
(Parts 1--49)
II Office of the Federal Register (Parts 50--299)
III Administrative Conference of the United States (Parts
300--399)
IV Miscellaneous Agencies (Parts 400--599)
VI National Capital Planning Commission (Parts 600--699)

Title 2--Grants and Agreements

Subtitle A--Office of Management and Budget Guidance
for Grants and Agreements
I Office of Management and Budget Governmentwide
Guidance for Grants and Agreements (Parts 2--199)
II Office of Management and Budget Guidance (Parts 200--
299)
Subtitle B--Federal Agency Regulations for Grants and
Agreements
III Department of Health and Human Services (Parts 300--
399)
IV Department of Agriculture (Parts 400--499)
VI Department of State (Parts 600--699)
VII Agency for International Development (Parts 700--799)
VIII Department of Veterans Affairs (Parts 800--899)
IX Department of Energy (Parts 900--999)
X Department of the Treasury (Parts 1000--1099)
XI Department of Defense (Parts 1100--1199)
XII Department of Transportation (Parts 1200--1299)
XIII Department of Commerce (Parts 1300--1399)
XIV Department of the Interior (Parts 1400--1499)
XV Environmental Protection Agency (Parts 1500--1599)
XVIII National Aeronautics and Space Administration (Parts
1800--1899)
XX United States Nuclear Regulatory Commission (Parts
2000--2099)
XXII Corporation for National and Community Service (Parts
2200--2299)
XXIII Social Security Administration (Parts 2300--2399)
XXIV Department of Housing and Urban Development (Parts
2400--2499)
XXV National Science Foundation (Parts 2500--2599)
XXVI National Archives and Records Administration (Parts
2600--2699)

[[Page 808]]

XXVII Small Business Administration (Parts 2700--2799)
XXVIII Department of Justice (Parts 2800--2899)
XXIX Department of Labor (Parts 2900--2999)
XXX Department of Homeland Security (Parts 3000--3099)
XXXI Institute of Museum and Library Services (Parts 3100--
3199)
XXXII National Endowment for the Arts (Parts 3200--3299)
XXXIII National Endowment for the Humanities (Parts 3300--
3399)
XXXIV Department of Education (Parts 3400--3499)
XXXV Export-Import Bank of the United States (Parts 3500--
3599)
XXXVI Office of National Drug Control Policy, Executive
Office of the President (Parts 3600--3699)
XXXVII Peace Corps (Parts 3700--3799)
LVIII Election Assistance Commission (Parts 5800--5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900--
5999)

Title 3--The President

I Executive Office of the President (Parts 100--199)

Title 4--Accounts

I Government Accountability Office (Parts 1--199)

Title 5--Administrative Personnel

I Office of Personnel Management (Parts 1--1199)
II Merit Systems Protection Board (Parts 1200--1299)
III Office of Management and Budget (Parts 1300--1399)
IV Office of Personnel Management and Office of the
Director of National Intelligence (Parts 1400--
1499)
V The International Organizations Employees Loyalty
Board (Parts 1500--1599)
VI Federal Retirement Thrift Investment Board (Parts
1600--1699)
VIII Office of Special Counsel (Parts 1800--1899)
IX Appalachian Regional Commission (Parts 1900--1999)
XI Armed Forces Retirement Home (Parts 2100--2199)
XIV Federal Labor Relations Authority, General Counsel of
the Federal Labor Relations Authority and Federal
Service Impasses Panel (Parts 2400--2499)
XVI Office of Government Ethics (Parts 2600--2699)
XXI Department of the Treasury (Parts 3100--3199)
XXII Federal Deposit Insurance Corporation (Parts 3200--
3299)
XXIII Department of Energy (Parts 3300--3399)
XXIV Federal Energy Regulatory Commission (Parts 3400--
3499)
XXV Department of the Interior (Parts 3500--3599)
XXVI Department of Defense (Parts 3600--3699)

[[Page 809]]

XXVIII Department of Justice (Parts 3800--3899)
XXIX Federal Communications Commission (Parts 3900--3999)
XXX Farm Credit System Insurance Corporation (Parts 4000--
4099)
XXXI Farm Credit Administration (Parts 4100--4199)
XXXIII U.S. International Development Finance Corporation
(Parts 4300--4399)
XXXIV Securities and Exchange Commission (Parts 4400--4499)
XXXV Office of Personnel Management (Parts 4500--4599)
XXXVI Department of Homeland Security (Parts 4600--4699)
XXXVII Federal Election Commission (Parts 4700--4799)
XL Interstate Commerce Commission (Parts 5000--5099)
XLI Commodity Futures Trading Commission (Parts 5100--
5199)
XLII Department of Labor (Parts 5200--5299)
XLIII National Science Foundation (Parts 5300--5399)
XLV Department of Health and Human Services (Parts 5500--
5599)
XLVI Postal Rate Commission (Parts 5600--5699)
XLVII Federal Trade Commission (Parts 5700--5799)
XLVIII Nuclear Regulatory Commission (Parts 5800--5899)
XLIX Federal Labor Relations Authority (Parts 5900--5999)
L Department of Transportation (Parts 6000--6099)
LII Export-Import Bank of the United States (Parts 6200--
6299)
LIII Department of Education (Parts 6300--6399)
LIV Environmental Protection Agency (Parts 6400--6499)
LV National Endowment for the Arts (Parts 6500--6599)
LVI National Endowment for the Humanities (Parts 6600--
6699)
LVII General Services Administration (Parts 6700--6799)
LVIII Board of Governors of the Federal Reserve System
(Parts 6800--6899)
LIX National Aeronautics and Space Administration (Parts
6900--6999)
LX United States Postal Service (Parts 7000--7099)
LXI National Labor Relations Board (Parts 7100--7199)
LXII Equal Employment Opportunity Commission (Parts 7200--
7299)
LXIII Inter-American Foundation (Parts 7300--7399)
LXIV Merit Systems Protection Board (Parts 7400--7499)
LXV Department of Housing and Urban Development (Parts
7500--7599)
LXVI National Archives and Records Administration (Parts
7600--7699)
LXVII Institute of Museum and Library Services (Parts 7700--
7799)
LXVIII Commission on Civil Rights (Parts 7800--7899)
LXIX Tennessee Valley Authority (Parts 7900--7999)
LXX Court Services and Offender Supervision Agency for the
District of Columbia (Parts 8000--8099)
LXXI Consumer Product Safety Commission (Parts 8100--8199)
LXXIII Department of Agriculture (Parts 8300--8399)

[[Page 810]]

LXXIV Federal Mine Safety and Health Review Commission
(Parts 8400--8499)
LXXVI Federal Retirement Thrift Investment Board (Parts
8600--8699)
LXXVII Office of Management and Budget (Parts 8700--8799)
LXXX Federal Housing Finance Agency (Parts 9000--9099)
LXXXIII Special Inspector General for Afghanistan
Reconstruction (Parts 9300--9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400--
9499)
LXXXVI National Credit Union Administration (Parts 9600--
9699)
XCVII Department of Homeland Security Human Resources
Management System (Department of Homeland
Security--Office of Personnel Management) (Parts
9700--9799)
XCVIII Council of the Inspectors General on Integrity and
Efficiency (Parts 9800--9899)
XCIX Military Compensation and Retirement Modernization
Commission (Parts 9900--9999)
C National Council on Disability (Parts 10000--10049)
CI National Mediation Board (Parts 10100--10199)
CII U.S. Office of Special Counsel (Parts 10200--10299)

Title 6--Domestic Security

I Department of Homeland Security, Office of the
Secretary (Parts 1--199)
X Privacy and Civil Liberties Oversight Board (Parts
1000--1099)

Title 7--Agriculture

Subtitle A--Office of the Secretary of Agriculture
(Parts 0--26)
Subtitle B--Regulations of the Department of
Agriculture
I Agricultural Marketing Service (Standards,
Inspections, Marketing Practices), Department of
Agriculture (Parts 27--209)
II Food and Nutrition Service, Department of Agriculture
(Parts 210--299)
III Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 300--399)
IV Federal Crop Insurance Corporation, Department of
Agriculture (Parts 400--499)
V Agricultural Research Service, Department of
Agriculture (Parts 500--599)
VI Natural Resources Conservation Service, Department of
Agriculture (Parts 600--699)
VII Farm Service Agency, Department of Agriculture (Parts
700--799)
VIII Agricultural Marketing Service (Federal Grain
Inspection Service, Fair Trade Practices Program),
Department of Agriculture (Parts 800--899)

[[Page 811]]

IX Agricultural Marketing Service (Marketing Agreements
and Orders; Fruits, Vegetables, Nuts), Department
of Agriculture (Parts 900--999)
X Agricultural Marketing Service (Marketing Agreements
and Orders; Milk), Department of Agriculture
(Parts 1000--1199)
XI Agricultural Marketing Service (Marketing Agreements
and Orders; Miscellaneous Commodities), Department
of Agriculture (Parts 1200--1299)
XIV Commodity Credit Corporation, Department of
Agriculture (Parts 1400--1499)
XV Foreign Agricultural Service, Department of
Agriculture (Parts 1500--1599)
XVI [Reserved]
XVII Rural Utilities Service, Department of Agriculture
(Parts 1700--1799)
XVIII Rural Housing Service, Rural Business-Cooperative
Service, Rural Utilities Service, and Farm Service
Agency, Department of Agriculture (Parts 1800--
2099)
XX [Reserved]
XXV Office of Advocacy and Outreach, Department of
Agriculture (Parts 2500--2599)
XXVI Office of Inspector General, Department of Agriculture
(Parts 2600--2699)
XXVII Office of Information Resources Management, Department
of Agriculture (Parts 2700--2799)
XXVIII Office of Operations, Department of Agriculture (Parts
2800--2899)
XXIX Office of Energy Policy and New Uses, Department of
Agriculture (Parts 2900--2999)
XXX Office of the Chief Financial Officer, Department of
Agriculture (Parts 3000--3099)
XXXI Office of Environmental Quality, Department of
Agriculture (Parts 3100--3199)
XXXII Office of Procurement and Property Management,
Department of Agriculture (Parts 3200--3299)
XXXIII Office of Transportation, Department of Agriculture
(Parts 3300--3399)
XXXIV National Institute of Food and Agriculture (Parts
3400--3499)
XXXV Rural Housing Service, Department of Agriculture
(Parts 3500--3599)
XXXVI National Agricultural Statistics Service, Department
of Agriculture (Parts 3600--3699)
XXXVII Economic Research Service, Department of Agriculture
(Parts 3700--3799)
XXXVIII World Agricultural Outlook Board, Department of
Agriculture (Parts 3800--3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities
Service, Department of Agriculture (Parts 4200--
4299)

[[Page 812]]

L Rural Business-Cooperative Service, and Rural
Utilities Service, Department of Agriculture
(Parts 5000--5099)

Title 8--Aliens and Nationality

I Department of Homeland Security (Parts 1--499)
V Executive Office for Immigration Review, Department of
Justice (Parts 1000--1399)

Title 9--Animals and Animal Products

I Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 1--199)
II Agricultural Marketing Service (Fair Trade Practices
Program), Department of Agriculture (Parts 200--
299)
III Food Safety and Inspection Service, Department of
Agriculture (Parts 300--599)

Title 10--Energy

I Nuclear Regulatory Commission (Parts 0--199)
II Department of Energy (Parts 200--699)
III Department of Energy (Parts 700--999)
X Department of Energy (General Provisions) (Parts
1000--1099)
XIII Nuclear Waste Technical Review Board (Parts 1300--
1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700--
1799)
XVIII Northeast Interstate Low-Level Radioactive Waste
Commission (Parts 1800--1899)

Title 11--Federal Elections

I Federal Election Commission (Parts 1--9099)
II Election Assistance Commission (Parts 9400--9499)

Title 12--Banks and Banking

I Comptroller of the Currency, Department of the
Treasury (Parts 1--199)
II Federal Reserve System (Parts 200--299)
III Federal Deposit Insurance Corporation (Parts 300--399)
IV Export-Import Bank of the United States (Parts 400--
499)
V [Reserved]
VI Farm Credit Administration (Parts 600--699)
VII National Credit Union Administration (Parts 700--799)
VIII Federal Financing Bank (Parts 800--899)
IX (Parts 900--999) [Reserved]
X Bureau of Consumer Financial Protection (Parts 1000--
1099)

[[Page 813]]

XI Federal Financial Institutions Examination Council
(Parts 1100--1199)
XII Federal Housing Finance Agency (Parts 1200--1299)
XIII Financial Stability Oversight Council (Parts 1300--
1399)
XIV Farm Credit System Insurance Corporation (Parts 1400--
1499)
XV Department of the Treasury (Parts 1500--1599)
XVI Office of Financial Research, Department of the
Treasury (Parts 1600--1699)
XVII Office of Federal Housing Enterprise Oversight,
Department of Housing and Urban Development (Parts
1700--1799)
XVIII Community Development Financial Institutions Fund,
Department of the Treasury (Parts 1800--1899)

Title 13--Business Credit and Assistance

I Small Business Administration (Parts 1--199)
III Economic Development Administration, Department of
Commerce (Parts 300--399)
IV Emergency Steel Guarantee Loan Board (Parts 400--499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts
500--599)

Title 14--Aeronautics and Space

I Federal Aviation Administration, Department of
Transportation (Parts 1--199)
II Office of the Secretary, Department of Transportation
(Aviation Proceedings) (Parts 200--399)
III Commercial Space Transportation, Federal Aviation
Administration, Department of Transportation
(Parts 400--1199)
V National Aeronautics and Space Administration (Parts
1200--1299)
VI Air Transportation System Stabilization (Parts 1300--
1399)

Title 15--Commerce and Foreign Trade

Subtitle A--Office of the Secretary of Commerce (Parts
0--29)
Subtitle B--Regulations Relating to Commerce and
Foreign Trade
I Bureau of the Census, Department of Commerce (Parts
30--199)
II National Institute of Standards and Technology,
Department of Commerce (Parts 200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV Foreign-Trade Zones Board, Department of Commerce
(Parts 400--499)
VII Bureau of Industry and Security, Department of
Commerce (Parts 700--799)

[[Page 814]]

VIII Bureau of Economic Analysis, Department of Commerce
(Parts 800--899)
IX National Oceanic and Atmospheric Administration,
Department of Commerce (Parts 900--999)
XI National Technical Information Service, Department of
Commerce (Parts 1100--1199)
XIII East-West Foreign Trade Board (Parts 1300--1399)
XIV Minority Business Development Agency (Parts 1400--
1499)
XV Office of the Under-Secretary for Economic Affairs,
Department of Commerce (Parts 1500--1599)
Subtitle C--Regulations Relating to Foreign Trade
Agreements
XX Office of the United States Trade Representative
(Parts 2000--2099)
Subtitle D--Regulations Relating to Telecommunications
and Information
XXIII National Telecommunications and Information
Administration, Department of Commerce (Parts
2300--2399) [Reserved]

Title 16--Commercial Practices

I Federal Trade Commission (Parts 0--999)
II Consumer Product Safety Commission (Parts 1000--1799)

Title 17--Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1--199)
II Securities and Exchange Commission (Parts 200--399)
IV Department of the Treasury (Parts 400--499)

Title 18--Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of
Energy (Parts 1--399)
III Delaware River Basin Commission (Parts 400--499)
VI Water Resources Council (Parts 700--799)
VIII Susquehanna River Basin Commission (Parts 800--899)
XIII Tennessee Valley Authority (Parts 1300--1399)

Title 19--Customs Duties

I U.S. Customs and Border Protection, Department of
Homeland Security; Department of the Treasury
(Parts 0--199)
II United States International Trade Commission (Parts
200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV U.S. Immigration and Customs Enforcement, Department
of Homeland Security (Parts 400--599) [Reserved]

[[Page 815]]

Title 20--Employees' Benefits

I Office of Workers' Compensation Programs, Department
of Labor (Parts 1--199)
II Railroad Retirement Board (Parts 200--399)
III Social Security Administration (Parts 400--499)
IV Employees' Compensation Appeals Board, Department of
Labor (Parts 500--599)
V Employment and Training Administration, Department of
Labor (Parts 600--699)
VI Office of Workers' Compensation Programs, Department
of Labor (Parts 700--799)
VII Benefits Review Board, Department of Labor (Parts
800--899)
VIII Joint Board for the Enrollment of Actuaries (Parts
900--999)
IX Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 1000--1099)

Title 21--Food and Drugs

I Food and Drug Administration, Department of Health and
Human Services (Parts 1--1299)
II Drug Enforcement Administration, Department of Justice
(Parts 1300--1399)
III Office of National Drug Control Policy (Parts 1400--
1499)

Title 22--Foreign Relations

I Department of State (Parts 1--199)
II Agency for International Development (Parts 200--299)
III Peace Corps (Parts 300--399)
IV International Joint Commission, United States and
Canada (Parts 400--499)
V United States Agency for Global Media (Parts 500--599)
VII U.S. International Development Finance Corporation
(Parts 700--799)
IX Foreign Service Grievance Board (Parts 900--999)
X Inter-American Foundation (Parts 1000--1099)
XI International Boundary and Water Commission, United
States and Mexico, United States Section (Parts
1100--1199)
XII United States International Development Cooperation
Agency (Parts 1200--1299)
XIII Millennium Challenge Corporation (Parts 1300--1399)
XIV Foreign Service Labor Relations Board; Federal Labor
Relations Authority; General Counsel of the
Federal Labor Relations Authority; and the Foreign
Service Impasse Disputes Panel (Parts 1400--1499)
XV African Development Foundation (Parts 1500--1599)
XVI Japan-United States Friendship Commission (Parts
1600--1699)
XVII United States Institute of Peace (Parts 1700--1799)

[[Page 816]]

Title 23--Highways

I Federal Highway Administration, Department of
Transportation (Parts 1--999)
II National Highway Traffic Safety Administration and
Federal Highway Administration, Department of
Transportation (Parts 1200--1299)
III National Highway Traffic Safety Administration,
Department of Transportation (Parts 1300--1399)

Title 24--Housing and Urban Development

Subtitle A--Office of the Secretary, Department of
Housing and Urban Development (Parts 0--99)
Subtitle B--Regulations Relating to Housing and Urban
Development
I Office of Assistant Secretary for Equal Opportunity,
Department of Housing and Urban Development (Parts
100--199)
II Office of Assistant Secretary for Housing-Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 200--299)
III Government National Mortgage Association, Department
of Housing and Urban Development (Parts 300--399)
IV Office of Housing and Office of Multifamily Housing
Assistance Restructuring, Department of Housing
and Urban Development (Parts 400--499)
V Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 500--599)
VI Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 600--699) [Reserved]
VII Office of the Secretary, Department of Housing and
Urban Development (Housing Assistance Programs and
Public and Indian Housing Programs) (Parts 700--
799)
VIII Office of the Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Section 8 Housing Assistance
Programs, Section 202 Direct Loan Program, Section
202 Supportive Housing for the Elderly Program and
Section 811 Supportive Housing for Persons With
Disabilities Program) (Parts 800--899)
IX Office of Assistant Secretary for Public and Indian
Housing, Department of Housing and Urban
Development (Parts 900--1699)
X Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Interstate Land Sales
Registration Program) (Parts 1700--1799)
[Reserved]
XII Office of Inspector General, Department of Housing and
Urban Development (Parts 2000--2099)
XV Emergency Mortgage Insurance and Loan Programs,
Department of Housing and Urban Development (Parts
2700--2799) [Reserved]

[[Page 817]]

XX Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 3200--3899)
XXIV Board of Directors of the HOPE for Homeowners Program
(Parts 4000--4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100--
4199)

Title 25--Indians

I Bureau of Indian Affairs, Department of the Interior
(Parts 1--299)
II Indian Arts and Crafts Board, Department of the
Interior (Parts 300--399)
III National Indian Gaming Commission, Department of the
Interior (Parts 500--599)
IV Office of Navajo and Hopi Indian Relocation (Parts
700--899)
V Bureau of Indian Affairs, Department of the Interior,
and Indian Health Service, Department of Health
and Human Services (Part 900--999)
VI Office of the Assistant Secretary, Indian Affairs,
Department of the Interior (Parts 1000--1199)
VII Office of the Special Trustee for American Indians,
Department of the Interior (Parts 1200--1299)

Title 26--Internal Revenue

I Internal Revenue Service, Department of the Treasury
(Parts 1--End)

Title 27--Alcohol, Tobacco Products and Firearms

I Alcohol and Tobacco Tax and Trade Bureau, Department
of the Treasury (Parts 1--399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice (Parts 400--799)

Title 28--Judicial Administration

I Department of Justice (Parts 0--299)
III Federal Prison Industries, Inc., Department of Justice
(Parts 300--399)
V Bureau of Prisons, Department of Justice (Parts 500--
599)
VI Offices of Independent Counsel, Department of Justice
(Parts 600--699)
VII Office of Independent Counsel (Parts 700--799)
VIII Court Services and Offender Supervision Agency for the
District of Columbia (Parts 800--899)
IX National Crime Prevention and Privacy Compact Council
(Parts 900--999)

[[Page 818]]

XI Department of Justice and Department of State (Parts
1100--1199)

Title 29--Labor

Subtitle A--Office of the Secretary of Labor (Parts
0--99)
Subtitle B--Regulations Relating to Labor
I National Labor Relations Board (Parts 100--199)
II Office of Labor-Management Standards, Department of
Labor (Parts 200--299)
III National Railroad Adjustment Board (Parts 300--399)
IV Office of Labor-Management Standards, Department of
Labor (Parts 400--499)
V Wage and Hour Division, Department of Labor (Parts
500--899)
IX Construction Industry Collective Bargaining Commission
(Parts 900--999)
X National Mediation Board (Parts 1200--1299)
XII Federal Mediation and Conciliation Service (Parts
1400--1499)
XIV Equal Employment Opportunity Commission (Parts 1600--
1699)
XVII Occupational Safety and Health Administration,
Department of Labor (Parts 1900--1999)
XX Occupational Safety and Health Review Commission
(Parts 2200--2499)
XXV Employee Benefits Security Administration, Department
of Labor (Parts 2500--2599)
XXVII Federal Mine Safety and Health Review Commission
(Parts 2700--2799)
XL Pension Benefit Guaranty Corporation (Parts 4000--
4999)

Title 30--Mineral Resources

I Mine Safety and Health Administration, Department of
Labor (Parts 1--199)
II Bureau of Safety and Environmental Enforcement,
Department of the Interior (Parts 200--299)
IV Geological Survey, Department of the Interior (Parts
400--499)
V Bureau of Ocean Energy Management, Department of the
Interior (Parts 500--599)
VII Office of Surface Mining Reclamation and Enforcement,
Department of the Interior (Parts 700--999)
XII Office of Natural Resources Revenue, Department of the
Interior (Parts 1200--1299)

Title 31--Money and Finance: Treasury

Subtitle A--Office of the Secretary of the Treasury
(Parts 0--50)
Subtitle B--Regulations Relating to Money and Finance

[[Page 819]]

I Monetary Offices, Department of the Treasury (Parts
51--199)
II Fiscal Service, Department of the Treasury (Parts
200--399)
IV Secret Service, Department of the Treasury (Parts
400--499)
V Office of Foreign Assets Control, Department of the
Treasury (Parts 500--599)
VI Bureau of Engraving and Printing, Department of the
Treasury (Parts 600--699)
VII Federal Law Enforcement Training Center, Department of
the Treasury (Parts 700--799)
VIII Office of Investment Security, Department of the
Treasury (Parts 800--899)
IX Federal Claims Collection Standards (Department of the
Treasury--Department of Justice) (Parts 900--999)
X Financial Crimes Enforcement Network, Department of
the Treasury (Parts 1000--1099)

Title 32--National Defense

Subtitle A--Department of Defense
I Office of the Secretary of Defense (Parts 1--399)
V Department of the Army (Parts 400--699)
VI Department of the Navy (Parts 700--799)
VII Department of the Air Force (Parts 800--1099)
Subtitle B--Other Regulations Relating to National
Defense
XII Department of Defense, Defense Logistics Agency (Parts
1200--1299)
XVI Selective Service System (Parts 1600--1699)
XVII Office of the Director of National Intelligence (Parts
1700--1799)
XVIII National Counterintelligence Center (Parts 1800--1899)
XIX Central Intelligence Agency (Parts 1900--1999)
XX Information Security Oversight Office, National
Archives and Records Administration (Parts 2000--
2099)
XXI National Security Council (Parts 2100--2199)
XXIV Office of Science and Technology Policy (Parts 2400--
2499)
XXVII Office for Micronesian Status Negotiations (Parts
2700--2799)
XXVIII Office of the Vice President of the United States
(Parts 2800--2899)

Title 33--Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts
1--199)
II Corps of Engineers, Department of the Army, Department
of Defense (Parts 200--399)
IV Great Lakes St. Lawrence Seaway Development
Corporation, Department of Transportation (Parts
400--499)

[[Page 820]]

Title 34--Education

Subtitle A--Office of the Secretary, Department of
Education (Parts 1--99)
Subtitle B--Regulations of the Offices of the
Department of Education
I Office for Civil Rights, Department of Education
(Parts 100--199)
II Office of Elementary and Secondary Education,
Department of Education (Parts 200--299)
III Office of Special Education and Rehabilitative
Services, Department of Education (Parts 300--399)
IV Office of Career, Technical, and Adult Education,
Department of Education (Parts 400--499)
V Office of Bilingual Education and Minority Languages
Affairs, Department of Education (Parts 500--599)
[Reserved]
VI Office of Postsecondary Education, Department of
Education (Parts 600--699)
VII Office of Educational Research and Improvement,
Department of Education (Parts 700--799)
[Reserved]
Subtitle C--Regulations Relating to Education
XI [Reserved]
XII National Council on Disability (Parts 1200--1299)

Title 35 [Reserved]

Title 36--Parks, Forests, and Public Property

I National Park Service, Department of the Interior
(Parts 1--199)
II Forest Service, Department of Agriculture (Parts 200--
299)
III Corps of Engineers, Department of the Army (Parts
300--399)
IV American Battle Monuments Commission (Parts 400--499)
V Smithsonian Institution (Parts 500--599)
VI [Reserved]
VII Library of Congress (Parts 700--799)
VIII Advisory Council on Historic Preservation (Parts 800--
899)
IX Pennsylvania Avenue Development Corporation (Parts
900--999)
X Presidio Trust (Parts 1000--1099)
XI Architectural and Transportation Barriers Compliance
Board (Parts 1100--1199)
XII National Archives and Records Administration (Parts
1200--1299)
XV Oklahoma City National Memorial Trust (Parts 1500--
1599)
XVI Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation (Parts 1600--1699)

Title 37--Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department
of Commerce (Parts 1--199)
II U.S. Copyright Office, Library of Congress (Parts
200--299)

[[Page 821]]

III Copyright Royalty Board, Library of Congress (Parts
300--399)
IV National Institute of Standards and Technology,
Department of Commerce (Parts 400--599)

Title 38--Pensions, Bonuses, and Veterans' Relief

I Department of Veterans Affairs (Parts 0--199)
II Armed Forces Retirement Home (Parts 200--299)

Title 39--Postal Service

I United States Postal Service (Parts 1--999)
III Postal Regulatory Commission (Parts 3000--3099)

Title 40--Protection of Environment

I Environmental Protection Agency (Parts 1--1099)
IV Environmental Protection Agency and Department of
Justice (Parts 1400--1499)
V Council on Environmental Quality (Parts 1500--1599)
VI Chemical Safety and Hazard Investigation Board (Parts
1600--1699)
VII Environmental Protection Agency and Department of
Defense; Uniform National Discharge Standards for
Vessels of the Armed Forces (Parts 1700--1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800--
1899)
IX Federal Permitting Improvement Steering Council (Part
1900)

Title 41--Public Contracts and Property Management

Subtitle A--Federal Procurement Regulations System
[Note]
Subtitle B--Other Provisions Relating to Public
Contracts
50 Public Contracts, Department of Labor (Parts 50-1--50-
999)
51 Committee for Purchase From People Who Are Blind or
Severely Disabled (Parts 51-1--51-99)
60 Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor (Parts
60-1--60-999)
61 Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 61-1--61-999)
62--100 [Reserved]
Subtitle C--Federal Property Management Regulations
System
101 Federal Property Management Regulations (Parts 101-1--
101-99)
102 Federal Management Regulation (Parts 102-1--102-299)
103--104 [Reserved]
105 General Services Administration (Parts 105-1--105-999)

[[Page 822]]

109 Department of Energy Property Management Regulations
(Parts 109-1--109-99)
114 Department of the Interior (Parts 114-1--114-99)
115 Environmental Protection Agency (Parts 115-1--115-99)
128 Department of Justice (Parts 128-1--128-99)
129--200 [Reserved]
Subtitle D--Federal Acquisition Supply Chain Security
201 Federal Acquisition Security Council (Parts 201-1--
201-99)
Subtitle E [Reserved]
Subtitle F--Federal Travel Regulation System
300 General (Parts 300-1--300-99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301-1--
301-99)
302 Relocation Allowances (Parts 302-1--302-99)
303 Payment of Expenses Connected with the Death of
Certain Employees (Part 303-1--303-99)
304 Payment of Travel Expenses from a Non-Federal Source
(Parts 304-1--304-99)

Title 42--Public Health

I Public Health Service, Department of Health and Human
Services (Parts 1--199)
II--III [Reserved]
IV Centers for Medicare & Medicaid Services, Department
of Health and Human Services (Parts 400--699)
V Office of Inspector General-Health Care, Department of
Health and Human Services (Parts 1000--1099)

Title 43--Public Lands: Interior

Subtitle A--Office of the Secretary of the Interior
(Parts 1--199)
Subtitle B--Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior
(Parts 400--999)
II Bureau of Land Management, Department of the Interior
(Parts 1000--9999)
III Utah Reclamation Mitigation and Conservation
Commission (Parts 10000--10099)

Title 44--Emergency Management and Assistance

I Federal Emergency Management Agency, Department of
Homeland Security (Parts 0--399)
IV Department of Commerce and Department of
Transportation (Parts 400--499)

[[Page 823]]

Title 45--Public Welfare

Subtitle A--Department of Health and Human Services
(Parts 1--199)
Subtitle B--Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs),
Administration for Children and Families,
Department of Health and Human Services (Parts
200--299)
III Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children
and Families, Department of Health and Human
Services (Parts 300--399)
IV Office of Refugee Resettlement, Administration for
Children and Families, Department of Health and
Human Services (Parts 400--499)
V Foreign Claims Settlement Commission of the United
States, Department of Justice (Parts 500--599)
VI National Science Foundation (Parts 600--699)
VII Commission on Civil Rights (Parts 700--799)
VIII Office of Personnel Management (Parts 800--899)
IX Denali Commission (Parts 900--999)
X Office of Community Services, Administration for
Children and Families, Department of Health and
Human Services (Parts 1000--1099)
XI National Foundation on the Arts and the Humanities
(Parts 1100--1199)
XII Corporation for National and Community Service (Parts
1200--1299)
XIII Administration for Children and Families, Department
of Health and Human Services (Parts 1300--1399)
XVI Legal Services Corporation (Parts 1600--1699)
XVII National Commission on Libraries and Information
Science (Parts 1700--1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800--
1899)
XXI Commission of Fine Arts (Parts 2100--2199)
XXIII Arctic Research Commission (Parts 2300--2399)
XXIV James Madison Memorial Fellowship Foundation (Parts
2400--2499)
XXV Corporation for National and Community Service (Parts
2500--2599)

Title 46--Shipping

I Coast Guard, Department of Homeland Security (Parts
1--199)
II Maritime Administration, Department of Transportation
(Parts 200--399)
III Coast Guard (Great Lakes Pilotage), Department of
Homeland Security (Parts 400--499)
IV Federal Maritime Commission (Parts 500--599)

[[Page 824]]

Title 47--Telecommunication

I Federal Communications Commission (Parts 0--199)
II Office of Science and Technology Policy and National
Security Council (Parts 200--299)
III National Telecommunications and Information
Administration, Department of Commerce (Parts
300--399)
IV National Telecommunications and Information
Administration, Department of Commerce, and
National Highway Traffic Safety Administration,
Department of Transportation (Parts 400--499)
V The First Responder Network Authority (Parts 500--599)

Title 48--Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1--99)
2 Defense Acquisition Regulations System, Department of
Defense (Parts 200--299)
3 Department of Health and Human Services (Parts 300--
399)
4 Department of Agriculture (Parts 400--499)
5 General Services Administration (Parts 500--599)
6 Department of State (Parts 600--699)
7 Agency for International Development (Parts 700--799)
8 Department of Veterans Affairs (Parts 800--899)
9 Department of Energy (Parts 900--999)
10 Department of the Treasury (Parts 1000--1099)
12 Department of Transportation (Parts 1200--1299)
13 Department of Commerce (Parts 1300--1399)
14 Department of the Interior (Parts 1400--1499)
15 Environmental Protection Agency (Parts 1500--1599)
16 Office of Personnel Management Federal Employees
Health Benefits Acquisition Regulation (Parts
1600--1699)
17 Office of Personnel Management (Parts 1700--1799)
18 National Aeronautics and Space Administration (Parts
1800--1899)
19 Broadcasting Board of Governors (Parts 1900--1999)
20 Nuclear Regulatory Commission (Parts 2000--2099)
21 Office of Personnel Management, Federal Employees
Group Life Insurance Federal Acquisition
Regulation (Parts 2100--2199)
23 Social Security Administration (Parts 2300--2399)
24 Department of Housing and Urban Development (Parts
2400--2499)
25 National Science Foundation (Parts 2500--2599)
28 Department of Justice (Parts 2800--2899)
29 Department of Labor (Parts 2900--2999)
30 Department of Homeland Security, Homeland Security
Acquisition Regulation (HSAR) (Parts 3000--3099)
34 Department of Education Acquisition Regulation (Parts
3400--3499)

[[Page 825]]

51 Department of the Army Acquisition Regulations (Parts
5100--5199) [Reserved]
52 Department of the Navy Acquisition Regulations (Parts
5200--5299)
53 Department of the Air Force Federal Acquisition
Regulation Supplement (Parts 5300--5399)
[Reserved]
54 Defense Logistics Agency, Department of Defense (Parts
5400--5499)
57 African Development Foundation (Parts 5700--5799)
61 Civilian Board of Contract Appeals, General Services
Administration (Parts 6100--6199)
99 Cost Accounting Standards Board, Office of Federal
Procurement Policy, Office of Management and
Budget (Parts 9900--9999)

Title 49--Transportation

Subtitle A--Office of the Secretary of Transportation
(Parts 1--99)
Subtitle B--Other Regulations Relating to
Transportation
I Pipeline and Hazardous Materials Safety
Administration, Department of Transportation
(Parts 100--199)
II Federal Railroad Administration, Department of
Transportation (Parts 200--299)
III Federal Motor Carrier Safety Administration,
Department of Transportation (Parts 300--399)
IV Coast Guard, Department of Homeland Security (Parts
400--499)
V National Highway Traffic Safety Administration,
Department of Transportation (Parts 500--599)
VI Federal Transit Administration, Department of
Transportation (Parts 600--699)
VII National Railroad Passenger Corporation (AMTRAK)
(Parts 700--799)
VIII National Transportation Safety Board (Parts 800--999)
X Surface Transportation Board (Parts 1000--1399)
XI Research and Innovative Technology Administration,
Department of Transportation (Parts 1400--1499)
[Reserved]
XII Transportation Security Administration, Department of
Homeland Security (Parts 1500--1699)

Title 50--Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of
the Interior (Parts 1--199)
II National Marine Fisheries Service, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 200--299)
III International Fishing and Related Activities (Parts
300--399)

[[Page 826]]

IV Joint Regulations (United States Fish and Wildlife
Service, Department of the Interior and National
Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of
Commerce); Endangered Species Committee
Regulations (Parts 400--499)
V Marine Mammal Commission (Parts 500--599)
VI Fishery Conservation and Management, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 600--699)

[[Page 827]]

Alphabetical List of Agencies Appearing in the CFR

(Revised as of July 1, 2022)

CFR Title, Subtitle or
Agency Chapter

Administrative Conference of the United States 1, III
Advisory Council on Historic Preservation 36, VIII
Advocacy and Outreach, Office of 7, XXV
Afghanistan Reconstruction, Special Inspector 5, LXXXIII
General for
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 2, VII; 22, II
Federal Acquisition Regulation 48, 7
Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9,
II
Agricultural Research Service 7, V
Agriculture, Department of 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9,
II
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Utilities Service 7, XVII, XVIII, XLII
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force, Department of 32, VII
Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI
Alcohol and Tobacco Tax and Trade Bureau 27, I
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers 36, XI
Compliance Board
[[Page 828]]

Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI; 38, II
Army, Department of 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Benefits Review Board 20, VII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Blind or Severely Disabled, Committee for 41, 51
Purchase from People Who Are
Federal Acquisition Regulation 48, 19
Career, Technical, and Adult Education, Office 34, IV
of
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chemical Safety and Hazard Investigation Board 40, VI
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce, Department of 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Affairs, Office of the Under- 15, XV
Secretary for
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 13
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II; 37, IV
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric 15, IX; 50, II, III, IV,
Administration VI
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Secretary of Commerce, Office of 15, Subtitle A
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining 29, IX
Commission
Consumer Financial Protection Bureau 5, LXXXIV; 12, X
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Council of the Inspectors General on Integrity 5, XCVIII
and Efficiency
Court Services and Offender Supervision Agency 5, LXX; 28, VIII
for the District of Columbia
Customs and Border Protection 19, I
Defense, Department of 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III;
48, 51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I

[[Page 829]]

Defense Logistics Agency 32, I, XII; 48, 54
Engineers, Corps of 33, II; 36, III
National Imagery and Mapping Agency 32, I
Navy, Department of 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
Disability, National Council on 5, C; 34, XII
District of Columbia, Court Services and 5, LXX; 28, VIII
Offender Supervision Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Office of the Under-Secretary 15, XV
for
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Career, Technical, and Adult Education, Office 34, IV
of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office 34, VII
of
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, 34, III
Office of
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Policy, National Commission for 1, IV
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Acquisition Regulation 48, 9
Federal Acquisition Security Council 41, 201
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary 24, I
for
Executive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, II
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United 15, XX
States
[[Page 830]]

Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 1
Federal Acquisition Security Council 41, 201
Federal Aviation Administration 14, I
Commercial Space Transportation 14, III
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 5, XXXVII; 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination 12, XI
Council
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Permitting Improvement Steering Council 40, IX
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Financial Research Office 12, XVI
Financial Stability Oversight Council 12, XIII
Fine Arts, Commission of 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the 45, V
United States
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5

[[Page 831]]

Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death 41, 303
of Certain Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Great Lakes St. Lawrence Seaway Development 33, IV
Corporation
Gulf Coast Ecosystem Restoration Council 2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I; 8,
I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Customs and Border Protection 19, I
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors 24, XXIV
of
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Equal Opportunity, Office of Assistant 24, I
Secretary for
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office 12, XVII
of
Government National Mortgage Association 24, III
Housing--Federal Housing Commissioner, Office 24, II, VIII, X, XX
of Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Secretary, Office of 24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI
Indian Affairs, Bureau of 25, I, V

[[Page 832]]

Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National 32, XX
Archives and Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XV
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior, Department of 2, XIV
American Indians, Office of the Special 25, VII
Trustee
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Environmental Enforcement, Bureau 30, II
of
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Internal Revenue Service 26, I
International Boundary and Water Commission, 22, XI
United States and Mexico, United States
Section
International Development, United States Agency 22, II
for
Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, 22, XII
United States
International Development Finance Corporation, 5, XXXIII; 22, VII
U.S.
International Joint Commission, United States 22, IV
and Canada
International Organizations Employees Loyalty 5, V
Board
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice, Department of 2, XXVIII; 5, XXVIII; 28,
I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 31, IX
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the 45, V
United States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128
Labor, Department of 2, XXIX; 5, XLII
Benefits Review Board 20, VII
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V

[[Page 833]]

Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office 41, 60
of
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I, VI
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Libraries and Information Science, National 45, XVII
Commission on
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Military Compensation and Retirement 5, XCIX
Modernization Commission
Millennium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in 36, XVI
National Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 2, XXII; 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36, XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV, VI
National Counterintelligence Center 32, XVIII
National Credit Union Administration 5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact 28, IX
Council
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the 45, XI
Humanities
National Geospatial-Intelligence Agency 32, I
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute of Food and Agriculture 7, XXXIV
National Institute of Standards and Technology 15, II; 37, IV
National Intelligence, Office of Director of 5, IV; 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 5, CI; 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV,
VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
Federal Acquisition Regulation 48, 25

[[Page 834]]

National Security Council 32, XXI; 47, II
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV, V
Administration
National Transportation Safety Board 49, VIII
Natural Resource Revenue, Office of 30, XII
Natural Resources Conservation Service 7, VI
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy, Department of 32, VI
Federal Acquisition Regulation 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Ocean Energy Management, Bureau of 30, V
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death of 41, 303
Certain Employees
Peace Corps 2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, IV, XXXV; 45, VIII
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Pipeline and Hazardous Materials Safety 49, I
Administration
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House 1, IV
Fellowships
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Privacy and Civil Liberties Oversight Board 6, X
Procurement and Property Management, Office of 7, XXXII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology 49, XI
Administration
Rural Business-Cooperative Service 7, XVIII, XLII, L
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV, L
Rural Utilities Service 7, XVII, XVIII, XLII, L
Safety and Environmental Enforcement, Bureau of 30, II
Science and Technology Policy, Office of 32, XXIV; 47, II
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, 34, III
Office of
[[Page 835]]

State, Department of 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Tennessee Valley Authority 5, LXIX; 18, XIII
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Great Lakes St. Lawrence Seaway Development 33, IV
Corporation
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety 49, I
Administration
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury, Department of the 2, X; 5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions 12, XVIII
Fund
Comptroller of the Currency 12, I
Customs and Border Protection 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Claims Collection Standards 31, IX
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Truman, Harry S. Scholarship Foundation 45, XVIII
United States Agency for Global Media 22, V
United States and Canada, International Joint 22, IV
Commission
United States and Mexico, International Boundary 22, XI
and Water Commission, United States Section
U.S. Copyright Office 37, II
U.S. Office of Special Counsel 5, CII
Utah Reclamation Mitigation and Conservation 43, III
Commission
Veterans Affairs, Department of 2, VIII; 38, I
Federal Acquisition Regulation 48, 8
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Vice President of the United States, Office of 32, XXVIII
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I, VII
World Agricultural Outlook Board 7, XXXVIII

[[Page 837]]

List of CFR Sections Affected

All changes in this volume of the Code of Federal Regulations (CFR) that
were made by documents published in the Federal Register since January
1, 2017 are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters, parts and
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the
annual edition of the monthly List of CFR Sections Affected (LSA). The
LSA is available at www.govinfo.gov. For changes to this volume of the
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963,
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes.
The ``List of CFR Sections Affected 1986-2000'' is available at
www.govinfo.gov.

2017

40 CFR
82 FR
Page
Chapter I
1036.805 (b) table correctly amended...............................29761
1037.550 Table 1 correctly amended.................................29762

2018 2019

(No regulations published)

2020

40 CFR
85 FR
Page
Chapter I
1042.145 (k) through (o) added.....................................62231
1042.505 (b) introductory text and (2) revised.....................62232
1042.660 (a) amended...............................................78468
1042.901 Amended............................................62232, 78468
1043.1 (f) amended.................................................78468
1043.60 (d) and (e) amended........................................78468
1043.70 (c) and (d) amended........................................78468
1043.80 (b)(5) amended.............................................78468

2021

40 CFR
86 FR
Page
Chapter I
1027 Heading revised; eff. 7-29-21.................................34373
1027.101 (a) revised; (b) removed; eff. 7-29-21....................34373
1027.105 Revised; eff. 7-29-21.....................................34373
1027.110 (a) introductory text revised; eff. 7-29-21...............34375
1027.125 (e) revised; eff. 7-29-21.................................34375
1027.130 (a) and (b) revised; eff. 7-29-21.........................34375
1027.135 (b) revised; eff. 7-29-21.................................34375
1027.155 Revised; eff. 7-29-21.....................................34375
1030 Added..........................................................2171
1030.23 Correction: Amended........................................52416
1033.150 (a), (d), (h) through (j), (l), and (m) removed; (e)
introductory text revised; eff. 7-29-21....................34375
1033.255 Revised; eff. 7-29-21.....................................34375
1033.601 (c)(4) and (5) revised; eff. 7-29-21......................34376
1033.701 (k)(1) revised; eff. 7-29-21..............................34376
1033.740 Introductory text and (a) revised; eff. 7-29-21...........34376
1033.901 Amended; eff. 7-29-21.....................................34376
1033.925 (e) introductory text revised; eff. 7-29-21...............34376
1036.1 (b)(3) added; eff. 7-29-21..................................34376
1036.108 (a) revised; eff. 7-29-21.................................34376
1036.150 (e), (g), and (p)(2) revised; (q) added; eff. 7-29-21.....34377
1036.225 (e) and (f)(1) revised; eff. 7-29-21......................34378

[[Page 838]]

1036.230 (d) revised; (f) added; eff. 7-29-21......................34378
1036.235 Introductory text, (b), and (c) revised; eff. 7-29-21.....34378
1036.255 Revised; eff. 7-29-21.....................................34379
1036.301 (Subpart D) Heading revised; eff. 7-29-21.................34379
1036.301 (b)(2) revised; eff. 7-29-21..............................34379
1036.501 (g) revised; (h) added; eff. 7-29-21......................34380
1036.503 Added; eff. 7-29-21.......................................34380
1036.505 Revised; eff. 7-29-21.....................................34381
1036.510 Revised; eff. 7-29-21.....................................34386
1036.525 (a), (d) introductory text, and (4) revised; eff. 7-29-21
34386
1036.527 Added; eff. 7-29-21.......................................34386
1036.530 Revised; eff. 7-29-21.....................................34387
1036.535 Revised; eff. 7-29-21.....................................34388
1036.540 Revised; eff. 7-29-21.....................................34394
1036.543 Added; eff. 7-29-21.......................................34403
1036.620 (a) and (b)(1)(iii) revised; eff. 7-29-21.................34403
1036.701 (i) and (j) revised; eff. 7-29-21.........................34403
1036.705 (b)(2) and (5) revised; eff. 7-29-21......................34403
1036.801 Amended; eff. 7-29-21.....................................34403
1036.805 (b) through (f) revised; (g) added; eff. 7-29-21..........34404
1036.810 Revised; eff. 7-29-21.....................................34406
1036.825 (a) revised; eff. 7-29-21.................................34406
1036 Appendix A added; eff. 7-29-21................................34406
1036 Appendix B added; eff. 7-29-21................................34408
1036 Appendix C redesignated from Appendix I; eff. 7-29-21.........34406
1036 Appendix I redesignated as Appendix C; eff. 7-29-21...........34406
1037.103 (c) revised; eff. 7-29-21.................................34459
1037.105 (h)(1) revised; eff. 7-29-21..............................34459
1037.106 (b) and (f)(2)(i) revised; eff. 7-29-21...................34459
1037.115 (e) revised; eff. 7-29-21.................................34459
1037.120 (b)(1)(i) and (ii) revised; eff. 7-29-21..................34460
1037.135 (c)(4) removed; eff. 7-29-21..............................34460
1037.140 (g) and (h) revised; eff. 7-29-21.........................34460
1037.150 (c), (q)(2), (s), (u), (x) introductory text, (y), (z),
and (aa) revised; eff. 7-29-21.............................34460
1037.201 (h) revised; eff. 7-29-21.................................34461
1037.205 (e) and (f) revised; eff. 7-29-21.........................34461
1037.225 (e) revised; eff. 7-29-21.................................34462
1037.230 (a)(2) revised; eff. 7-29-21..............................34462
1037.231 (b)(7) revised; eff. 7-29-21..............................34462
1037.235 (a), (c)(2), and (h) revised; eff. 7-29-21................34462
1037.243 (c) revised; eff. 7-29-21.................................34463
1037.255 Revised; eff. 7-29-21.....................................34463
1037.301 (b) revised; eff. 7-29-21.................................34463
1037.305 (a) introductory text revised; eff. 7-29-21...............34463
1037.320 Revised; eff. 7-29-21.....................................34464
1037.501 (i) added; eff. 7-29-21...................................34465
1037.510 (a)(2), (c)(3), (d), and (e) revised; eff. 7-29-21........34465
1037.515 (c) and (d)(2) revised; eff. 7-29-21......................34466
1037.520 Revised; eff. 7-29-21.....................................34467
1037.525 Revised; eff. 7-29-21.....................................34473
1037.528 Introductory text, (a), (c) introductory text, (e)
introductory text, (g)(3) introductory text, (h)(3)(i),
(6), and (12)(v) revised; eff. 7-29-21.....................34474
1037.530 (d)(7) revised; eff. 7-29-21..............................34476
1037.532 (a) revised; eff. 7-29-21.................................34476
1037.534 (c)(1), (2), (d)(4)(i), and (f)(4)(iv) revised; eff. 7-
29-21......................................................34476
1037.540 (b)(3), (8), (d)(2), (e)(2), and (f) revised; eff. 7-29-
21.........................................................34477
1037.550 Revised; eff. 7-29-21.....................................34477
1037.551 (b) revised; eff. 7-29-21.................................34483
1037.555 (d), (e), and (f) revised; eff. 7-29-21...................34483
1037.560 Revised; eff. 7-29-21.....................................34484
1037.565 Revised; eff. 7-29-21.....................................34486
1037.565 Correction: Revised.......................................52833
1037.570 Added; eff. 7-29-21.......................................34488
1037.570 Correction: Added.........................................52833
1037.601 (a)(2) revised; eff. 7-29-21..............................34489
1037.615 (f) revised; eff. 7-29-21.................................34490
1037.621 (g) introductory text revised; eff. 7-29-21...............34490
1037.635 (c)(1) introductory text revised; eff. 7-29-21............34490
1037.660 (a)(2) and (b) revised; eff. 7-29-21......................34490
1037.665 (c) revised; eff. 7-29-21.................................34491
1037.670 (a) and (b) revised; eff. 7-29-21.........................34491

[[Page 839]]

1037.701 (h) and (i) revised; eff. 7-29-21.........................34491
1037.705 (c)(2) revised; eff. 7-29-21..............................34491
1037.740 (b)(1) revised; eff. 7-29-21..............................34491
1037.801 Amended; eff. 7-29-21.....................................34491
1037.805 (b) through (f) revised; eff. 7-29-21.....................34492
1037.810 Revised; eff. 7-29-21.....................................34496
1037.825 (a) revised; eff. 7-29-21.................................34496
1037 Appendix III revised; eff. 7-29-21............................34496
1037 Appendix IV revised; eff. 7-29-21.............................34497
1039.1 (b)(3) and (c) revised; eff. 7-29-21........................34499
1039.20 (a) introductory text, (b)(2), (4), and (c) revised; eff.
7-29-21....................................................34499
1039.101 Introductory text and (b) revised; eff. 7-29-21...........34499
1039.102 Introductory text, (a)(2), (b) Table 1, Table 3, Table 6,
(d)(1), (e)(3), (g)(1)(iv), and (2) revised; eff. 7-29-21
34500
1039.104 (c)(1), (2)(ii), (4), and (g)(4) revised; eff. 7-29-21....34504
1039.135 (e) introductory text revised; eff. 7-29-21...............34504
1039.205 (c) added; eff. 7-29-21...................................34504
1039.245 (a) revised; eff. 7-29-21.................................34505
1039.255 Revised; eff. 7-29-21.....................................34505
1039.601 (b) revised; eff. 7-29-21.................................34505
1039.620 (b) revised; eff. 7-29-21.................................34505
1039.625 Introductory text, (d)(4) introductory text, (e)(1), (3),
(g)(1)(vi), (j) introductory text, and (1) revised; eff.
7-29-21....................................................34505
1039.626 (b)(1)(iv) revised; eff. 7-29-21..........................34506
1039.655 (a)(2) and (b) revised; eff. 7-29-21......................34506
1039.740 (b) revised; eff. 7-29-21.................................34506
1039.801 Amended; eff. 7-29-21.....................................34506
1039 Appendix I added; eff. 7-29-21................................34507
1042.1 (b) and (c) revised; (d) removed; eff. 7-29-21..............34507
1042.101 (a)(6), (c)(2), and (e)(2) revised; eff. 7-29-21..........34508
1042.104 (a)(2) and (c) revised; eff. 7-29-21......................34508
1042.115 (g) revised; eff. 7-29-21.................................34509
1042.125 (e) revised; eff. 7-29-21.................................34509
1042.135 (c)(13) revised; eff. 7-29-21.............................34509
1042.145 (b), (c), (e), (h), and (i) removed; (j) revised; eff. 7-
29-21......................................................34509
1042.235 (d)(3) revised; eff. 7-29-21..............................34510
1042.255 Revised; eff. 7-29-21.....................................34510
1042.302 (a) revised; eff. 7-29-21.................................34510
1042.605 (a), (b), (c), (d)(1)(ii), (2), (3)(ii), (f), and (h)
revised; eff. 7-29-21......................................34510
1042.610 (a), (c), (d)(1), (f), and (g) revised; eff. 7-29-21......34511
1042.615 (a) introductory text and (1), and (3) revised; (f) and
(g) added; eff. 7-29-21...................................34511,
1042.650 Introductory text and (b)(4) revised; eff. 7-29-21........34512
1042.655 (b) revised; eff. 7-29-21.................................34512
1042.701 (j) removed; eff. 7-29-21.................................34512
1042.801 (f)(1) revised; eff. 7-29-21..............................34512
1042 Appendix I amended; eff. 7-29-21..............................34513
1042.836 Introductory text and (c) revised; eff. 7-29-21...........34512
1042.901 Amended; eff. 7-29-21.....................................34512
1042.910 Revised; eff. 7-29-21.....................................34512
1043.41 (a) revised; eff. 7-29-21..................................34513
1043.100 Revised; eff. 7-29-21.....................................34513
1045.1 (c) revised; eff. 7-29-21...................................34513
1045.145 (a) through (g), (i) through (k), and (m) removed; (n)
revised; eff. 7-29-21......................................34513
1045.235 (d)(3) revised; eff. 7-29-21..............................34514
1045.255 Revised; eff. 7-29-21.....................................34514
1045.310 (a)(1) introductory text and (a)(1)(iv) revised; eff. 7-
29-21......................................................34514
1045.501 (c) revised; eff. 7-29-21.................................34514
1045 Appendix 1 revised; eff. 7-29-21..............................34514
1048.145 Revised; eff. 7-29-21.....................................34515
1048.255 Revised; eff. 7-29-21.....................................34515
1048.501 (c) revised; eff. 7-29-21.................................34515
1051.145 Removed; eff. 7-29-21.....................................34515
1051.255 Revised; eff. 7-29-21.....................................34515
1051.310 (a)(1) introductory text and (iv) revised; eff. 7-29-21
34516
1051.501 (d) revised; eff. 7-29-21.................................34516
1054.1 (a)(1), (5), (c), and (d) revised; eff. 7-29-21.............34516
1054.2 Revised; eff. 7-29-21.......................................34516
1054.30 Revised; eff. 7-29-21......................................34517

[[Page 840]]

1054.103 (c) introductory text revised; eff. 7-29-21...............34517
1054.105 (c) introductory text revised; eff. 7-29-21...............34517
1054.110 (b) revised; eff. 7-29-21.................................34517
1054.120 (c) revised; eff. 7-29-21.................................34517
1054.125 Introductory text, (c), and (e) revised; eff. 7-29-21.....34517
1054.130 (b)(2) and (5) revised; eff. 7-29-21......................34517
1054.135 (c)(2) and (e)(1) revised; eff. 7-29-21...................34518
1054.145 Revised; eff. 7-29-21.....................................34518
1054.205 (o)(1), (p)(1), (v), and (x) revised; eff. 7-29-21........34518
1054.220 Heading revised; eff. 7-29-21.............................34519
1054.225 Heading, (b), and (f) introductory text revised; (g)
added; eff. 7-29-21........................................34519
1054.235 Heading, (a), (b), (c), and (d) revised; eff. 7-29-21.....34519
1054.240 (a), (b), (c), and (d) revised; eff. 7-29-21..............34520
1054.245 (a), (b)(1), (2), (3), (5), and (c) revised; (d) added;
eff. 7-29-21...............................................34520
1054.250 (a)(3) removed; (b)(3)(iv) and (c) revised; eff. 7-29-21
34521
1054.255 Revised; eff. 7-29-21.....................................34521
1054.301 (a)(2) revised; eff. 7-29-21..............................34521
1054.310 (a)(1) introductory text, (iv), and (c)(2) introductory
text revised; eff. 7-29-21.................................34521
1054.315 (a)(1) revised; eff. 7-29-21..............................34521
1054.320 (c) added; eff. 7-29-21...................................34522
1054.501 (b)(1), (2) and (4) introductory text revised; eff. 7-29-
21.........................................................34522
1054.505 (b)(2) revised; eff. 7-29-21..............................34522
1054.601 (d) added; eff. 7-29-21...................................34522
1054.612 Introductory text revised; eff. 7-29-21...................34522
1054.620 (c)(2) revised; eff. 7-29-21..............................34522
1054.625 Removed; eff. 7-29-21.....................................34522
1054.626 Removed; eff. 7-29-21.....................................34522
1054.635 (c)(6) removed; eff. 7-29-21..............................34522
1054.640 Removed; eff. 7-29-21.....................................34522
1054.655 Revised; eff. 7-29-21.....................................34522
1054.690 (f) and (i) revised; eff. 7-29-21.........................34522
1054.701 (c)(2), (i) introductory text, and (1) revised; eff. 7-
29-21......................................................34523
1054.710 (c) revised; eff. 7-29-21.................................34523
1054.715 (b) revised; eff. 7-29-21.................................34523
1054.725 (b)(2) revised; eff. 7-29-21..............................34523
1054.730 (b)(1), (3), (4), (d)(1)(iii), and (2)(iii) revised; eff.
7-29-21....................................................34523
1054.735 (a) and (b) revised; eff. 7-29-21.........................34523
1054.740 (c) revised; (d) removed; eff. 7-29-21....................34523
1054.801 Amended; eff. 7-29-21.....................................34523
1054.815 Revised; eff. 7-29-21.....................................34525
1054.825 Revised; eff. 7-29-21.....................................34525
1054 Appendix I revised; eff. 7-29-21..............................34526
1054 Appendix II amended; eff. 7-29-21.............................34527

2022

(No regulations published from January 1, 2022, through July 1, 2022)

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