[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

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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OMB CONTROL NUMBERS

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Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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that volume.

[[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)




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


  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.
certMY-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.
certMY-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?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines, 
vehicles, and equipment regulated under this part:
    (a) Filling out fee filing forms under Sec.  1027.130.
    (b) Retaining fee records, including reduced fee documentation, 
under Sec.  1027.120.
    (c) Requesting refunds under Sec.  1027.125.



Sec.  1027.150  What definitions apply to this part?

    The definitions in this section apply to this part. As used in this 
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
    Application for Certification means a manufacturer's submission of 
an application for certification.
    California-only certificate is a certificate of conformity issued by 
EPA showing compliance with emission standards established by 
California.
    Federal certificate is a certificate of conformity issued by EPA 
showing compliance with EPA emission standards specified in one of the 
standard-setting parts specified in Sec.  1027.101(a).
    Light-duty means relating to light-duty vehicles and light-duty 
trucks.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, vessel, or piece of equipment for sale in the United States or 
otherwise introduces a new engine, vehicle, vessel, or piece of 
equipment into commerce in the United States. This includes importers 
who import such products for resale, but not dealers.
    Total number of certificates issued means the number of certificates 
for which fees have been paid. This term is not intended to represent 
multiple certificates that are issued within a single family or test 
group.
    Void has the meaning given in 40 CFR 1068.30.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec.  1027.155  What abbreviations apply to this subpart?

    The following symbols, acronyms, and abbreviations apply to this 
part:

                       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.

    (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 Ave. 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] or go to: 
www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) International Civil Aviation Organization, Document Sales Unit, 
999 University Street, Montreal, Quebec, Canada H3C 5H7, (514) 954-8022, 
www.icao.int, or [email protected].
    (1) ICAO Annex 16, Volume III, Annex 16 to the Convention on 
International Civil Aviation, Environmental Protection, Volume III--
Aeroplane CO2 Emissions, as follows:
    (i) First Edition, July 2017. IBR approved for Sec. Sec.  1030.23(d) 
and 1030.25(d).
    (ii) Amendment 1, July 20, 2020. IBR approved for Sec. Sec.  
1030.23(d) and 1030.25(d).
    (2) [Reserved]



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.

    (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.

[[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.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) Section 1033.740 restricts the use of emission credits to 
certain averaging sets.
    (c) The definitions of Subpart J of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.

[[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.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the applicable emission 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive or 
negative)

[[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.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject to 
the provisions of this section. After we have issued your certificate of 
conformity, you may send us an amended application requesting that we 
include new or modified engine configurations within the scope of the 
certificate, subject to the provisions of this section. You must also 
amend your application if any changes occur with respect to any 
information that is included or should be included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec.  1036.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL and FCL for an engine family as described in 
paragraph (f) of this section.
    (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

[[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:

[[Page 142]]

[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

[[Page 146]]

[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.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401--7671q.
    Adjustable parameter has the meaning given in 40 CFR part 86.
    Advanced technology means technology certified under 40 CFR 86.1819-
14(k)(7), Sec.  1036.615, or 40 CFR 1037.615.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Aircraft means any vehicle capable of sustained air travel more than 
100 feet above the ground.
    Alcohol-fueled engine mean an engine that is designed to run using 
an alcohol fuel. For purposes of this definition, alcohol fuels do not 
include fuels with a

[[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]]

    (c) Superscripts. This part uses the following superscripts for 
modifying quantity symbols:

                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.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec.  1036.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. We may review these records at 
any time. You must promptly give us organized, written records in 
English if we ask for them. We may require you to submit written records 
in an electronic format.
    (b) The regulations in Sec.  1036.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
Failing to properly report information and keep the records we specify 
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal 
penalties.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1036.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. Keep 
these records for eight years unless the regulations

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


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[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:

------------------------------------------------------------------------
                                                  Engine      Fuel mass
             Engine speed (r/min)                 torque       rate (g/
                                               (N[middot]m)      sec)
------------------------------------------------------------------------
666.7........................................             0        0.436
833.3........................................             0        0.665
1000.........................................             0         0.94
1166.7.......................................             0        1.002
1333.3.......................................             0         1.17
1500.........................................             0          1.5
1666.7.......................................             0        1.899
1833.3.......................................             0        2.378
2000.........................................             0         2.93
2166.7.......................................             0        3.516
2333.3.......................................             0        4.093

[[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:

------------------------------------------------------------------------
                                                  Engine      Fuel mass
             Engine speed (r/min)                 torque       rate (g/
                                               (N[middot]m)      sec)
------------------------------------------------------------------------
708.3........................................             0        0.255
916.7........................................             0        0.263
1125.........................................             0        0.342

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

    (c) Use the following default fuel map for all spark-ignition 
engines:

[[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

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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.

[[Page 345]]

    (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

[[Page 346]]

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.

[[Page 347]]



          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

[[Page 348]]

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

[[Page 349]]

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

[[Page 350]]

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

[[Page 351]]

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

    (c) Superscripts. This part uses the following superscripts for 
modifying quantity symbols:

                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.

    (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.  1037.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. We may review these records at 
any time. You must promptly give 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.  1037.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
Failing to properly report information and keep the records we specify 
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal 
penalties.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1037.801).
    (d) Any written information we require you to send to or receive 
from another company is deemed to be a required record under this 
section. Such records are also deemed to be submissions to EPA. Keep 
these records for eight years unless the regulations specify a different 
period. We may require you to send us these records whether or not you 
are a certificate holder.
    (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for vehicles 
regulated under this part:
    (1) We specify the following requirements related to vehicle 
certification in this part 1037:
    (i) In Sec.  1036.150 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 vehicles.

[[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?

    (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

[[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?

    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 
Sec.  1039.245 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, with the exception

[[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?

    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.  1039.125. 
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.

[[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?

    (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.

[[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?

    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

[[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?

    (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 
compression-ignition 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 
1039 for its model year, without a separate application for 
certification under the requirements of this part 1039. See Sec.  
1039.610 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 install motor-vehicle engines certified for the 
appropriate model year under 40 CFR part 86 in nonroad equipment 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 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)

[[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?

    (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

[[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?

    (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.

[[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?

    (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.  1039.825  What reporting and recordkeeping requirements apply
under this part?

    (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

[[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
----------------------------------------------------------------------------------------------------------------

    (c) Tier 3 standards apply as summarized in the following table:

                                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
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[[Page 459]]

 
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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.

    (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) Identify all the emission standards that apply to the engine (or 
FELs, if applicable). If you do not declare an FEL under subpart H of 
this part, you may alternatively 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, or power density as a range 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 the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the

[[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] L1/2, 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] L1/2, 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.

    (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.  1042.220 and 1042.225. 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.  1042.255).
    (c) We may ask you to include less information than we specify in 
this

[[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.

    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:

[[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.

    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. For 
Category 1 and Category 2 engines, the not-to-exceed standards apply for 
this testing of Category 1 and Category 2 engines, but you need not do 
additional testing to show that production-line engines meet the not-to-
exceed standards. The mode cap standards apply for the testing of 
Category 3 engines.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1042.310), 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 on a Category 1 engine to any 
setting within its physically adjustable range. We may adjust or require 
you to adjust any adjustable parameter on a Category 2 or Category 3 
engine to any setting within its specified 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

[[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.

    (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.

[[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.

    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

[[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.

    (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] or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) The International Maritime Organization, 4 Albert Embankment, 
London SE1 7SR, United Kingdom, or www.imo.org, or 44-(0)20-7735-7611.
    (1) MARPOL Annex VI, Regulations for the Prevention of Air Pollution

[[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.

    (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.  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:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)        Engine speed \1 3\         Power (percent) \2 3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             229  Maximum test speed........  100%.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................             166  63%.......................  25%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             570  91%.......................  75%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.

[[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.

    (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], or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) The International Maritime Organization, 4 Albert Embankment, 
London SE1 7SR, United Kingdom, or www.imo.org, or 44-(0)20-7735-7611.
    (1) MARPOL Annex VI, Regulations for the Prevention of Air Pollution 
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. Sec.  1043.1 introductory text, 1043.20, 1043.30(f), 
1043.60(c), and 1043.70(a).
    (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.  
1043.20, 1043.41(b) and (h), and 1043.70(a).
    (2) [Reserved]

[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?

    (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 an engine may not be shorter than any published 
warranty you offer without charge for that 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 when 
the engine is placed into service.
    (1) The minimum warranty period for outboard engines is 175 hours of 
engine operation or 5 years, whichever comes first. The minimum warranty 
period for personal watercraft engines is 175 hours of engine operation 
or 30 months, whichever comes first.
    (2) The minimum warranty period for sterndrive/inboard engines is 
shown in the following table:

   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.

    (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

[[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?

    (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

[[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?

    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--
    (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.  1045.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the engine's displacement (in liters) and maximum engine 
power (in kW); however, you may omit the displacement 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) State the FELs to which the engines are certified (in g/kW-hr) 
if certification depends on the ABT provisions of subpart H of this 
part.

[[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?

    (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.

[[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?

    (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.  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?

    (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 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 duty-cycle emission standards in Sec. Sec.  1045.103 and 
1045.105. Measure the emissions of all exhaust constituents subject to 
emissions standards as specified in 40 CFR part 1065. Measure 
CO2, N2O, and CH4 as described in Sec.  
1045.235. Use the applicable duty cycles specified in Sec.  1045.505. 
Section 1045.515 describes the supplemental procedures for evaluating 
whether engines meet the not-to-exceed emission standards in Sec.  
1045.107.
    (c) Fuels. 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 Sec.  1045.515.
    (1) Use gasoline meeting the specifications described in 40 CFR 
1065.710(c)

[[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?

    (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

[[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?

    (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:

[[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?

    (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 or vessel 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

[[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?

    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. Starting in the 
2007 model year, 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 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

[[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?

    (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.  1048.255).
    (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.  1048.250.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).

[[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?

    (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.

[[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?

    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 either 
the steady-state or transient testing procedures specified in subpart F 
of this part to show you meet the duty-cycle emission standards in 
subpart B of this part. The field-testing standards apply for this 
testing, but you need not do additional testing to show that production-
line engines meet the field-testing standards.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1048.310), 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.

[[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 = 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.
    (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:


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:

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.

    (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?

    (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.

[[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)

    (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

[[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?

    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

[[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.

    (c) For full-load operating modes, operate the engine at wide-open 
throttle.

[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?

    (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

[[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?

    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.

[[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?

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 
20460, (202) 202-1744, and is available from the sources listed below. 
It is also available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html.
    (b) Society of Automotive Engineers, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 
776-4970 (outside the U.S. and Canada), http://www.sae.org.
    (1) SAE J2260, Nonmetallic Fuel System Tubing with One or More 
Layers, November 2004; IBR approved for Sec.  1048.105(a).
    (2) SAE J2260, Nonmetallic Fuel System Tubing with One or More 
Layers, November 1996; IBR approved for Sec.  1048.105(a).
    (c) International Organization for Standardization, Case Postale 56, 
CH-1211 Geneva 20, Switzerland, (41) 22749 0111, http://www.iso.org, or 
[email protected].
    (1) ISO 9141-2 Road vehicles--Diagnostic systems-- Part 2: CARB 
requirements for interchange of digital information, February 1994; IBR 
approved for Sec.  1048.110(g).
    (2) ISO 14230-4 Road vehicles--Diagnostic systems--Keyword Protocol 
2000--Part 4: Requirements for emission-related systems, June 2000; IBR 
approved for Sec.  1048.110(g).

[78 FR 36397, June 17, 2013]



Sec.  1048.815  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.

[[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?

    (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.

[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]]

    (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.

[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
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------------------------------------------------------------------------



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?

    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.  1051.125. 
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 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

[[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?

    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 vehicles or engines 
if you have already given us these data for certifying other vehicles in 
the same or earlier model years. Use good engineering judgment to decide 
whether the two vehicles or engines are similar. We will approve your 
request if you show us that the emission measurements from other 
vehicles or engines reasonably represent in-use deterioration for the 
engine family for which you have not yet determined deterioration 
factors.
    (b) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) of this section, select vehicles, 
engines, subsystems, or components for testing. Determine deterioration 
factors based on service accumulation and related testing to represent 
the deterioration expected from in-use vehicles over the full useful 
life, as follows:
    (1) You must measure emissions from the emission-data vehicle at a 
low-hour

[[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?

    (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).

[[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:

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] TR08OC08.094

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?

    (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.  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?

    (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:
    (1) Engine-family designation.
    (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 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 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.  
1051.701(d). For

[[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?

    (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 on 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.  1051.725 and 
Sec.  1051.730.
    (d) Keep records of the identification number for each vehicle or 
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.

[[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?

    (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.

[70 FR 40511, July 13, 2005]



Sec.  1051.820  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.

[[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
------------------------------------------------------------------------

    (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

[[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?

    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.  1054.245 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. If the survey data show that 60 to 80 percent of engines in 
the field get the maintenance you specify at the recommended intervals, 
you may ask us to consider additional factors such as the effect on 
performance and emissions. For example, we may allow you to schedule 
fuel-injector replacement as critical emission-related maintenance if 
you have survey data showing this is done at the recommended interval 
for 65 percent of engines and you demonstrate that performance 
degradation is roughly proportional to the

[[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?

    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.  1054.125. 
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

[[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?

    (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 emission family is limited to a single model year. For 
evaporative emissions, group engines into emission families as described 
in 40 CFR 1060.230.
    (b) Group engines into the same emission family for exhaust 
emissions if they are the same in all the following aspects:
    (1) The combustion cycle and fuel. See paragraph (g) of this section 
for special provisions that apply for dual-fuel engines.
    (2) The cooling system (liquid-cooled vs. air-cooled).
    (3) Valve configuration (for example, side-valve vs. overhead 
valve).
    (4) Method of air aspiration (for example, turbocharged vs. 
naturally aspirated).
    (5) The number, location, volume, and composition of catalytic 
converters.
    (6) The number and arrangement of cylinders (such as in-line or vee 
configuration) and approximate total displacement.
    (7) Engine class, as defined in Sec.  1054.801.
    (8) Method of control for engine operation, other than governing 
(mechanical or electronic).
    (9) The numerical level of the applicable emission standards. For 
example,

[[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?

    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 emission 
family based on emission measurements from similar engines if you have 
already given us these data for certifying 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.
    (b) If you are unable to determine deterioration factors for an 
emission 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. Determine deterioration factors as follows:
    (1) Measure emissions from the emission-data engine at a low-hour 
test point, at the midpoint of the useful life, and at the end of the 
useful life, except as specifically allowed by this paragraph (b). You 
may test at additional evenly spaced intermediate points. Collect 
emission data using measurements to at least one more decimal place than 
the emission standard in subpart B of this part.
    (2) Operate the engine over a duty cycle that is representative of 
in-use operation 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 nonroad equipment 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; you

[[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?

    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 emission standards in subpart B of this part.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1054.310), 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

[[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?

    (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

[[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:

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, 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:

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.  
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?

    (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.  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?

    (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 Clean Air Act.
    (b) Note that the provisions of 40 CFR 1068.103(f) prohibit engine 
manufacturers from deviating from normal production and inventory 
practices to stockpile engines with a date of manufacture before new or 
changed emission standards take effect. If your normal practice for 
producing engines subject to this part 1054 includes maintaining engines 
in inventory for some engine families for more than 12 months, you must 
get our prior approval to continue this practice for model years in 
which emission standards change. Include in your request information 
showing that this is necessary and it is consistent with your normal 
business

[[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.

    (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 equipment 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 equipment) in which 
emission credits may be exchanged only with other engines (or equipment) 
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.

[[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.

    (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 
described in paragraphs (b)(1) and (2) of this section. Determine the 
FEL for calculating emission credits relative to

[[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?

    (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.  1054.820).



          Subpart I_Definitions and Other Reference Information



Sec.  1054.801  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

[[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?

    (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.  1054.825  What reporting and recordkeeping requirements apply 
under this part?

    (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. We may request these records 
at any time. You must promptly give us organized, written records in 
English if we ask for them. This requirement to give us records applies 
whether or not you rely on someone else to keep records on your behalf. 
We may require you to submit written records in an electronic format.
    (b) The regulations in Sec.  1054.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
Failing to properly report information and keep the records we specify 
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal 
penalties.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec.  1054.801).
    (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.
    (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

[[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)


                                  [all]