CFR 2021 Title40 Vol36

Title 40
Protection of Environment
Parts 1000 to 1059
Revised as of July 1, 2021
Containing a codification of documents

of general applicability and future effect
As of July 1, 2021
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
kpayne on VMOFRWIN702 with $$_JOB
VerDate Sep<11>2014 17:29 Feb 28, 2022 Jkt 253187 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Q:\40\40V36.TXT PC31
U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos

The seal of the National Archives and Records Administration
(NARA) authenticates the Code of Federal Regulations (CFR) as
the official codification of Federal regulations established under
the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the
contents of the CFR, a special edition of the Federal Register, shall
be judicially noticed. The CFR is prima facie evidence of the origi-
nal documents published in the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA’s official seal and the stylized Code
of Federal Regulations logo on any republication of this material
without the express, written permission of the Archivist of the
United States or the Archivist’s designee. Any person using
NARA’s official seals and logos in a manner inconsistent with the
provisions of 36 CFR part 1200 is subject to the penalties specified
in 18 U.S.C. 506, 701, and 1017.
Use of ISBN Prefix

This is the Official U.S. Government edition of this publication
and is herein identified to certify its authenticity. Use of the 0–16
ISBN prefix is for U.S. Government Publishing Office Official Edi-
tions only. The Superintendent of Documents of the U.S. Govern-
ment Publishing Office requests that any reprinted edition clearly
be labeled as a copy of the authentic work with a new ISBN.
U.S. GOVERNMENT PUBLISHING OFFICE
U.S. Superintendent of Documents • Washington, DC 20402–0001

http://bookstore.gpo.gov
gpologo2.eps</GPH>
Phone: toll-free (866) 512-1800; DC area (202) 512-1800

archives.ai</GPH>
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

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 40 CFR
1027.101 refers to title
40, part 1027, section
101.
iv
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 agen-
cies 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 sub-
divided 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
The Code of Federal Regulations is kept up to date by the individual issues
of the Federal Register. These two publications must be used together to deter-
mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date
(in this case, July 1, 2021), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which
appears in the Reader Aids section of the daily Federal Register. These two lists
will identify the Federal Register page number of the latest amendment of any
given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg-
ister since the last revision of that volume of the Code. Source citations for
the regulations are referred to by volume number and page number of the Federal
Register and date of publication. Publication dates and effective dates are usu-
ally not the same and care must be exercised by the user in determining the
actual effective date. In instances where the effective date is beyond the cut-
off date for the Code a note has been inserted to reflect the future effective
date. In those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be inserted following
the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
to display an OMB control number with their information collection request.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of the revision
date stated on the cover of each volume are not carried. Code users may find
the text of provisions in effect on any given date in the past by using the appro-
priate List of CFR Sections Affected (LSA). For the convenience of the reader,
a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.
For changes to the Code prior to the LSA listings at the end of the volume,
consult previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published for 1949-
1963, 1964-1972, 1973-1985, and 1986-2000.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal
Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca-
tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that
a portion of the CFR was left vacant and not dropped in error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established
by statute and allows Federal agencies to meet the requirement to publish regu-
lations in the Federal Register by referring to materials already published else-
where. For an incorporation to be valid, the Director of the Federal Register
must approve it. The legal effect of incorporation by reference is that the mate-
rial is treated as if it were published in full in the Federal Register (5 U.S.C.
552(a)). This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the Federal Register
will approve an incorporation by reference only when the requirements of 1 CFR
part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub-
lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to
afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in
accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed as an approved incorpora-
tion by reference, please contact the agency that issued the regulation containing
that incorporation. If, after contacting the agency, you find the material is not
available, please notify the Director of the Federal Register, National Archives
and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or
call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate
volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table of Authorities and Rules. A list of CFR
titles, chapters, subchapters, and parts and an alphabetical list of agencies pub-
lishing in the CFR are also included in this volume.

An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
vi
The Federal Register Index is issued monthly in cumulative form. This index
is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg-
ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the
revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the
Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume,
contact the issuing agency. The issuing agency’s name appears at the top of
odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write
to the Director, Office of the Federal Register, National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail
fedreg.info@nara.gov.
SALES
The Government Publishing Office (GPO) processes all sales and distribution
of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area,
202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours
a day. For payment by check, write to: US Government Publishing Office – New
Orders, P.O. Box 979050, St. Louis, MO 63197-9000.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections
Affected), The United States Government Manual, the Federal Register, Public
Laws, Public Papers of the Presidents of the United States, Compilation of Presi-
dential Documents and the Privacy Act Compilation are available in electronic
format via www.govinfo.gov. For more information, contact the GPO Customer
Contact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-
512-1800 (toll-free). E-mail, ContactCenter@gpo.gov.
The Office of the Federal Register also offers a free service on the National
Archives and Records Administration’s (NARA) website for public law numbers,
Federal Register finding aids, and related information. Connect to NARA’s
website at www.archives.gov/federal-register.
The e-CFR is a regularly updated, unofficial editorial compilation of CFR ma-
terial and Federal Register amendments, produced by the Office of the Federal
Register and the Government Publishing Office. It is available at www.ecfr.gov.
OLIVER A. POTTS,
Director,
Office of the Federal Register
July 1, 2021
vii
THIS TITLE
Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven volumes.

The parts in these volumes are arranged in the following order: Parts 1–49, parts
50–51, part 52 (52.01–52.1018), part 52 (52.1019–52.2019), part 52 (52.2020–end of part
52), parts 53–59, part 60 (60.1–60.499), part 60 (60.500–end of part 60, sections), part
60 (Appendices), parts 61–62, part 63 (63.1–63.599), part 63 (63.600–63.1199), part 63
(63.1200–63.1439), part 63 (63.1440–63.6175), part 63 (63.6580–63.8830), part 63 (63.8980–
end of part 63), parts 64–71, parts 72–79, part 80, part 81, parts 82–86, parts 87–
95, parts 96–99, parts 100–135, parts 136–149, parts 150–189, parts 190–259, parts 260–
265, parts 266–299, parts 300–399, parts 400–424, parts 425–699, parts 700–722, parts
723–789, parts 790–999, parts 1000–1059, and part 1060 to end. The contents of these
volumes represent all current regulations codified under this title of the CFR
as of July 1, 2021.
Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

umes. OMB control numbers for title 40 appear in § 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 Depart-
ment 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.
ix
Title 40—Protection of
Environment
(This book contains parts 1000 to 1059)
Part
CHAPTER I—Environmental Protection Agency (Continued) 1027

CHAPTER I—ENVIRONMENTAL PROTECTION
AGENCY (CONTINUED)
EDITORIAL NOTE: Nomenclature changes to chapter I appear at 65 FR 47324, 47325, Aug. 2,

2000, and 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER U—AIR POLLUTION CONTROLS
Part Page
1000–1026 [Reserved]
1027 Fees for engine, vehicle, and equipment compli-
ance programs ...................................................... 5
1030 Control of greenhouse gas emissions from engines
installed on airplanes ........................................... 13
1033 Control of emissions from locomotives ................... 17
1036 Control of emissions from new and in-use heavy-
duty highway engines ........................................... 98
1037 Control of emissions from new heavy-duty motor
vehicles ................................................................ 216
1039 Control of emissions from new and in-use nonroad
compression-ignition engines ............................... 358
1042 Control of emissions from new and in-use marine
compression-ignition engines and vessels ............ 445
1043 Control of NOX, SOX, and PM emissions from ma-
rine engines and vessels subject to the MARPOL
protocol ................................................................ 534
1045 Control of emissions from spark-ignition propul-
sion marine engines and vessels ........................... 545
1048 Control of emissions from new, large nonroad
spark-ignition engines ......................................... 610
1051 Control of emissions from recreational engines and
vehicles ................................................................ 668
1054 Control of emissions from new, small nonroad
spark-ignition engines and equipment ................. 734
SUBCHAPTER U—AIR POLLUTION CONTROLS
PARTS 1000–1026 [RESERVED] (2) The following nonroad engines

and equipment:
(i) Locomotives and locomotive en-
gines we regulate under 40 CFR part 92
PART 1027—FEES FOR ENGINE, VE- or 1033.
(ii) Nonroad compression-ignition en-
HICLE, AND EQUIPMENT COMPLI- gines we regulate under 40 CFR part 89
ANCE PROGRAMS or 1039.
(iii) Marine compression-ignition en-
Sec.
gines we regulate under 40 CFR part 94,
1027.101 To whom do these requirements
apply? 1042, or 1043.
1027.105 How much are the fees? (iv) Marine spark-ignition engines
1027.110 What special provisions apply for and vessels we regulate under 40 CFR
certification related to motor vehicles? part 91, 1045, or 1060. We refer to these
1027.115 What special provisions apply for as Marine SI engines.
certification related to nonroad and sta- (v) Nonroad spark-ignition engines
tionary engines? above 19 kW we regulate under 40 CFR
1027.120 Can I qualify for reduced fees?
part 1048. We refer to these as Large SI
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
engines.
1027.135 What provisions apply to a deficient (vi) Recreational vehicles we regu-
filing? late under 40 CFR part 1051.
1027.140 What reporting and recordkeeping (vii) Nonroad spark-ignition engines
requirements apply under this part? and equipment at or below 19 kW we
1027.150 What definitions apply to this regulate under 40 CFR part 90, 1054, or
part? 1060. We refer to these as Small SI en-
1027.155 What abbreviations apply to this gines.
subpart?
(3) The following stationary internal
AUTHORITY: 42 U.S.C. 7401–7671q. combustion engines:
SOURCE: 73 FR 59184, Oct. 8, 2008, unless (i) Stationary compression-ignition
otherwise noted. engines we certify under 40 CFR part
EFFECTIVE DATE NOTE: At 86 FR 34373, July 60, subpart IIII.
29, 2021, the heading for part 1027 was revised, (ii) Stationary spark-ignition engines
effective July 29, 2021. we certify under 40 CFR part 60, sub-
part JJJJ.
§ 1027.101 To whom do these require- (4) Portable fuel containers we regu-
ments apply? late under 40 CFR part 59, subpart F.
(a) This part prescribes fees manufac- (b) This part applies to applications
turers must pay for activities related for certification that we receive on or
to EPA’s engine, vehicle, and equip- after December 8, 2008. Earlier applica-
ment compliance program (EVECP). tions are subject to the provisions of 40
This includes activities related to ap- CFR part 85, subpart Y, as that provi-
proving certificates of conformity and sion read before December 8, 2008.
performing tests and taking other (c) Nothing in this part limits our au-
steps to verify compliance with emis- thority to conduct testing or to require
sion standards. You must pay fees as you to conduct testing as provided in
described in this part if you are a man- the Act, including our authority to re-
ufacturer of any of the following prod- quire you to conduct in-use testing
ucts: under section 208 of the Act (42 U.S.C.
(1) Motor vehicles and motor vehicle 7542).
engines we regulate under 40 CFR part (d) Paragraph (a) of this section iden-
86. This includes light-duty vehicles, tifies the parts of the CFR that define
light-duty trucks, medium-duty pas- emission standards and other require-
senger vehicles, highway motorcycles, ments for particular types of engines,
and heavy-duty highway engines and vehicles, and fuel-system components.

vehicles. This part 1027 refers to each of these
§ 1027.105 40 CFR Ch. I (7–1–21 Edition)
other parts generically as the ‘‘stand- for certification. Each reference to a

ard-setting part.’’ For example, 40 CFR year in this subpart refers to the cal-
part 1051 is always the standard-setting endar year, unless otherwise specified.
part for recreational vehicles. For Paragraph (b) of this section specifies
some nonroad engines, we allow for baseline fees, which applied for certifi-
certification related to evaporative cates received in 2005. For engine and
emissions separate from exhaust emis- vehicles not yet subject to standards in
sions. In this case, 40 CFR part 1060 is 2005, these values represent the fees
the standard-setting part for the equip- that apply initially based on available
ment or fuel system components you information to characterize what the
produce. fees would have been in 2005. See para-
graph (c) of this section for provisions
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR describing how we calculate fees for fu-
22981, Apr. 30, 2010]
ture years.
EFFECTIVE DATE NOTE: At 86 FR 34373, June (b) The following baseline fees for
29, 2021, § 1027.101 was amended, effective July each application for certification:
29, 2021. (1) Except as specified in paragraph
(b)(2) of this section for Independent
§ 1027.105 How much are the fees? Commercial Importers, the following
(a) Fees are determined based on the fees apply for motor vehicles and
date we receive a complete application motor vehicle engines:
Category Certificate type Fee
(i) Light-duty vehicles and trucks ................................................................ Federal ............................................. $33,883

(ii) Light-duty vehicles and trucks ............................................................... California-only .................................. 16,944
(iii) Medium-duty passenger vehicles ......................................................... Federal ............................................. 33,883
(iv) Medium-duty passenger vehicles ......................................................... California-only .................................. 16,944
(v) Highway motorcycle ............................................................................... All ..................................................... 2,414
(vi) Heavy-duty highway engine .................................................................. Federal ............................................. 21,578
(vii) Heavy-duty highway engine ................................................................. California-only .................................. 826
(viii) Complete heavy-duty highway vehicles .............................................. Federal ............................................. 33,883
(ix) Complete heavy-duty highway vehicles ............................................... California-only .................................. 16,944
(x) Heavy-duty vehicle ................................................................................ Evap ................................................. 826
(2) A fee of $8,387 applies for Inde- (ii) Medium-duty passenger vehicles.
pendent Commercial Importers with (iii) Complete heavy-duty highway
respect to the following motor vehi- vehicles.
cles: (3) The following fees apply for
(i) Light-duty vehicles and light-duty nonroad and stationary engines, vehi-
trucks. cles, equipment, and components:
Category Certificate type Fee
(i) Locomotives and locomotive engines .................................................... All ..................................................... $826

(ii) Marine compression-ignition engines and stationary compression-igni- All, including EIAPP ......................... 826
tion engines with per-cylinder displacement at or above 10 liters.
(iii) Other nonroad compression-ignition engines and stationary compres- All ..................................................... 1,822
sion-ignition engines with per-cylinder displacement below 10 liters.
(iv) Large SI engines ...................................................................................
All ..................................................... 826
(v) Stationary spark-ignition engines above 19 kW ....................................
All ..................................................... 826
(vi) Marine SI engines and Small SI engines .............................................
Exhaust only .................................... 826
(vii) Stationary spark-ignition engines at or below 19 kW ..........................
Exhaust only .................................... 826
(viii) Recreational vehicles ..........................................................................
Exhaust (or combined exhaust and 826
evap).
(ix) Equipment and fuel-system components associated with nonroad Evap (where separate certification 241
and stationary spark-ignition engines, including portable fuel containers. is required).
(c) We will calculate adjusted fees for justed fees for a given year by January
later years based on changes in the 31 of the preceding year.
Consumer Price Index and the number

of certificates. We will announce ad-
Environmental Protection Agency § 1027.105
(1) We will adjust the values specified from nonroad and stationary engines
in paragraph (b) of this section for when a separate fee applies for certifi-
later years as follows: cation to evaporative emission stand-
(i) Use the fee identified in ards. Use the following equation start-
§ 1027.105(b)(3) through 2014 for certifi- ing with 2015:
cation related to evaporative emissions
Where: CPI2006 = 201.8. This is based on the October

Certificate FeeCY = Fee per certificate for a 2006 value of the Consumer Price Index.
given year. OH = 1.169. This is based on EPA overhead,
which is applied to all costs.
Op = operating costs are all of EPA’s
cert#MY–2 = the total number of certificates
nonlabor costs for each category’s com-
issued for a fee category in the model
pliance program, including any fixed
year two years before the calendar year
costs associated with EPA’s testing lab-
for the applicable fees as described in
oratory, as described in paragraph (d)(1)
paragraph (d)(3) of this section.
of this section.
cert#MY–3 = the total number of certificates
L = the labor costs, to be adjusted by the issued for a fee category in the model
Consumer Price Index, as described in year three years before the calendar year
paragraph (d)(1) of this section. for the applicable fees as described in
CPICY–2 = the Consumer Price Index for the paragraph (d)(3) of this section.
month of November two years before the
applicable calendar year, as described in (ii) Use the following equation for all
paragraph (d)(2) of this section. other certificates for 2006 and later:
Where: the amount specified for the previous

CPI2002 = 180.9. This is based on the December year.
2002 value of the Consumer Price Index as (d) Except as specified in § 1027.110(a)
described in paragraph (d)(2) of this sec- for motor vehicles and motor vehicle
tion. engines, we will use the following val-
(2) The fee for any year will remain ues to determine adjusted fees using
the equation in paragraph (c) of this
at the previous year’s amount until the
section:
value calculated in paragraph (c)(1) of
(1) The following values apply for op-
this section differs by at least $50 from erating costs and labor costs:
Engine or Vehicle Category Op L
(i) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle certification $3,322,039 $2,548,110
(ii) Light-duty, medium-duty passenger, and complete heavy-duty highway vehicle in-use test-
ing .............................................................................................................................................. 2,858,223 2,184,331
(iii) Independent Commercial Importers identified in § 1027.105(b)(2) ......................................... 344,824 264,980
(iv) Highway motorcycles .............................................................................................................. 225,726 172,829
(v) Heavy-duty highway engines ................................................................................................... 1,106,224 1,625,680
(vi) Nonroad compression-ignition engines that are not locomotive or marine engines, and sta-
tionary compression-ignition engines with per-cylinder displacement below 10 liters .............. 486,401 545,160
ER24FE09.003</GPH> ER24FE09.004</GPH>
(vii) Evaporative certificates related to nonroad and stationary engines ...................................... 5,039 236,670
(viii) All other ................................................................................................................................. 177,425 548,081
§ 1027.110 40 CFR Ch. I (7–1–21 Edition)
(2) The applicable Consumer Price and L values to the equation in

Index is based on the values published § 1027.105(c) to determine the certifi-
by the Bureau of Labor Statistics for cation portion of the light-duty fee.
all U.S. cities using the ‘‘U.S. city av- The total number of certificates issued
erage’’ area, ‘‘all items,’’ and ‘‘not sea- will be the total number of California-
sonally adjusted’’ numbers (see ftp:// only and federal light-duty, medium-
ftp.bls.gov/pub/special.requests/cpi/ duty passenger and complete heavy-
cpiai.txt). For example, we calculated duty highway vehicle certificates
the 2006 fees using the Consumer Price issued during the appropriate model
Index for November 2004, which is 191.0. years.
(3) Fee categories for counting the (ii) Apply the light-duty, medium-
number of certificates issued are based duty passenger, and complete heavy-
on the grouping shown in paragraph duty highway vehicle in-use testing Op
(d)(1) of this section. and L values to the equation in
(e) The following example for calcu- § 1027.105(c) to determine the in-use
lating the 2006 complete federal heavy testing portion of the fee. The total
duty highway vehicle fee illustrates
number of certificates issued will be
the fee adjustment:
the total number of federal light-duty,
Op = $1,106,224 medium-duty passenger, and complete
L = $1,625,680 heavy-duty highway vehicle certifi-
CPI2002 = 180.9 cates issued during the appropriate
CPI2004 = 191.0 model years.
cert #2004 = 131 (iii) Add the certification and in-use
cert#2003 = 95 testing portions determined in para-
Fee06 = [$1,106,224 + $1,625,680 . (191.0/ graphs (a)(2)(i) and (ii) of this section
180.9)] . 1.169/[(131 + 95) . 0.5] = $29,200.88 to determine the total light-duty, me-
Assessed Fee = $29,201 dium-duty passenger, and complete
[73 FR 59184, Oct. 8, 2008, as amended at 74 FR heavy-duty highway vehicle fee for
8423, Feb. 24, 2009; 75 FR 22981, Apr. 30, 2010] each federal certificate.
EFFECTIVE DATE NOTE: At 86 FR 34373, June (b) For light-duty vehicles, light-
29, 2021, § 1027.105 was revised, effective July duty trucks, medium-duty passenger
29, 2021. vehicles, highway motorcycles, and
complete heavy-duty highway vehicles
§ 1027.110 What special provisions subject to exhaust emission standards,
apply for certification related to
motor vehicles? the number of certificates issued as
specified in § 1027.105(d)(3) is based only
(a) We will adjust fees for 2006 and on engine families with respect to ex-
later years for light-duty, medium- haust emissions. A separate fee applies
duty passenger, and complete heavy- for each evaporative family for heavy-
duty highway vehicles as follows: duty engines.
(1) California-only certificates. Cal-
(c) If you manufacture a heavy-duty
culate adjusted fees for California-only
vehicle that another company has cer-
certificates by applying the light-duty,
tified as an incomplete vehicle such
medium-duty passenger, and complete
that you exceed the maximum fuel
heavy-duty highway vehicle certifi-
tank size specified by the original man-
cation Op and L values to the equation
ufacturer in the applicable certificate
in § 1027.105(c). The total number of cer-
of conformity, you must submit a new
tificates issued will be the total num-
application for certification and cer-
ber of California-only and federal light-
tification fee for the vehicle.
duty, medium-duty passenger, and
complete heavy-duty highway vehicle EFFECTIVE DATE NOTE: At 86 FR 34375, June
certificates issued during the appro- 29, 2021, § 1027.110 was amended, effective July
priate model years. 29, 2021.
(2) Federal certificates. Calculate ad-
justed fees for federal certificates with § 1027.115 What special provisions
the following three steps: apply for certification related to
(i) Apply the light-duty, medium- nonroad and stationary engines?
duty passenger, and complete heavy- (a) For spark-ignition engines above
duty highway vehicle certification Op 19 kW that we regulate under 40 CFR
part 1048 and for all compression-igni- calculating fee amounts for future
tion engines, the applicable fee is based years.
only on engine families with respect to (2) If an equipment manufacturer ap-
exhaust emissions. plies for certification to generate or
(b) For manufacturers certifying rec- use emission credits for fuel tanks and
reational vehicles with respect to both fuel lines, each affected fuel-tank and
exhaust and evaporative emission fuel-line family would count as a single
standards, fees are determined using family for assessing the certification
one of the following approaches: fee and for calculating fee amounts for
(1) If your engine family includes future years. This fee applies whether
demonstration of compliance with both or not the equipment manufacturer is
exhaust and evaporative emission applying for certification to dem-
standards, the applicable fee is based onstrate compliance with another
on certification related to the com- emission standard, such as running
bined family. No separate fee applies losses.
for certification with respect to evapo- (e) If you certify fuel system compo-
rative emission standards. These are nents under 40 CFR part 1060, a single
all considered engine families com- fee applies for each emission family
plying with exhaust emissions for de- even if those components are used with
termining the number of certificates different types of nonroad or sta-
for calculating fees for later years. tionary engines.
(2) If you have separate families for (f) If your application for certifi-
demonstrating compliance with ex- cation relates to emission standards
haust and evaporative emission stand- that apply only in California, you must
ards, a separate fee from the appro- pay the same fee identified for meeting
priate fee category applies for each EPA standards.
unique family. Also, the number of cer- (g) For marine compression-ignition
tificates issued as specified in engines, if you apply for a Federal cer-
§ 1027.105(d)(3) is based on a separate tificate and an EIAPP certificate for
count of emission families for exhaust the same engine family, a single fee ap-
and evaporative emissions for each re- plies for the engine family (see 40 CFR
spective fee category. parts 94, 1042, and 1043).
(c) For manufacturers certifying (h) If you produce engines for mul-
other spark-ignition engines or equip- tiple categories in a single engine fam-
ment with respect to exhaust and evap- ily, a single fee applies for the engine
orative emission standards, a separate family. For example, 40 CFR 60.4210 al-
fee from the appropriate fee category lows you to produce stationary and
applies for each unique family. A single nonroad compression-ignition engines
engine or piece of equipment may in- in a single engine family. If the certifi-
volve separate emission families and cation fee for the different types of en-
certification fees for exhaust and evap- gines is different, the fee that applies
orative emissions. Also, the number of for these engines is based on the emis-
certificates issued as specified in sion standards to which you certify the
§ 1027.105(d)(3) is based on a separate engine family. For example, if you cer-
count of emission families for exhaust tify marine diesel engines to the stand-
and evaporative emissions for each re- ards that apply to land-based nonroad
spective fee category. diesel engines under 40 CFR 94.912, the
(d) For any certification related to certification fee is based on the rate
evaporative emissions from engines, that applies for land-based nonroad die-
equipment, or components not covered sel engines.
by paragraph (a) through (c) of this
section, the fee applies for each cer- [73 FR 59184, Oct. 8, 2008, as amended at 75 FR
tified product independent of certifi- 22982, Apr. 30, 2010]
cation for exhaust emissions, as illus-
trated in the following examples: § 1027.120 Can I qualify for reduced
(1) A fuel tank certified to meet per- fees?
meation and diurnal emission stand- (a) Eligibility requirements. Both of the
ards would count as a single family for following conditions must be met be-
assessing the certification fee and for fore you are eligible for a reduced fee:
§ 1027.120 40 CFR Ch. I (7–1–21 Edition)
(1) The certificate is to be used for 85.1509 and 89.609. The projection of the
sale of vehicles or engines within the number of vehicles or engines to be
United States. covered by the certificate and their
(2) The full fee for an application for projected retail selling price must be
certification for a model year exceeds based on the latest information avail-
1.0% of the aggregate projected retail able at the time of the fee payment.
sales price of all vehicles or engines (6) You may submit a reduced fee as
covered by the certificate. described in this section if it is accom-
(b) Initial reduced fee calculation. (1) If panied by a calculation of the fee based
the conditions of paragraph (a) of this on the number of vehicles covered and
section are met, the initial fee paid the projected aggregate retail sales
must be $750 or 1.0% of the aggregate price as specified on the fee filing form.
projected retail sales price of all the Your reduced fee calculation shall be
vehicles or engines to be covered by the deemed approved unless we determine
certificate, whichever is greater. that the criteria of this section have
(2) For vehicles or engines that are not been met. We may make such a de-
converted to operate on an alternative termination either before or after
fuel using as the basis for the conver- issuing a certificate of conformity. If
sion a vehicle or engine that is covered we determine that the requirements of
by an existing certificate of con- this section have not been met, we may
formity, the cost basis used in this sec- deny future reduced fee applications
tion must be the aggregate projected and require submission of the full fee
retail value-added to the vehicle or en- payment until you demonstrate to our
gine by the conversion rather than the satisfaction that your reduced fee sub-
full cost of the vehicle or engine. For missions are based on accurate data
this provision to apply, the existing and that final fee payments are made
certificate must cover the same sales within 45 days of the end of the model
area and model year as the requested year.
certificate for the converted vehicle or (7) If we deny your request for a re-
engine. duced fee, you must send us the appro-
(3) For remanufacturing systems, the priate fee within 30 days after we no-
cost basis used in this section must be tify you.
the aggregate projected retail cost of a (c) Revision of the number of vehicles or
complete remanufacture, including the engines covered by the certificate. (1) You
cost of the replacement components, must take both of the following steps if
software, and assembly. the number of vehicles or engines to be
(4) For ICI certification applications, produced or imported under the certifi-
the cost basis of this section must be cate exceeds the number indicated on
the aggregate projected retail cost of the certificate (including a certificate
the entire vehicle(s) or engine(s), not under which modification and test ve-
just the value added by the conversion. hicles are imported under 40 CFR
If the vehicles/engines covered by an 85.1509 and 89.609):
ICI certificate are not being offered for (i) Request that we revise the certifi-
sale, the manufacturer shall use the cate with a number that indicates the
fair retail market value of the vehicles/ new projection of the vehicles or en-
engines as the retail sale price required gines to be covered by the certificate.
in this section. For an ICI application We must issue the revised certificate
for certification, the retail sales price before the additional number of vehi-
(or fair retail market value) must be cles or engines may be sold or finally
based on the applicable National Auto- imported into the United States.
mobile Dealer’s Association (NADA) (ii) Submit payment of 1.0% of the
appraisal guide and/or other evidence aggregate projected retail sales price of
of the actual market value. all the additional vehicles or engines.
(5) The aggregate cost used in this (2) You must receive a revised certifi-
section must be based on the total pro- cate before the sale or final importa-
jected sales of all vehicles and engines tion of any vehicles or engines, includ-
under a certificate, including vehicles ing modification and test vehicles, that
and engines modified under the modi- are not originally included in the cer-
fication and test option in 40 CFR tificate issued under paragraph (b) of
10
this section, or as indicated in a re- than you projected for calculating a re-
vised certificate issued under para- duced fee under § 1027.120, we will re-
graph (c)(1) of this section. Such vehi- fund the appropriate portion of the fee.
cles that are sold or imported before we We will also refund a portion of the ini-
issue a revised certificate are deemed tial payment if it exceeds the final fee
to be not covered by a certificate of for the engines, vehicles, or equipment
conformity. covered by the certificate application.
(d) Final reduced fee calculation and (1) You are eligible for a partial re-
adjustment. (1) If the initial fee pay- fund related only to a certificate used
ment is less than the final reduced fee, for the sale of engines, vehicles, or
you must pay the difference between equipment under that certificate in the
the initial reduced fee and the final re- United States.
duced fee using the provisions of (2) Include all the following in your
§ 1027.130. Calculate the final reduced request for a partial refund of reduced
fee using the procedures of paragraph fee payments:
(c) of this section but using actual pro- (i) State that you sold engines, vehi-
duction figures rather than projections cles, or equipment under the applicable
and actual retail sales value rather certificate in the United States.
than projected retail sales value. (ii) Identify the number of engines,
(2) You must pay the difference be- vehicles, or equipment you produced or
tween the initial reduced fee and the imported under the certificate, and
final reduced fee within 45 days of the whether the engines, vehicles, or equip-
end of the model year. The total fees ment have been sold.
paid for a certificate may not exceed (iii) Identify the reduced fee that you
the applicable full fee specified in paid under the applicable certificate.
§ 1027.105. We may void the applicable (iv) Identify the actual retail sales
certificate if you fail to make a com- price for the engines, vehicles, or
plete payment within the specified pe- equipment produced or imported under
riod. We may also refuse to grant re- the certificate.
duced fee requests submitted under (v) Calculate the final value of the
paragraph (b)(5) of this section. reduced fee using actual production
(3) If the initial fee payment exceeds
figures and retail prices.
the final reduced fee, you may request
(vi) Calculate the refund amount.
a refund using the procedures of
§ 1027.125. (c) We will approve your request to
(e) Records retention. You are subject correct errors in the amount of the fee.
to the applicable requirements to (d) All refunds must be applied for
maintain records under this chapter. If within six months after the end of the
you fail to maintain required records model year.
or provide them to us, we may void the (e) Send refund and correction re-
certificate associated with such quests to the Fee Program Specialist,
records. You must also record the basis U.S. Environmental Protection Agen-
you used to calculate the projected cy, Vehicle Programs and Compliance
sales and fair retail market value and Division, 2000 Traverwood Dr., Ann
the actual sales and retail price for the Arbor, MI 48105, online at www.Pay.gov,
vehicles and engines covered by each or as specified in guidance by the Ad-
certificate issued under this section. ministrator.
You must keep this information for at (f) You may request to have refund
least three years after we issue the cer- amounts applied to the amount due on
tificate and provide it to us within 30 another application for certification.
days of our request. EFFECTIVE DATE NOTE: At 86 FR 34375, June
29, 2021, § 1027.125 was amended, effective July
§ 1027.125 Can I get a refund? 29, 2021.
(a) We will refund the total fee im-
posed under this part if you ask for a § 1027.130 How do I make a fee pay-
refund after failing to get a certificate ment?
for any reason. (a) Pay fees to the order of the Envi-
(b) If your actual sales or the actual ronmental Protection Agency in U.S.
retail prices in a given year are less dollars using any of the following
11
§ 1027.135 40 CFR Ch. I (7–1–21 Edition)
methods: money order, bank draft, cer- § 1027.150 What definitions apply to
tified check, corporate check, elec- this part?
tronic funds transfer, any method The definitions in this section apply
available for payment online at to this part. As used in this part, all
www.Pay.gov., or as specified in EPA undefined terms have the meaning the
guidance. Act or the standard-setting part gives
(b) Send a completed fee filing form to them. The definitions follow:
to the address designated on the form Application for Certification means a
for each fee payment or electronically manufacturer’s submission of an appli-
at www.Pay.gov., or as provided in EPA cation for certification.
guidance. These forms are available on California-only certificate is a certifi-
the Internet at http://www.epa.gov/otaq/ cate of conformity issued by EPA
guidance.htm. showing compliance with emission
(c) You must pay the fee amount due standards established by California.
before we will start to process an appli- Federal certificate is a certificate of
cation for certification. conformity issued by EPA showing
(d) If we deny a reduced fee, you must compliance with EPA emission stand-
pay the proper fee within 30 days after ards specified in one of the standard-
we notify you of our decision. setting parts specified in § 1027.101(a).
EFFECTIVE DATE NOTE: At 86 FR 34375, June Light-duty means relating to light-
29, 2021, § 1027.130 was amended, effective July duty vehicles and light-duty trucks.
29, 2021. Manufacturer has the meaning given
in section 216(1) of the Act. In general,
§ 1027.135 What provisions apply to a this term includes any person who
deficient filing? manufactures an engine, vehicle, ves-
(a) Any filing under this part is defi- sel, or piece of equipment for sale in
cient if it is not accompanied by a the United States or otherwise intro-
completed fee filing form and full pay- duces a new engine, vehicle, vessel, or
ment of the appropriate fee. piece of equipment into commerce in
(b) A deficient filing will be rejected the United States. This includes im-
unless the completed form and full porters who import such products for
payment are submitted within a time resale, but not dealers.
limit we specify. We will not process an Total number of certificates issued
application for certification if the asso- means the number of certificates for
ciated filing is deficient. which fees have been paid. This term is
not intended to represent multiple cer-
EFFECTIVE DATE NOTE: At 86 FR 34375, June tificates that are issued within a single
family or test group.
29, 2021.
Void has the meaning given in 40 CFR
§ 1027.140 What reporting and record- 1068.30.
keeping requirements apply under We (us, our) means the Administrator
this part? of the Environmental Protection Agen-
cy and any authorized representatives.
Under the Paperwork Reduction Act
(44 U.S.C. 3501 et seq.), the Office of [73 FR 59184, Oct. 8, 2008, as amended at 75 FR
Management and Budget approves the 22982, Apr. 30, 2010]
reporting and recordkeeping specified
in the applicable regulations. The fol- § 1027.155 What abbreviations apply to
this subpart?
lowing items illustrate the kind of re-
porting and recordkeeping we require The following symbols, acronyms,
for engines, vehicles, and equipment and abbreviations apply to this part:
regulated under this part: CFR ....... Code of Federal Regula-
(a) Filling out fee filing forms under tions.
§ 1027.130. EPA ...... U.S. Environmental Protec-
(b) Retaining fee records, including tion Agency.
reduced fee documentation, under Evap ...... Evaporative Emissions.
§ 1027.120. EVECP .. Engine, vehicle, and equip-
(c) Requesting refunds under ment compliance pro-

§ 1027.125. gram.
12
ICI ......... Independent Commercial (i) A type certificated maximum pas-

Importer. senger seating capacity of 19 seats or
U.S. ....... United States. fewer;
(ii) A MTOM greater than 5,700 kg,
EFFECTIVE DATE NOTE: At 86 FR 34375, June but not greater than 60,000 kg; and
29, 2021, § 1027.155 was revised, effective July (iii) An application for original type
29, 2021. certification that is submitted on or
after January 1, 2023.
PART 1030—CONTROL OF GREEN- (3) A propeller-driven airplane that
HOUSE GAS EMISSIONS FROM has—
ENGINES INSTALLED ON AIR- (i) A MTOM greater than 8,618 kg;
PLANES and
(ii) An application for original type
SCOPE AND APPLICABILITY certification that is submitted on or
after January 1, 2020.
1030.1 Applicability.
(4) A subsonic jet airplane—
1030.5 State standards and controls.
(i) That is a modified version of an
1030.10 Exemptions.
airplane whose original type certifi-
SUBSONIC AIRPLANE EMISSION STANDARDS AND cated version was not required to have
MEASUREMENT PROCEDURES GHG emissions certification under this
1030.20 Fuel efficiency metric. part;
1030.23 Specific air range (SAR). (ii) That has a MTOM greater than
1030.25 Reference geometric factor (RGF). 5,700 kg;
1030.30 GHG emission standards. (iii) For which an application for the
1030.35 Change criteria. modification in type design is sub-
1030.98 Confidential business information. mitted on or after January 1, 2023; and
(iv) For which the first certificate of
REFERENCE INFORMATION
airworthiness is issued for an airplane
1030.100 Abbreviations. built with the modified design.
1030.105 Definitions. (5) A propeller-driven airplane—
1030.110 Incorporation by reference. (i) That is a modified version of an
AUTHORITY: 42 U.S.C. 7401–7671q. airplane whose original type certifi-
cated version was not required to have
SOURCE: 86 FR 2171, Jan. 11, 2021, unless
otherwise noted. GHG emissions certification under this
part;
SCOPE AND APPLICABILITY (ii) That has a MTOM greater than
8,618 kg;
§ 1030.1 Applicability. (iii) For which an application for cer-
(a) Except as provided in paragraph tification that is submitted on or after
(c) of this section, when an aircraft en- January 1, 2023; and
gine subject to 40 CFR part 87 is in- (iv) For which the first certificate of
stalled on an airplane that is described airworthiness is issued for an airplane
in this section and subject to title 14 of built with the modified design.
the Code of Federal Regulations, the (6) A subsonic jet airplane that has—
airplane may not exceed the Green- (i) A MTOM greater than 5,700 kg;
house Gas (GHG) standards of this part and
when original civil certification under (ii) Its first certificate of airworthi-
title 14 is sought. ness issued on or after January 1, 2028.
(1) A subsonic jet airplane that has— (7) A propeller-driven airplane that
(i) A type certificated maximum pas- has—
senger seating capacity of 20 seats or (i) A MTOM greater than 8,618 kg;
more; and
(ii) A maximum takeoff mass (ii) Its first certificate of airworthi-
(MTOM) greater than 5,700 kg; and ness issued on or after January 1, 2028.
(iii) An application for original type (b) An airplane that incorporates
certification that is submitted on or modifications that change the fuel effi-
after January 11, 2021. ciency metric value of a prior version

(2) A subsonic jet airplane that has— of airplane may not exceed the GHG
13
§ 1030.5 40 CFR Ch. I (7–1–21 Edition)
standards of this part when certifi- any airplane or aircraft engine stand-
cation under 14 CFR is sought. The cri- ard with respect to emissions unless
teria for modified airplanes are de- the standard is identical to a standard
scribed in § 1030.35. A modified airplane that applies to airplanes under this
may not exceed the metric value limit part.
of the prior version under § 1030.30.
(c) The requirements of this part do § 1030.10 Exemptions.
not apply to:
(1) Subsonic jet airplanes having a Each person seeking relief from com-
MTOM at or below 5,700 kg. pliance with this part at the time of
(2) Propeller-driven airplanes having certification must submit an applica-
a MTOM at or below 8,618 kg. tion for exemption to the FAA in ac-
(3) Amphibious airplanes. cordance with the regulations of 14
(4) Airplanes initially designed, or CFR parts 11 and 38. The FAA will con-
modified and used, for specialized oper- sult with the EPA on each exemption
ations. These airplane designs may in- application request before the FAA
clude characteristics or configurations takes action.
necessary to conduct specialized oper-
ations that the EPA and the FAA have SUBSONIC AIRPLANE EMISSION STAND-
determined may cause a significant in- ARDS AND MEASUREMENT PROCE-
crease in the fuel efficiency metric DURES
value.
(5) Airplanes designed with a ref- § 1030.20 Fuel efficiency metric.
erence geometric factor of zero. For each airplane subject to this
(6) Airplanes designed for, or modi- part, including an airplane subject to
fied and used for, firefighting.
the change criteria of § 1030.35, a fuel
(7) Airplanes powered by piston en-
efficiency metric value must be cal-
gines
culated in units of kilograms of fuel
§ 1030.5 State standards and controls. consumed per kilometer using the fol-
No State or political subdivision of a lowing equation, rounded to three dec-
State may adopt or attempt to enforce imal places:
Where: (b) For each airplane model, estab-

SAR = specific air range, determined in ac- lish a 1/SAR value at each of the fol-
cordance with § 1030.23. lowing reference airplane masses:
RGF = reference geometric factor, deter- (1) High gross mass: 92 percent max-
mined in accordance with § 1030.25. imum takeoff mass (MTOM).
(2) Low gross mass: (0.45 * MTOM) +
§ 1030.23 Specific air range (SAR).
(0.63 * (MTOM¥0.924)).
(a) For each airplane subject to this (3) Mid gross mass: Simple arith-
part the SAR of an airplane must be metic average of high gross mass and
determined by either: low gross mass.
(1) Direct flight test measurements; (c) Calculate the average of the three
or 1/SAR values described in paragraph (b)
(2) Using a performance model that of this section to calculate the fuel ef-
is: ficiency metric value in § 1030.20. Do
(i) Validated by actual SAR flight not include auxiliary power units in
test data; and any 1/SAR calculation.
(ii) Approved by the FAA before any (d) All determinations under this sec-
SAR calculations are made. tion must be made according to the
14
ER11JA21.017</GPH>
procedures applicable to SAR in Para- (2) The maximum width of the fuse-
graphs 2.5 and 2.6 of ICAO Annex 16, lage outer mold line at or above each
Volume III and Appendix 1 of ICAO other deck floor, projected to a flat
Annex 16, Volume III (incorporated by plane parallel with the additional deck
reference in § 1030.110). floor by the forward and aft pressure
bulkheads except for any crew cockpit
§ 1030.25 Reference geometric factor
(RGF). zone.
(c) Determine the non-dimensional
For each airplane subject to this
RGF by dividing the area defined in
part, determine the airplane’s non-
dimensional reference geometric factor paragraph (a) or (b) of this section by 1
(RGF) for the fuselage size of each air- m∧2.
plane model, calculated as follows: (d) All measurements and calcula-
(a) For an airplane with a single tions used to determine the RGF of an
deck, determine the area of a surface airplane must be made according to the
(expressed in m∧2) bounded by the max- procedures for determining RGF in Ap-
imum width of the fuselage outer mold pendix 2 of ICAO Annex 16, Volume III
line projected to a flat plane parallel (incorporated by reference in § 1030.110).
with the main deck floor and the for-
ward and aft pressure bulkheads except § 1030.30 GHG emission standards.
for the crew cockpit zone. (a) The greenhouse gas emission
(b) For an airplane with more than standards in this section are expressed
one deck, determine the sum of the
as maximum permitted values fuel effi-
areas (expressed in m∧2) as follows:
ciency metric values, as calculated
(1) The maximum width of the fuse-
lage outer mold line, projected to a flat under § 1030.20.
plane parallel with the main deck floor (b) The fuel efficiency metric value
by the forward and aft pressure bulk- may not exceed the following, rounded
heads except for any crew cockpit zone. to three decimal places:
For airplanes defined in . . . with MTOM . . . the standard is . . .
(1) Section 1030.1(a)(1) and (2) ......... 5,700 < MTOM < 60,000 kg ............. 10(¥2.73780 + (0.681310 * log10(MTOM))
+ (¥0.0277861 * (log10(MTOM))∧2))
(2) Section 1030.1(a)(3) ...................... 8,618 < MTOM < 60,000 kg ............. 10(¥2.73780 + (0.681310 * log10(MTOM))
+ (¥0.0277861 * (log10(MTOM))∧2))
(3) Section 1030.1(a)(1) and (3) ......... 60,000 < MTOM < 70,395 kg ........... 0.764
(4) Section 1030.1(a)(1) and (3) ......... MTOM > 70,395 kg .......................... 10(¥1.412742 + (¥0.020517 * log10(MTOM))
+ (0.0593831 * (log10(MTOM))∧2))
+ (¥0.0191302 * (log10(MTOM))∧2))
+ (¥0.0191302 * (log10(MTOM))∧2))
(7) Section 1030.1(a)(4) through (7) ... 60,000 < MTOM < 70,107 kg ........... 0.797
(8) Section 1030.1(a)(4) through (7) ... MTOM > 70,107 kg .......................... 10(¥1.39353 + (-0.020517 * log10(MTOM))
+ (0.0593831 * (log10(MTOM))∧2))
§ 1030.35 Change criteria. cent for an airplane with a MTOM of

60,000 kg.
(a) For an airplane that has dem-
onstrated compliance with § 1030.30, (ii) For airplanes with a MTOM
any subsequent version of that airplane greater than or equal to 60,000 kg, the
must demonstrate compliance with value decreases linearly from 0.75 to
§ 1030.30 if the subsequent version incor- 0.70 percent for airplanes with a MTOM
porates a modification that either in- of 600,000 kg.
creases— (iii) For airplanes with a MTOM
(1) The maximum takeoff mass; or greater than or equal to 600,000 kg, the
(2) The fuel efficiency metric value value is 0.70 percent.
by more than: (b) For an airplane that has dem-
(i) For airplanes with a MTOM great- onstrated compliance with § 1030.30,
er than or equal to 5,700 kg, the value any subsequent version of that airplane
decreases linearly from 1.35 to 0.75 per- that incorporates modifications that
15
§ 1030.98 40 CFR Ch. I (7–1–21 Edition)
do not increase the MTOM or the fuel Exempt means to allow, through a
efficiency metric value in excess of the formal case-by-case process, an air-
levels shown in paragraph (a) of this plane to be certificated and operated
section, the fuel efficiency metric that does not meet the applicable
value of the modified airplane may be standards of this part.
reported to be the same as the value of Greenhouse Gas (GHG) means an air
the prior version. pollutant that is the aggregate group
(c) For an airplane that meets the of six greenhouse gases: carbon dioxide,
criteria of § 1030.1(a)(4) or (5), after Jan- nitrous oxide, methane,
uary 1, 2023 and until January 1, 2028, hydrofluorocarbons, perfluorocarbons,
the airplane must demonstrate compli- and sulfur hexafluoride.
ance with § 1030.30 if it incorporates ICAO Annex 16, Volume III means Vol-
any modification that increases the ume III of Annex 16 to the Convention
fuel efficiency metric value by more on International Civil Aviation (see
than 1.5 per cent from the prior version § 1030.110).
of the airplane. Maximum takeoff mass (MTOM) is the
maximum allowable takeoff mass as
§ 1030.98 Confidential business infor- stated in the approved certification
mation.
basis for an airplane type design. Max-
The provisions of 40 CFR 1068.10 apply imum takeoff mass is expressed in
for information you consider confiden- kilograms.
tial. Performance model is an analytical
tool (or a method) validated using cor-
REFERENCE INFORMATION rected flight test data that can be used
§ 1030.100 Abbreviations. to determine the specific air range val-
ues for calculating the fuel efficiency
The abbreviations used in this part metric value.
have the following meanings: Reference geometric factor is a non-di-
TABLE 1 TO § 1030.100 mensional number derived from a two-
dimensional projection of the fuselage.
EPA ......... U.S. Environmental Protection Agency. Round has the meaning given in 40
FAA ......... U.S. Federal Aviation Administration. CFR 1065.1001.
GHG ........ greenhouse gas. Specific air range is the distance an
IBR .......... incorporation by reference. airplane travels per unit of fuel con-
ICAO ....... International Civil Aviation Organization. sumed. Specific air range is expressed
MTOM ..... maximum takeoff mass. in kilometers per kilogram of fuel.
RGF ........ reference geometric factor. Subsonic means an airplane that has
SAR ........ specific air range.
not been certificated under 14 CFR to
exceed Mach 1 in normal operation.
§ 1030.105 Definitions. Type certificated maximum passenger
The following definitions in this sec- seating capacity means the maximum
tion apply to this part. Any terms not number of passenger seats that may be
defined in this section have the mean- installed on an airplane as listed on its
ing given in the Clean Air Act. The type certificate data sheet, regardless
definitions follow: of the actual number of seats installed
Aircraft has the meaning given in 14 on an individual airplane.
CFR 1.1, a device that is used or in-
tended to be used for flight in the air. § 1030.110 Incorporation by reference.
Aircraft engine means a propulsion en- (a) Certain material is incorporated
gine that is installed on or that is man- by reference into this part with the ap-
ufactured for installation on an air- proval of the Director of the Federal
plane for which certification under 14 Register under 5 U.S.C. 552(a) and 1
CFR is sought. CFR part 51. To enforce any edition
Airplane has the meaning given in 14 other than that specified in this sec-
CFR 1.1, an engine-driven fixed-wing tion, the Environmental Protection
aircraft heavier than air, that is sup- Agency must publish a document in
ported in flight by the dynamic reac- the FEDERAL REGISTER and the mate-
tion of the air against its wings. rial must be available to the public. All
16
Environmental Protection Agency Pt. 1033
approved material is available for in- Subpart C—Certifying Engine Families

spection at EPA Docket Center, WJC
1033.201 General requirements for obtaining
West Building, Room 3334, 1301 Con-
a certificate of conformity.
stitution Ave. NW, Washington, DC
1033.205 Applying for a certificate of con-
20004, www.epa.gov/dockets, (202) 202– formity.
1744, and is available from the sources 1033.210 Preliminary approval.
listed in this section. It is also avail- 1033.220 Amending maintenance instruc-
able for inspection at the National Ar- tions.
chives and Records Administration 1033.225 Amending applications for certifi-
(NARA). For information on the avail- cation.
ability of this material at NARA, email 1033.230 Grouping locomotives into engine
fedreg.legal@nara.gov or go to: families.
www.archives.gov/federal-register/cfr/ibr- 1033.235 Emission testing required for cer-
locations.html. tification.
1033.240 Demonstrating compliance with ex-
(b) International Civil Aviation Orga- haust emission standards.
nization, Document Sales Unit, 999 1033.245 Deterioration factors.
University Street, Montreal, Quebec, 1033.250 Reporting and recordkeeping.
Canada H3C 5H7, (514) 954–8022, 1033.255 EPA decisions.
www.icao.int, or sales@icao.int.
(1) ICAO Annex 16, Volume III, Annex Subpart D—Manufacturer and Remanufac-
16 to the Convention on International turer Production Line Testing and Audit
Civil Aviation, Environmental Protec- Programs
tion, Volume III—Aeroplane CO2 Emis-
sions, as follows: 1033.301 Applicability.
1033.305 General requirements.
(i) First Edition, July 2017. IBR ap-
1033.310 Sample selection for testing.
proved for §§ 1030.23(d) and 1030.25(d).
1033.315 Test procedures.
(ii) Amendment 1, July 20, 2020. IBR 1033.320 Calculation and reporting of test
approved for §§ 1030.23(d) and 1030.25(d). results.
(2) [Reserved] 1033.325 Maintenance of records; submittal
of information.
PART 1033—CONTROL OF 1033.330 Compliance criteria for production
line testing.
EMISSIONS FROM LOCOMOTIVES 1033.335 Remanufactured locomotives: in-
stallation audit requirements.
Subpart A—Overview and Applicability 1033.340 Suspension and revocation of cer-
Sec. tificates of conformity.
1033.1 Applicability.
1033.5 Exemptions and exclusions. Subpart E—In-use Testing
1033.10 Organization of this part. 1033.401 Applicability.
1033.15 Other regulation parts that apply for
1033.405 General provisions.
locomotives.
1033.410 In-use test procedure.
1033.30 Submission of information.
1033.415 General testing requirements.
Subpart B—Emission Standards and 1033.420 Maintenance, procurement and
testing of in-use locomotives.
Related Requirements
1033.425 In-use test program reporting re-
1033.101 Exhaust emission standards. quirements.
1033.102 Transition to the standards speci-
fied in this subpart. Subpart F—Test Procedures
1033.110 Emission diagnostics—general re-
quirements. 1033.501 General provisions.
1033.112 Emission diagnostics for SCR sys- 1033.505 Ambient conditions.
tems. 1033.510 Auxiliary power units.
1033.115 Other requirements. 1033.515 Discrete-mode steady-state emis-
1033.120 Emission-related warranty require- sion tests of locomotives and locomotive
ments. engines.
1033.125 Maintenance instructions. 1033.520 Alternative ramped modal cycles.
1033.130 Instructions for engine remanufac- 1033.525 Smoke testing.
turing or engine installation. 1033.530 Duty cycles and calculations.
1033.135 Labeling. 1033.535 Adjusting emission levels to ac-

1033.140 Rated power. count for infrequently regenerating
1033.150 Interim provisions. aftertreatment devices.
17
§ 1033.1 40 CFR Ch. I (7–1–21 Edition)
Subpart G—Special Compliance Provisions SOURCE: 73 FR 37197, June 30, 2008, unless
otherwise noted.
1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives Subpart A—Overview and
to the standards of this part. Applicability
1033.620 Hardship provisions for manufac-
turers and remanufacturers. § 1033.1 Applicability.
1033.625 Special certification provisions for
non-locomotive-specific engines. The regulations in this part 1033
1033.630 Staged-assembly and delegated as- apply for all new locomotives and all
sembly exemptions. locomotives containing a new loco-
1033.640 Provisions for repowered and refur- motive engine, except as provided in
bished locomotives. § 1033.5.
1033.645 Non-OEM component certification (a) Standards begin to apply each
program.
time a locomotive or locomotive en-
1033.650 Incidental use exemption for Cana-
dian and Mexican locomotives. gine is originally manufactured or oth-
1033.652 Special provisions for exported lo- erwise becomes new (defined in
comotives. § 1033.901). The requirements of this
1033.655 Special provisions for certain Tier part continue to apply as specified
0/Tier 1 locomotives. after locomotives cease to be new.
(b) Standards apply to the loco-
Subpart H—Averaging, Banking, and motive. However, in certain cases, the
Trading for Certification manufacturer/remanufacturer is al-
1033.701 General provisions. lowed to test a locomotive engine in-
1033.705 Calculating emission credits. stead of a complete locomotive, such as
1033.710 Averaging emission credits. for certification. Also, you are not re-
1033.715 Banking emission credits. quired to complete assembly of a loco-
1033.720 Trading emission credits. motive to obtain a certificate of con-
1033.722 Transferring emission credits.
formity for it, provided you meet the
1033.725 Requirements for your application
for certification. definition of ‘‘manufacturer’’ or ‘‘re-
1033.730 ABT reports. manufacturer’’ (as applicable) in
1033.735 Required records. § 1033.901. For example, an engine man-
1033.740 Credit restrictions. ufacturer may obtain a certificate for
1033.745 Compliance with the provisions of locomotives which it does not manu-
this subpart. facture, if the locomotives use its en-
1033.750 Changing a locomotive’s FEL at re- gines.
manufacture.
(c) Standards apply based on the year
Subpart I—Requirements for Owners and in which the locomotive was originally
Operators manufactured. The date of original
manufacture is generally the date on
1033.801 Applicability. which assembly is completed for the
1033.805 Remanufacturing requirements. first time. For example, all loco-
1033.810 In-use testing program. motives originally manufactured in
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
calendar years 2002, 2003, and 2004 are
1033.825 Refueling requirements. subject to the Tier 1 emission stand-
ards for their entire service lives.
Subpart J—Definitions and Other (d) The following provisions apply
Reference Information when there are multiple persons meet-
ing the definition of manufacturer or
1033.901 Definitions.
1033.905 Symbols, acronyms, and abbrevia-
remanufacturer in § 1033.901:
tions. (1) Each person meeting the defini-
1033.915 Confidential information. tion of manufacturer must comply
1033.920 How to request a hearing. with the requirements of this part that
1033.925 Reporting and recordkeeping apply to manufacturers; and each per-
requirements. son meeting the definition of remanu-
APPENDIX I TO PART 1033—ORIGINAL STAND- facturer must comply with the require-
ARDS FOR TIER 0, TIER 1 AND TIER 2 LOCO- ments of this part that apply to re-
MOTIVES
manufacturers. However, if one person
AUTHORITY: 42 U.S.C. 7401–7671q. complies with a specific requirement
18
for a given locomotive, then all manu- (1) Historic locomotives powered by
facturers/remanufacturers are deemed steam engines. For a locomotive that
to have complied with that specific re- was originally manufactured after Jan-
quirement. uary 1, 1973 to be excluded under this
(2) We will apply the requirements of paragraph (b)(1), it may not use any in-
subparts C, D, and E of this part to the ternal combustion engines and must be
manufacturer/remanufacturer that ob- used only for historical purposes such
tains the certificate of conformity for as at a museum or similar public at-
the locomotive. Other manufacturers traction.
and remanufacturers are required to (2) Locomotives powered only by an
comply with the requirements of sub- external source of electricity.
parts C, D, and E of this part only when (c) The requirements and prohibi-
notified by us. In our notification, we tions of this part apply only for loco-
will specify a reasonable time period in motives that have become ‘‘new’’ (as
which you need to comply with the re- defined in § 1033.901) on or after July 7,
quirements identified in the notice. 2008.
See § 1033.601 for the applicability of 40 (d) The provisions of this part do not
CFR part 1068 to these other manufac- apply for any auxiliary engine that
turers and remanufacturers. only provides hotel power. In general,
(3) For example, we may require a these engines are subject to the provi-
railroad that installs certified kits but sions of 40 CFR part 1039. However, de-
does not hold the certificate to perform pending on the engine cycle, model
production line auditing of the loco- year and power rating, the engines may
motives that it remanufactures. How- be subject to other regulatory parts in-
ever, if we did, we would allow the rail- stead.
road a reasonable amount of time to (e) Manufacturers and owners of loco-
develop the ability to perform such au- motives that operate only on non-
diting. standard gauge rails may ask us to ex-
(e) The provisions of this part apply clude such locomotives from this part
as specified for locomotives manufac- by excluding them from the definition
tured or remanufactured on or after of ‘‘locomotive’’.
July 7, 2008. See § 1033.102 to determine
whether the standards of this part or § 1033.10 Organization of this part.
the standards specified in Appendix I of The regulations in this part 1033 con-
this part apply for model years 2008 tain provisions that affect locomotive
through 2012. For example, for a loco- manufacturers, remanufacturers, and
motive that was originally manufac- others. However, the requirements of
tured in 2007 and remanufactured on this part are generally addressed to the
April 10, 2014, the provisions of this locomotive manufacturer/remanufac-
part begin to apply on April 10, 2014. turer. The term ‘‘you’’ generally means
[73 FR 37197, June 30, 2008, as amended at 81 the manufacturer/remanufacturer, as
FR 74004, Oct. 25, 2016] defined in § 1033.901. This part 1033 is di-
vided into the following subparts:
§ 1033.5 Exemptions and exclusions. (a) Subpart A of this part defines the
(a) Subpart G of this part exempts applicability of part 1033 and gives an
certain locomotives from the standards overview of regulatory requirements.
of this part. (b) Subpart B of this part describes
(b) The definition of ‘‘locomotive’’ in the emission standards and other re-
§ 1033.901 excludes certain vehicles. In quirements that must be met to certify
general, the engines used in such ex- locomotives under this part. Note that
cluded equipment are subject to stand- § 1033.150 discusses certain interim re-
ards under other regulatory parts. For quirements and compliance provisions
example, see 40 CFR part 1039 for re- that apply only for a limited time.
quirements that apply to diesel engines (c) Subpart C of this part describes
used in equipment excluded from the how to apply for a certificate of con-
definition of ‘‘locomotive’’ in § 1033.901. formity.
The following locomotives are also ex- (d) Subpart D of this part describes
cluded from the provisions of this part general provisions for testing and au-
1033: diting production locomotives.
19
§ 1033.15 40 CFR Ch. I (7–1–21 Edition)
(e) Subpart E of this part describes (1) Prohibited acts and penalties for
general provisions for testing in-use lo- locomotive manufacturer/remanufac-
comotives. turers and others.
(f) Subpart F of this part and 40 CFR (2) Exclusions and exemptions for
part 1065 describe how to test loco- certain locomotives.
motives and engines. (3) Importing locomotives.
(g) Subpart G of this part and 40 CFR (4) Selective enforcement audits of
part 1068 describe requirements, prohi- your production.
bitions, exemptions, and other provi-
(5) Defect reporting and recall.
sions that apply to locomotive manu-
facturer/remanufacturers, owners, op- (6) Procedures for hearings.
erators, and all others. (c) Other parts of this chapter apply
(h) Subpart H of this part describes if referenced in this part.
how you may generate and use emis- [73 FR 37197, June 30, 2008, as amended at 75
sion credits to certify your loco- FR 22982, Apr. 30, 2010]
motives.
(i) Subpart I of this part describes § 1033.30 Submission of information.
provisions for locomotive owners and
Unless we specify otherwise, send all
operators.
reports and requests for approval to
(j) Subpart J of this part contains
the Designated Compliance Officer (see
definitions and other reference infor-
§ 1033.901). See § 1033.925 for additional
mation.
reporting and recordkeeping provi-
§ 1033.15 Other regulation parts that sions.
apply for locomotives. [81 FR 74004, Oct. 25, 2016]
(a) Part 1065 of this chapter describes
procedures and equipment specifica- Subpart B—Emission Standards
tions for testing engines to measure ex-
haust emissions. Subpart F of this part
and Related Requirements
1033 describes how to apply the provi- § 1033.101 Exhaust emission standards.
sions of part 1065 of this chapter to test
locomotives to determine whether they See §§ 1033.102 and 1033.150 to deter-
meet the exhaust emission standards in mine how the emission standards of
this part. this section apply before 2023.
(b) The requirements and prohibi- (a) Emission standards for line-haul lo-
tions of part 1068 of this chapter apply comotives. Exhaust emissions from your
to everyone, including anyone who new locomotives may not exceed the
manufactures, remanufactures, im- applicable emission standards in Table
ports, maintains, owns, or operates any 1 to this section during the useful life
of the locomotives subject to this part of the locomotive. (NOTE: § 1033.901 de-
1033. See § 1033.601 to determine how to fines locomotives to be ‘‘new’’ when
apply the part 1068 regulations for loco- originally manufactured and when re-
motives. Part 1068 of this chapter de- manufactured.) Measure emissions
scribes general provisions, including using the applicable test procedures de-
the following areas: scribed in subpart F of this part.
TABLE 1 TO § 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 0b ........................................ 8.0 0.22 1.00 5.0

1993 a–2004 ................................. Tier 1b ........................................ 7.4 0.22 0.55 2.2
2005–2011 ................................... Tier 2b ........................................ 5.5 e 0.10 0.30 1.5
2012–2014 ................................... Tier 3c ......................................... 5.5 0.10 0.30 1.5
2015 or later ................................ Tier 4d ........................................ 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 NO + HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4
X
NOX and HC standards, as described in paragraph (j) of this section.
20
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 § 1033.150(a).
(b) Emission standards for switch loco- fines locomotives to be ‘‘new’’ when
motives. Exhaust emissions from your originally manufactured and when re-
new locomotives may not exceed the manufactured.) Measure emissions
applicable emission standards in Table using the applicable test procedures de-
2 to this section during the useful life scribed in subpart F of this part.
of the locomotive. (Note: § 1033.901 de-
TABLE 2 TO § 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.
c Manufacturers may elect to meet a combined NO + HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4
X
NOX and HC standards, as described in paragraph (j) of this section.
(c) Smoke standards. The smoke opac- Smoke emissions, when measured in
ity standards specified in Table 3 to accordance with the provisions of Sub-
this section apply only for locomotives part F of this part, shall not exceed
certified to one or more PM standards these standards.
or FELs greater than 0.05 g/bhp-hr.
TABLE 3 TO § 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. (1) FELs for Tier 0 and Tier 1 loco-
You may generate or use emission motives originally manufactured be-
credits under the averaging, banking, fore 2002 may have any value.
and trading (ABT) program as de- (2) FELs for Tier 1 locomotives origi-
scribed in subpart H of this part to nally manufactured 2002 through 2004
comply with the NOX and/or PM stand- may not exceed 9.5 g/bhp-hr for NOX
ards of this part. You may also use emissions or 0.60 g/bhp-hr for PM emis-
ABT to comply with the Tier 4 HC sions measured over the line-haul duty
standards of this part as described in cycle. FELs for these locomotives may
paragraph (j) of this section. Gener- not exceed 14.4 g/bhp-hr for NOX emis-
ating or using emission credits requires sions or 0.72 g/bhp-hr for PM emissions
that you specify a family emission measured over the switch duty cycle.
limit (FEL) for each pollutant you in-
(3) FELs for Tier 2 and Tier 3 loco-
clude in the ABT program for each en-
motives may not exceed the Tier 1
gine family. These FELs serve as the
standards of this section.
emission standards for the engine fam-
ily with respect to all required testing (4) FELs for Tier 4 locomotives may
instead of the standards specified in not exceed the Tier 3 standards of this
paragraphs (a) and (b) of this section. section.
FELs may not be higher than the fol- (e) Notch standards. (1) Exhaust emis-
lowing limits: sions from locomotives may not exceed
21
§ 1033.101 40 CFR Ch. I (7–1–21 Edition)
the notch standards specified in para- the applicable switch cycle standard/
graph (e)(2) of this section, except as FEL.
allowed in paragraph (e)(3) of this sec- (f) Fuels. The exhaust emission stand-
tion, when measured using any test ards in this section apply for loco-
procedures under any test conditions. motives using the fuel type on which
(2) Except as specified in paragraph the locomotives in the engine family
(e)(5) of this section, calculate the ap- are designed to operate.
plicable notch standards for each pol- (1) You must meet the numerical
lutant for each notch from the certified emission standards for HC in this sec-
notch emission rate as follows: tion based on the following types of hy-
Notch standard = (Ei) × (1.1 + (1—ELHi/ drocarbon emissions for locomotives
std)) powered by the following fuels:
(i) Alcohol-fueled locomotives: THCE
Where:
emissions for Tier 3 and earlier loco-
Ei = The deteriorated brake-specific emission
motives and NMHCE for Tier 4.
rate (for pollutant i) for the notch (i.e.,
the brake-specific emission rate cal- (ii) Gaseous-fueled locomotives: Non-
culated under subpart F of this part, ad- methane-nonethane emissions
justed by the deterioration factor in the (NMNEHC). This includes dual-fuel and
application for certification); where i is flexible-fuel locomotives that use a
NOX, HC, CO or PM. combination of a gaseous fuel and a
ELHi = The deteriorated line-haul duty-cycle nongaseous fuel.
weighted brake-specific emission rate for
(iii) Diesel-fueled and other loco-
pollutant i, as reported in the applica-
tion for certification, except as specified motives: THC emissions for Tier 3 and
in paragraph (e)(6) of this section. earlier locomotives and NMHC for Tier
std = The applicable line-haul duty-cycle 4. Note that manufacturers/remanufac-
standard/FEL, except as specified in turers may choose to not measure
paragraph (e)(6) of this section. NMHC and assume that NMHC is equal
(3) Exhaust emissions that exceed the to THC multiplied by 0.98 for diesel-
notch standards specified in paragraph fueled locomotives.
(e)(2) of this section are allowed only if (2) You must certify your diesel-
one of the following is true: fueled locomotives to use the applica-
(i) The same emission controls are ble grades of diesel fuel as follows:
applied during the test conditions caus- (i) Certify your Tier 4 and later die-
ing the noncompliance as were applied sel-fueled locomotives for operation
during certification test conditions with only Ultra Low Sulfur Diesel
(and to the same degree). (ULSD) fuel. Use ULSD as the test fuel
(ii) The exceedance result from a de- for these locomotives. You may alter-
sign feature that was described (includ- natively certify Tier 4 and later loco-
ing its effect on emissions) in the ap- motives using Low Sulfur Diesel Fuel
proved application for certification, (LSD).
and is: (ii) Certify your Tier 3 and earlier
(A) Necessary for safety; diesel-fueled locomotives for operation
(B) Addresses infrequent regenera- with only ULSD fuel if they include
tion of an aftertreatment device; or sulfur-sensitive technology and you
(C) Otherwise allowed by this part. demonstrate compliance using a ULSD
(4) Since you are only required to test fuel.
test your locomotive at the highest (iii) Certify your Tier 3 and earlier
emitting dynamic brake point, the diesel-fueled locomotives for operation
notch caps that you calculate for the with either ULSD fuel or LSD fuel if
dynamic brake point that you test also they do not include sulfur-sensitive
apply for other dynamic brake points. technology or if you demonstrate com-
(5) No PM notch caps apply for loco- pliance using an LSD test fuel (includ-
motives certified to a PM standard or ing commercial LSD fuel).
FEL of 0.05 g/bhp-hr or lower. (iv) For Tier 1 and earlier diesel-
(6) For switch locomotives that are fueled locomotives, if you demonstrate
not subject to line-haul standards, compliance using a ULSD test fuel, you
ELHi equals the deteriorated switch must adjust the measured PM emis-
duty-cycle weighted brake-specific sions upward by 0.01 g/bhp-hr to make

emission rate for pollutant i and std is them equivalent to tests with LSD. We
22
will not apply this adjustment for our (4) Remanufacturers of locomotive or
testing. locomotive engine configurations that
(g) Useful life. The emission standards have been previously certified under
and requirements in this subpart apply paragraph (g)(3) of this section to a
to the emissions from new locomotives useful life that is shorter than the
for their useful life. The useful life is value specified in paragraph (g)(1) of
generally specified as MW-hrs and this section may certify to that same
years, and ends when either of the val- shorter useful life value without re-
ues (MW-hrs or years) is exceeded or quest.
the locomotive is remanufactured. (5) In unusual circumstances, you
(1) The minimum useful life in terms may ask us to allow you to certify
of MW-hrs is equal to the product of some locomotives in your engine fam-
the rated horsepower multiplied by ily to a partial useful life. This allow-
7.50. The minimum useful life in terms ance is limited to cases in which some
of years is ten years. For locomotives or all of the locomotive’s power assem-
originally manufactured before Janu- blies have been operated previously
ary 1, 2000 and not equipped with MW- such that the locomotive will need to
hr meters, the minimum useful life is be remanufactured prior to the end of
equal to 750,000 miles or ten years, the otherwise applicable useful life.
whichever is reached first. See § 1033.140 Unless we specify otherwise, define the
for provisions related to rated power. partial useful life based on the total
(2) You must specify a longer useful MW-hrs since the last remanufacture
life if the locomotive or locomotive en- to be consistent with other loco-
gine is designed to last longer than the motives in the family. For example,
applicable minimum useful life. Rec- this may apply for a previously
ommending a time to remanufacture uncertified locomotive that becomes
that is longer than the minimum use- ‘‘new’’ when it is imported, but that
ful life is one indicator of a longer de- was remanufactured two years earlier
sign life. (representing 25 percent of the normal
(3) Manufacturers/remanufacturers of useful life period). If such a locomotive
locomotives with non-locomotive-spe- could be brought into compliance with
cific engines (as defined in § 1033.901) the applicable standards without being
may ask us (before certification) to remanufactured, you may ask to in-
allow a shorter useful life for an engine clude it in your engine family for the
family containing only non-loco-
remaining 75 percent of its useful life
motive-specific engines. We may ap-
period.
prove a shorter useful life, in MW-hrs
(h) Applicability for testing. The emis-
of locomotive operation but not in
years, if we determine that these loco- sion standards in this subpart apply to
motives will rarely operate longer than all testing, including certification test-
the shorter useful life. If engines iden- ing, production-line testing, and in-use
tical to those in the engine family have testing.
already been produced and are in use, (i) Alternate CO standards. Manufac-
your demonstration must include docu- turers/remanufacturers may certify lo-
mentation from such in-use engines. In comotives to an alternate CO emission
other cases, your demonstration must standard of 10.0 g/bhp-hr instead of the
include an engineering analysis of in- otherwise applicable CO standard if
formation equivalent to such in-use they also certify those locomotives to
data, such as data from research en- alternate PM standards as follows:
gines or similar engine models that are (1) The alternate PM standard for
already in production. Your dem- Tier 0, Tier 1, and Tier 2 locomotives is
onstration must also include any over- one-half of the otherwise applicable
haul interval that you recommend, any PM standard. For example, a manufac-
mechanical warranty that you offer for turer certifying Tier 2 switch loco-
the engine or its components, and any motives to a 0.065 g/bhp-hr PM stand-
relevant customer design specifica- ard may certify those locomotives to
tions. Your demonstration may include the alternate CO standard of 10.0 g/bhp-
any other relevant information. hr.
23
§ 1033.102 40 CFR Ch. I (7–1–21 Edition)
(2) The alternate PM standard for (c) The Tier 3 and Tier 4 standards of
Tier 3 and Tier 4 locomotives is 0.01 g/ § 1033.101 apply for the model years
bhp-hr. specified in that section.
(j) Alternate NOX + HC standards for [81 FR 74004, Oct. 25, 2016]
Tier 4. Manufacturers/remanufacturers
may use credits accumulated through § 1033.110 Emission diagnostics—gen-
the ABT program to certify Tier 4 loco- eral requirements.
motives to an alternate NOX + HC The provisions of this section apply if
emission standard of 1.4 g/bhp-hr (in- you equip your locomotives with a di-
stead of the otherwise applicable NOX agnostic system that will detect sig-
and NMHC standards). You may use nificant malfunctions in their emis-
NOX credits to show compliance with sion-control systems and you choose to
this standard by certifying your family base your emission-related mainte-
to a NOX + HC FEL. Calculate the NOX nance instructions on such diagnostics.
credits needed as specified in subpart H See § 1033.420 for information about how
to select and maintain diagnostic-
of this part using the NOX + HC emis-
equipped locomotives for in-use test-
sion standard and FEL in the calcula-
ing. Notify the owner/operator that the
tion instead of the otherwise applicable presence of this diagnostic system af-
NOX standard and FEL. You may not fects their maintenance obligations
generate credits relative to the alter- under § 1033.815. Except as specified in
nate standard or certify to the stand- § 1033.112, this section does not apply
ard without using credits. for diagnostics that you do not include
(k) Upgrading. Upgraded locomotives in your emission-related maintenance
that were originally manufactured instructions. The provisions of this sec-
prior to January 1, 1973 are subject to tion address diagnostic systems based
the Tier 0 standards. (See the defini- on malfunction-indicator lights (MILs).
tion of upgrade in § 1033.901.) You may ask to use other indicators
(l) Other optional standard provisions. instead of MILs.
Locomotives may be certified to a (a) The MIL must be readily visible
higher tier of standards than would to the operator. When the MIL goes on,
otherwise be required. Tier 0 switch lo- it must display ‘‘Check Emission Con-
comotives may be certified to both the trols’’ or a similar message that we ap-
prove. You may use sound in addition
line-haul and switch cycle standards.
to the light signal.
In both cases, once the locomotives be- (b) To ensure that owner/operators
come subject to the additional stand- consider MIL illumination seriously,
ards, they remain subject to those you may not illuminate it for malfunc-
standards for the remainder of their tions that would not otherwise require
service lives. maintenance. This section does not
[73 FR 37197, June 30, 2008, as amended at 73 limit your ability to display other indi-
FR 59188, Oct. 8, 2008; 75 FR 22982, Apr. 30, cator lights or messages, as long as
2010; 81 FR 74004, Oct. 25, 2016] they are clearly distinguishable from
MILs affecting the owner/operator’s
§ 1033.102 Transition to the standards maintenance obligations under
specified in this subpart. § 1033.815.
(a) The Tier 0 and Tier 1 standards of (c) Control when the MIL can go out.
§ 1033.101 apply for new locomotives be- If the MIL goes on to show a malfunc-
tion, it must remain on during all later
ginning January 1, 2010, except as spec-
engine operation until servicing cor-
ified in § 1033.150(a). The Tier 0 and Tier
rects the malfunction. If the engine is
1 standards specified in Appendix I of
not serviced, but the malfunction does
this part apply for earlier model years. not recur during the next 24 hours, the
(b) Except as specified in § 1033.150(a), MIL may stay off during later engine
the Tier 2 standards of § 1033.101 apply operation.
for new locomotives beginning January (d) Record and store in computer
1, 2013. The Tier 2 standards specified memory any diagnostic trouble codes
in Appendix I of this part apply for ear- showing a malfunction that should il-
lier model years. luminate the MIL. The stored codes
24
must identify the malfunctioning sys- § 1033.115 Other requirements.

tem or component as uniquely as pos- Locomotives that are required to
sible. Make these codes available meet the emission standards of this
through the data link connector as depart must meet the requirements of
scribed in paragraph (e) of this section. this section. These requirements apply
You may store codes for conditions when the locomotive is new (for freshly
that do not turn on the MIL. The sys- manufactured or remanufactured loco-
tem must store a separate code to show motives) and continue to apply
when the diagnostic system is disabled throughout the useful life.
(from malfunction or tampering). Pro- (a) Crankcase emissions. Crankcase
vide instructions to the owner/operator emissions may not be discharged di-
regarding how to interpret malfunction rectly into the ambient atmosphere
codes. from any locomotive, except as follows:
(e) Make data, access codes, and de- (1) Locomotives may discharge
vices accessible. Make all required data crankcase emissions to the ambient at-
accessible to us without any access mosphere if the emissions are added to
codes or devices that only you can sup- the exhaust emissions (either phys-
ply. Ensure that anyone servicing your ically or mathematically) during all
locomotive can read and understand emission testing. If you take advantage
the diagnostic trouble codes stored in of this exception, you must do both of
the onboard computer with generic the following things:
tools and information. (i) Manufacture the locomotives so
(f) Follow standard references for for- that all crankcase emissions can be
mats, codes, and connections. routed into the applicable sampling
systems specified in 40 CFR part 1065,
§ 1033.112 Emission diagnostics for consistent with good engineering judg-
SCR systems.
ment.
Engines equipped with SCR systems (ii) Account for deterioration in
using separate reductant tanks must crankcase emissions when determining
also meet the requirements of this sec- exhaust deterioration factors.
tion in addition to the requirements of (2) For purposes of this paragraph (a),
§ 1033.110. This section does not apply crankcase emissions that are routed to
for SCR systems using the engine’s fuel the exhaust upstream of exhaust
as the reductant. aftertreatment during all operation are
(a) The diagnostic system must mon- not considered to be discharged di-
itor reductant quality and tank levels rectly into the ambient atmosphere.
and alert operators to the need to refill (b) Adjustable parameters. Loco-
the reductant tank before it is empty, motives that have adjustable param-
or to replace the reductant if it does eters must meet all the requirements
not meet your concentration specifica- of this part for any adjustment in the
tions. Unless we approve other alerts, approved adjustable range. You must
use a malfunction-indicator light specify in your application for certifi-
(MIL) as specified in § 1033.110 and an cation the adjustable range of each ad-
audible alarm. You do not need to sepa- justable parameter on a new loco-
rately monitor reductant quality if you motive or new locomotive engine to:
include an exhaust NOX sensor (or (1) Ensure that safe locomotive oper-
other sensor) that allows you to deter- ating characteristics are available
mine inadequate reductant quality. within that range, as required by sec-
However, tank level must be monitored tion 202(a)(4) of the Clean Air Act (42
in all cases. U.S.C. 7521(a)(4)), taking into consider-
(b) Your onboard computer must ation the production tolerances.
record in nonvolatile computer mem- (2) Limit the physical range of
ory all incidents of engine operation adjustability to the maximum extent
with inadequate reductant injection or practicable to the range that is nec-
reductant quality. It must record the essary for proper operation of the loco-
total amount of operation without ade- motive or locomotive engine.
quate reductant. It may total the oper- (c) Prohibited controls. You may not
ation by hours, work, or excess NOX design or produce your locomotives

emissions. with emission control devices, systems,
25
§ 1033.115 40 CFR Ch. I (7–1–21 Edition)
or elements of design that cause or (iv) The locomotive emissions when

contribute to an unreasonable risk to the AECD is functioning are at or
public health, welfare, or safety while below the notch caps of § 1033.101.
operating. For example, this would (2) This does not apply to AECDs re-
apply if the locomotive emits a noxious lated to hotel mode that conform to
or toxic substance it would otherwise the specifications of this paragraph
not emit that contributes to such an (f)(2). This provision is intended for
unreasonable risk. AECDs that have the primary function
(d) Evaporative and refueling controls. of operating the engine at a different
For locomotives fueled with a volatile speed than would be done to generate
fuel you must design and produce them the same propulsive power when not
to minimize evaporative emissions dur- operating in hotel mode. Identify and
ing normal operation, including periods describe these AECDs in your applica-
when the engine is shut down. You tion for certification. We may allow
must also design and produce them to the AECDs to modify engine calibra-
minimize the escape of fuel vapors dur- tions where we determine that such
ing refueling. Hoses used to refuel gas- modifications are environmentally
eous-fueled locomotives may not be de- beneficial or needed for proper engine
signed to be bled or vented to the at- function. You must obtain preliminary
mosphere under normal operating con- approval under § 1033.210 before incor-
ditions. No valves or pressure relief porating such modifications. Other-
vents may be used on gaseous-fueled lo- wise, you must apply the same injec-
comotives except as emergency safety tion timing and intake air cooling
strategies in hotel mode and non-hotel
devices that do not operate at normal
mode.
system operating flows and pressures.
(g) Idle controls. All new locomotives
(e) Altitude requirements. All loco-
must be equipped with automatic en-
motives must be designed to include
gine stop/start as described in this
features that compensate for changes
paragraph (g). All new locomotives
in altitude so that the locomotives will
must be designed to allow the engine(s)
comply with the applicable emission to be restarted at least six times per
standards when operated at any alti- day without causing engine damage
tude less than: that would affect the expected interval
(1) 7000 feet above sea level for line- between remanufacturing. Note that it
haul locomotives. is a violation of 40 CFR 1068.101(b)(1) to
(2) 5500 feet above sea level for switch circumvent the provisions of this para-
locomotives. graph (g).
(f) Defeat devices. You may not equip (1) Except as allowed by paragraph
your locomotives with a defeat device. (g)(2) of this section, the stop/start sys-
A defeat device is an auxiliary emis- tems must shut off the main loco-
sion control device (AECD) that re- motive engine(s) after 30 minutes of
duces the effectiveness of emission con- idling (or less).
trols under conditions that the loco- (2) Stop/start systems may restart or
motive may reasonably be expected to continue idling for the following rea-
encounter during normal operation and sons:
use. (i) To prevent engine damage such as
(1) This does not apply to AECDs you to prevent the engine coolant from
identify in your application for certifi- freezing.
cation if any of the following is true: (ii) To maintain air pressure for
(i) The conditions of concern were brakes or starter system, or to re-
substantially included in the applica- charge the locomotive battery.
ble duty cycle test procedures de- (iii) To perform necessary mainte-
scribed in subpart F of this part. nance.
(ii) You show your design is nec- (iv) To otherwise comply with federal
essary to prevent locomotive damage regulations.
or accidents. (3) You may ask to use alternate
(iii) The reduced effectiveness applies stop/start systems that will achieve
only to starting the locomotive. equivalent idle control.
26
(4) See § 1033.201 for provisions that ditional charge, your emission-related
allow you to obtain a separate certifi- warranty must cover those components
cate for idle controls. for those owners to the same degree. If
(5) It is not considered circumvention the locomotive does not record MW-
to allow a locomotive to idle to heat or hrs, we base the warranty periods in
cool the cab, provided such heating or this paragraph (b) only on years. The
cooling is necessary. warranty period begins when the loco-
(h) Power meters. Tier 1 and later lo- motive is placed into service, or back
comotives must be equipped with MW- into service after remanufacture.
hr meters (or the equivalent) con- (c) Components covered. The emission-
sistent with the specifications of related warranty covers all compo-
§ 1033.140. nents whose failure would increase a
[73 FR 37197, June 30, 2008, as amended at 73 locomotive’s emissions of any regu-
FR 59189, Oct. 8, 2008; 75 FR 22982, Apr. 30, lated pollutant. This includes compo-
2010] nents listed in 40 CFR part 1068, Appen-
dix I, and components from any other
§ 1033.120 Emission-related warranty system you develop to control emis-
requirements.
sions. The emission-related warranty
(a) General requirements. Manufactur- covers the components you sell even if
ers/remanufacturers must warrant to another company produces the compo-
the ultimate purchaser and each subse- nent. Your emission-related warranty
quent purchaser that the new loco- does not need to cover components
motive, including all parts of its emis- whose failure would not increase a lo-
sion control system, meets two condi- comotive’s emissions of any regulated
tions: pollutant. For remanufactured loco-
(1) It is designed, built, and equipped motives, your emission-related war-
so it conforms at the time of sale to ranty is required to cover only those
the ultimate purchaser with the re- parts that you supply or those parts for
quirements of this part. which you specify allowable part man-
(2) It is free from defects in materials ufacturers. It does not need to cover
and workmanship that may keep it used parts that are not replaced during
from meeting these requirements. the remanufacture.
(b) Warranty period. Except as speci- (d) Limited applicability. You may
fied in this paragraph, the minimum deny warranty claims under this sec-
warranty period is one-third of the use- tion if the operator caused the problem
ful life. Your emission-related war- through improper maintenance or use,
ranty must be valid for at least as long as described in 40 CFR 1068.115.
as the minimum warranty periods list- (e) Owners manual. Describe in the
ed in this paragraph (b) in MW-hrs of owners manual the emission-related
operation (or miles for Tier 0 loco- warranty provisions from this section
motives not equipped with MW-hr me- that apply to the locomotive.
ters) and years, whichever comes first.
You may offer an emission-related war- [73 FR 37197, June 30, 2008, as amended at 73
ranty more generous than we require. FR 59189, Oct. 8, 2008; 75 FR 22983, Apr. 30,
The emission-related warranty for the 2010; 81 FR 74004, Oct. 25, 2016]
locomotive may not be shorter than
any basic mechanical warranty you § 1033.125 Maintenance instructions.
provide without charge for the loco- Give the owner of each new loco-
motive. Similarly, the emission-related motive written instructions for prop-
warranty for any component may not erly maintaining and using the loco-
be shorter than any warranty you pro- motive, including the emission-control
vide without charge for that compo- system. Include in the instructions a
nent. This means that your warranty notification that owners and operators
may not treat emission-related and must comply with the requirements of
nonemission-related defects differently subpart I of this part 1033. The emis-
for any component. If you provide an sion-related maintenance instructions
extended warranty to individual own- also apply to any service accumulation
ers for any components covered in on your emission-data locomotives, as

paragraph (c) of this section for an ad- described in § 1033.245 and in 40 CFR
27
§ 1033.130 40 CFR Ch. I (7–1–21 Edition)
part 1065. If you equip your loco- provide the instructions in writing, ex-
motives with a diagnostic system that plain in your application for certifi-
will detect significant malfunctions in cation how you will ensure that each
their emission-control systems, specify assembler is informed of the assembly
the extent to which your emission-re- requirements.
lated maintenance instructions include (e) Your emission-related assembly
such diagnostics. instructions may not include specifica-
tions for parts unrelated to emissions.
§ 1033.130 Instructions for engine re-
manufacturing or engine installa- For the basic mechanical parts listed
tion. in this paragraph (e), you may not
specify a part manufacturer unless we
(a) If you do not complete assembly determine that such a specification is
of the new locomotive (such as selling necessary. You may include design
a kit that allows someone else to re-
specifications for such parts addressing
manufacture a locomotive under your
the dimensions and material con-
certificate), give the assembler instruc-
straints as necessary. You may also
tions for completing assembly con-
specify a part number, as long you
sistent with the requirements of this
make it clear that alternate part sup-
part. Include all information necessary
to ensure that the locomotive will be pliers may be used. This paragraph (e)
assembled in its certified configura- covers the following parts or other
tion. parts we determine qualify as basic
(b) Make sure these instructions have mechanical parts:
the following information: (1) Intake and exhaust valves.
(1) Include the heading: ‘‘Emission- (2) Intake and exhaust valve retain-
related assembly instructions’’ ers.
(2) Describe any instructions nec- (3) Intake and exhaust valve springs.
essary to make sure the assembled lo- (4) Intake and exhaust valve rotators.
comotive will operate according to de- (5) Oil coolers.
sign specifications in your application
for certification. § 1033.135 Labeling.
(3) Describe how to properly label the As described in this section, each lo-
locomotive. This will generally include comotive must have a label on the lo-
instructions to remove and destroy the comotive and a separate label on the
previous Engine Emission Control In- engine. The label on the locomotive
formation label. stays on the locomotive throughout its
(4) State one of the following as ap- service life. It generally identifies the
plicable:
original certification of the loco-
(i) ‘‘Failing to follow these instruc-
motive, which is when it was originally
tions when remanufacturing a loco-
manufactured for Tier 1 and later loco-
motive or locomotive engine violates
motives. The label on the engine is re-
federal law (40 CFR 1068.105(b)), and
placed each time the locomotive is re-
may subject you to fines or other pen-
manufactured and identifies the most
alties as described in the Clean Air
Act.’’ recent certification.
(ii) ‘‘Failing to follow these instruc- (a) Serial numbers. At the point of
tions when installing this locomotive original manufacture, assign each loco-
engine violates federal law (40 CFR motive and each locomotive engine a
1068.105(b)), and may subject you to serial number or other unique identi-
fines or other penalties as described in fication number and permanently affix,
the Clean Air Act.’’ engrave, or stamp the number on the
(c) You do not need installation in- locomotive and engine in a legible way.
structions for locomotives you assem- (b) Locomotive labels. (1) Locomotive
ble. labels meeting the specifications of
(d) Provide instructions in writing or paragraph (b)(2) of this section must be
in an equivalent format. For example, applied as follows:
you may post instructions on a pub- (i) The manufacturer must apply a
licly available Web site for locomotive label at the point of origi-
downloading or printing. If you do not nal manufacture.
28
(ii) The remanufacturer must apply a tificate under which the remanufacture
locomotive label at the point of origi- is being performed.
nal remanufacture, unless the loco- (D) Date of original manufacture of
motive was labeled by the original the locomotive, as defined in § 1033.901.
manufacturer. (E) The standards/FELs to which the
(iii) Any remanufacturer certifying a locomotive was certified and the fol-
locomotive to an FEL or standard dif- lowing statement: ‘‘THIS LOCO-
ferent from the previous FEL or stand- MOTIVE MUST COMPLY WITH
ard to which the locomotive was pre- THESE EMISSION LEVELS EACH
viously certified must apply a loco- TIME THAT IT IS REMANUFAC-
motive label. TURED, EXCEPT AS ALLOWED BY 40
(2) The locomotive label must meet CFR 1033.750.’’
all of the following criteria: (3) Label diesel-fueled locomotives
(i) The label must be permanent and near the fuel inlet to identify the al-
legible and affixed to the locomotive in lowable fuels, consistent with § 1033.101.
a position in which it will remain read- For example, Tier 4 locomotives with
ily visible. Attach it to a locomotive sulfur-sensitive technology (or that
chassis part necessary for normal oper- otherwise require ULSD for compli-
ation and not normally requiring re- ance) should be labeled ‘‘ULTRA LOW
placement during the service life of the SULFUR DIESEL FUEL ONLY’’. You
locomotive. You may not attach this do not need to label Tier 3 and earlier
label to the engine or to any equipment locomotives certified for use with both
that is easily detached from the loco- LSD and ULSD.
motive. Attach the label so that it can- (c) Engine labels. (1) For engines not
not be removed without destroying or requiring aftertreatment devices, apply
defacing the label. For Tier 0 and Tier engine labels meeting the specifica-
1 locomotives, the label may be made tions of paragraph (c)(2) of this section
up of more than one piece, as long as once an engine has been assembled in
all pieces are permanently attached to its certified configuration. For engines
the locomotive. that require aftertreatment devices,
(ii) The label must be lettered in the apply the label after the engine has
English language using a color that been fully assembled, which may occur
contrasts with the background of the before installing the aftertreatment
label. devices. These labels must be applied
(iii) The label must include all the by:
following information: (i) The manufacturer at the point of
(A) The label heading: ‘‘ORIGINAL original manufacture; and
LOCOMOTIVE EMISSION CONTROL (ii) The remanufacturer at the point
INFORMATION.’’ Manufacturers/re- of each remanufacture (including the
manufacturers may add a subheading original remanufacture and subsequent
to distinguish this label from the en- remanufactures).
gine label described in paragraph (c) of (2) The engine label must meet all of
this section. the following criteria:
(B) Full corporate name and trade- (i) The label must be durable
mark of the manufacturer (or remanu- throughout the useful life of the en-
facturer). gine, be legible and affixed to the en-
(C) The applicable engine family and gine in a position in which it will be
configuration identification. In the readily visible after installation of the
case of locomotive labels applied by engine in the locomotive. Attach it to
the manufacturer at the point of origi- an engine part necessary for normal
nal manufacture, this will be the en- operation and not normally requiring
gine family and configuration identi- replacement during the useful life of
fication of the certificate applicable to the locomotive. You may not attach
the freshly manufactured locomotive. this label to any equipment that is eas-
In the case of locomotive labels applied ily detached from the engine. Attach
by a remanufacturer during remanufac- the label so it cannot be removed with-
ture, this will be the engine family and out destroying or defacing the label.
configuration identification of the cer- The label may be made up of more than
29
§ 1033.140 40 CFR Ch. I (7–1–21 Edition)
one piece, as long as all pieces are per- fications for adjustments or reductant
manently attached to the same engine use for SCR systems.
part. (d) You may add information to the
(ii) The label must be lettered in the emission control information label as
English language using a color that follows:
contrasts with the background of the (1) You may identify other emission
label. standards that the engine/locomotive
(iii) The label must include all the meets or does not meet (such as inter-
following information: national standards). You may include
(A) The label heading: ‘‘ENGINE this information by adding it to the
EMISSION CONTROL INFORMA- statement we specify or by including a
TION.’’ Manufacturers/remanufactur- separate statement.
ers may add a subheading to distin- (2) You may add other information to
guish this label from the locomotive ensure that the locomotive will be
label described in paragraph (b) of this properly maintained and used.
section. (3) You may add appropriate features
to prevent counterfeit labels. For ex-
(B) Full corporate name and trade-
ample, you may include the engine’s
mark of the manufacturer/remanufac-
unique identification number on the
turer.
label.
(C) Engine family and configuration (e) You may ask us to approve modi-
identification as specified in the cer- fied labeling requirements in this part
tificate under which the locomotive is 1033 if you show that it is necessary or
being manufactured or remanufac- appropriate. We will approve your re-
tured. quest if your alternate label is con-
(D) A prominent unconditional state- sistent with the requirements of this
ment of compliance with U.S. Environ- part.
mental Protection Agency regulations
which apply to locomotives, as applica- [73 FR 37197, June 30, 2008, as amended at 73
ble: FR 59189, Oct. 8, 2008; 81 FR 74004, Oct. 25,
2016]
(1) ‘‘This locomotive conforms to
U.S. EPA regulations applicable to § 1033.140 Rated power.
Tier 0 + switch locomotives.’’
This section describes how to deter-
mine the rated power of a locomotive
U.S. EPA regulations applicable to
for the purposes of this part.
Tier 0 + line-haul locomotives.’’
(a) A locomotive configuration’s
rated power is the maximum brake
U.S. EPA regulations applicable to
power point on the nominal power
Tier 1 + locomotives.’’
curve for the locomotive configuration,
(4) ‘‘This locomotive conforms to as defined in this section. See § 1033.901
U.S. EPA regulations applicable to for the definition of brake power.
Tier 2 + locomotives.’’ Round the power value to the nearest
(5) ‘‘This locomotive conforms to whole horsepower. Generally, this will
U.S. EPA regulations applicable to be the brake power of the engine in
Tier 3 switch locomotives.’’ notch 8.
(6) ‘‘This locomotive conforms to (b) The nominal power curve of a lo-
U.S. EPA regulations applicable to comotive configuration is its max-
Tier 3 line-haul locomotives.’’ imum available brake power at each
(7) ‘‘This locomotive conforms to possible operator demand setpoint or
U.S. EPA regulations applicable to ‘‘notch’’. See 40 CFR 1065.1001 for the
Tier 4 switch locomotives.’’ definition of operator demand. The
(8) ‘‘This locomotive conforms to maximum available power at each op-
U.S. EPA regulations applicable to erator demand setpoint is based on
Tier 4 line-haul locomotives.’’ your design and production specifica-
(E) The useful life of the locomotive. tions for that locomotive. The nominal
(F) The standards/FELS to which the power curve does not include any oper-
locomotive was certified. ator demand setpoints that are not
(iv) You may include other critical achievable during in-use operation. For
operating instructions such as speci- example, for a locomotive with only
30
eight discrete operator demand set- means available for use where all of the
points, or notches, the nominal power following are true:
curve would be a series of eight power (i) The total incremental cost to the
points versus notch, rather than a con- owner and operators of the locomotive
tinuous curve. due to meeting the new standards (in-
(c) The nominal power curve must be cluding initial hardware, increased fuel
within the range of the actual power consumption, and increased mainte-
curves of production locomotives con- nance costs) during the useful life of
sidering normal production variability. the locomotive is less than $250,000, ad-
If after production begins it is deter- justed as specified in paragraph (a)(4)(i)
mined that your nominal power curve of this section.
does not represent production loco- (ii) The initial incremental hardware
motives, we may require you to amend costs are reasonably related to the
your application for certification under technology included in the remanufac-
§ 1033.225. turing system and are less than
(d) For the purpose of determining $125,000, adjusted as specified in para-
useful life, you may need to use a rated graph (a)(4)(i) of this section.
power based on power other than brake (iii) The remanufactured locomotive
power according to the provisions of will have reliability throughout its
this paragraph (d). The useful life must useful life that is similar to the reli-
be based on the power measured by the ability the locomotive would have had
locomotive’s megawatt-hour meter. if it had been remanufactured without
For example, if your megawatt-hour the certified remanufacture system.
meter reads and records the electrical (iv) The remanufacturer must dem-
work output of the alternator/gener- onstrate at the time of certification
ator rather than the brake power of the that the system meets the require-
engine, and the power output of the al- ments of this paragraph (a)(1).
(v) The system does not generate or
ternator/generator at notch 8 is 4000
use emission credits.
horsepower, calculate your useful life
(2) The number of locomotives that
as 30,000MW-hrs (7.5 × 4000).
each railroad must remanufacture
§ 1033.150 Interim provisions. under this paragraph (a) is capped as
follows:
The provisions of this section apply (i) For the period October 3, 2008 to
instead of other provisions of this part December 31, 2008, the maximum num-
for a limited time. This section de- ber of locomotives that a railroad must
scribes when these provisions apply. remanufacture under this paragraph (a)
(a) Early availability of Tier 0, Tier 1, is 50 percent of the total number of the
or Tier 2 systems. Except as specified in railroad’s locomotives that are re-
paragraph (a)(2) of this section, for manufactured during this period under
model years 2008 and 2009, you may re- this part or 40 CFR part 92. Include in
manufacture locomotives to meet the the calculation both locomotives you
applicable standards in 40 CFR part 92 own and locomotives you lease.
only if no remanufacture system has (ii) For the period January 1, 2009 to
been certified to meet the standards of December 31, 2009, the maximum num-
this part and is available at a reason- ber of locomotives that a railroad must
able cost at least 90 days prior to the remanufacture under this paragraph (a)
completion of the remanufacture as is 70 percent of the total number of the
specified in paragraph (a)(3) of this sec- railroad’s locomotives that are re-
tion. This same provision continues to manufactured during this period under
apply after 2009, but only for Tier 2 lo- this part or 40 CFR part 92. Include in
comotives. Note that remanufacturers the calculation both locomotives you
may certify remanufacturing systems own and locomotives you lease.
that will not be available at a reason- (3) Remanufacturers applying for cer-
able cost; however such certification tificates under this paragraph (a) are
does not trigger the requirements of responsible to notify owner/operators
this paragraph (a). (and other customers as applicable)
(1) For the purpose of this paragraph that they have requested such certifi-
(a), ‘‘available at a reasonable cost’’ cates. The notification should occur at
31
§ 1033.150 40 CFR Ch. I (7–1–21 Edition)
the same time that the remanufacturer installed before January 1, 2009 and
submits its application, and should in- that conforms to the requirements of
clude a description of the remanufac- § 1033.115(g) is deemed to be covered by
turing system, price, expected incre- a certificate of conformity with respect
mental operating costs, and draft cop- to the requirements of § 1033.115(g).
ies of your installation and mainte- Note that the provisions of subpart C
nance instructions. The system is con- of this part also allow you to apply for
sidered to be available for a customer a conventional certificate of con-
120 days after this notification, or 90 formity for such systems.
days after the certificate is issued,
(c) Locomotive labels for transition to
whichever is later. Where we issue a
certificate of conformity under this new standards. This paragraph (c) ap-
part based on carryover data from an plies when you remanufacture a loco-
engine family that we previously con- motive that was previously certified
sidered available for the configuration, under 40 CFR part 92. You must remove
the system is considered to be avail- the old locomotive label and replace it
able when we issue the certificate. with the locomotive label specified in
(4) Estimate costs as follows: § 1033.135.
(i) The cost limits described in para- (d) Small manufacturer/remanufacturer
graph (a)(1) of this section are specified provisions. The production-line testing
in terms of 2007 dollars. Adjust these requirements and in-use testing re-
values for future years according to the quirements of this part do not apply
following equation: until January 1, 2013 for manufactur-
Actual Limit = (2007 Limit) × [(0.6000) × ers/remanufacturers that qualify as
(Commodity Index) + (0.4000) × small manufacturers under § 1033.901.
(Earnings Index)] (e) Producing switch locomotives using
Where: certified nonroad engines. You may use
2007 Limit = The value specified in paragraph the provisions of this paragraph (e) to
(a)(1) of this section ($250,000 or $125,000). produce any number of freshly manu-
Commodity Index = The U.S. Bureau of factured or refurbished switch loco-
Labor Statistics Producer Price Index for motives in model years 2008 through
Industrial Commodities Less Fuel (Series
WPU03T15M05) for the month prior to the 2017. Locomotives produced under this
date you submit your application divided paragraph (e) are exempt from the
by 173.1. standards and requirements of this
Earnings Index = The U.S. Bureau of Labor part and 40 CFR part 92 subject to the
Statistics Estimated Average Hourly following provisions:
Earnings of Production Workers for Du-
rable Manufacturing (Series (1) All of the engines on the switch
CES3100000008) for the month prior to the locomotive must be covered by a cer-
date you submit your application divided tificate of conformity issued under 40
by 18.26. CFR part 89 or 1039 for model year 2008
(ii) Calculate all costs in current dol- or later (or earlier model years if the
lars (for the month prior to the date same standards applied as in 2008). En-
you submit your application). Cal- gines over 750 hp certified to the Tier 4
culate fuel costs based on a fuel price standards for non-generator set engines
adjusted by the Association of Amer- are not eligible for this allowance after
ican Railroads’ monthly railroad fuel 2014.
price index (P), which is available at (2) You must reasonably project that
https://www.aar.org/data-center/rail-cost- more of the engines will be sold and
indexes. (Use values indexed to a price used for non-locomotive use than for
of 100.0 for July 15, 1990.) Calculate a use in locomotives.
new fuel price using the following (3) You may not generate or use loco-
equation: motive credits under this part for these
Fuel Price = ($2.76 per gallon) × (P/ locomotives.
539.8) (4) Include the following statement
(b) Idle controls. A locomotive on a permanent locomotive label:
equipped with an automatic engine ‘‘THIS LOCOMOTIVE WAS CER-

stop/start system that was originally TIFIED UNDER 40 CFR 1033.150(e).
32
THE ENGINES USED IN THIS LOCO- adjustment applies only for model year
MOTIVE ARE SUBJECT TO REQUIRE- 2017 and earlier locomotives and does
MENTS OF 40 CFR PARTS 1039 (or 89) not apply for locomotives with a PM
AND 1068.’’ FEL higher than 0.03 g/bhp-hr. The NOX
(5) The rebuilding requirements of 40 adjustment applies only for model year
CFR part 1068 apply when remanufac- 2017 and earlier locomotives and does
turing engines used in these loco- not apply for locomotives with a NOX
motives. FEL higher than 2.0 g/bhp-hr. Add the
(f) In-use compliance limits. For pur- applicable adjustments in Tables 1 or 2
poses of determining compliance other of this section (which follow) to the
than for certification or production- otherwise applicable standards (or
line testing, calculate the applicable FELs) and notch caps. You must speci-
in-use compliance limits by adjusting fy during certification which add-ons,
the applicable standards/FELs. The PM if any, will apply for your locomotives.
TABLE 1 TO § 1033.150—IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES
In-use adjustments (g/bhp-hr)
For model For model

Fraction of useful life already used year 2017 and year 2017 and
earlier Tier 4 earlier Tier 4
NOX PM standards
standards
0 <MW-hrs ≤50% of UL ................................................................................................................ 0.7 0.01

50 <MW-hrs ≤75% of UL .............................................................................................................. 1.0 0.01
MW-hrs >75% of UL ...................................................................................................................... 1.3 0.01
TABLE 2 TO § 1033.150—OPTIONAL IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES

In-use adjustments (g/bhp-hr)
For model year For model year

Fraction of useful life already used 2017 and earlier 2017 and earlier
Tier 4 NOX Tier 4 PM stand-
standards ards
0 <MW-hrs ≤50% of UL ........................................................................................................ 0.2 0.03

50 <MW-hrs ≤75% of UL ...................................................................................................... 0.3 0.03
MW-hrs >75% of UL ............................................................................................................. 0.4 0.03
(g) Optional interim Tier 4 compliance (i) 1.3 g/bhp-hr for locomotives that
provisions for NOX emissions. For model have accumulated less than 50 hours of
years 2015 through 2022, manufacturers operation.
may choose to certify some or all of (ii) 1.3 plus 0.6 g/bhp-hr for loco-
their Tier 4 line-haul engine families motives that have accumulated 50
according to the optional compliance hours or more of operation.
provisions of this paragraph (g). The (3) The engine family may not gen-
following provisions apply to all loco- erate NOX emission credits.
motives in those families: (4) The design certification provi-
(1) The provisions of this paragraph sions of § 1033.240(c) do not apply for
(g) apply instead of the deterioration these locomotives for the next remanu-
factor requirements of §§ 1033.240 and facture.
1033.245 for NOX emissions. You must (5) Manufacturers must comply with
certify that the locomotives in the en- the production-line testing program in
gine family will conform to the re- subpart D of this part for these engine
quirements of this paragraph (g) for families or the following optional pro-
their full useful lives. gram:
(2) The applicable NOX emission (i) You are not required to test loco-
standard for locomotives certified motives in the family under subpart D
under this paragraph (g) is: of this part if you comply with the re-
quirements of this paragraph (g)(5).
33
§ 1033.150 40 CFR Ch. I (7–1–21 Edition)
(ii) Test the locomotives as specified part. Alternatively, you may dem-
in subpart E of this part, with the fol- onstrate that the combined effects of
lowing exceptions: the different procedures is small rel-
(A) The minimum test sample size is ative to your compliance margin (the
one percent of the number of loco- degree to which your emissions are
motives in the family or five, which- below the applicable standards).
ever is less. (i) Certification testing. Prior to model
(B) The locomotives must be tested year 2014, you may use the simplified
after they have accumulated 50 hours steady-state engine test procedure
or more of operation but before they specified in this paragraph (i) for cer-
have reached 50 percent of their useful tification testing. The normal certifi-
life. cation procedures and engine testing
(iii) The standards in this part for procedures apply, except as specified in
pollutants other than NOX apply as this paragraph (i).
specified for testing conducted under (1) Use good engineering judgment to
this optional program. operate the engine consistent with its
(6) The engine family may use NOX expected operation in the locomotive,
emission credits to comply with this to the extent practical. You are not re-
paragraph (g). However, a 1.5 g/bhp-hr quired to exactly replicate the tran-
NOX FEL cap applies for engine fami- sient behavior of the engine.
lies certified under this paragraph (g). (2) You may delay sampling during
The applicable standard for loco- notch transition for up to 20 seconds
motives that have accumulated 50 after you begin the notch change.
hours or more of operation is the FEL (3) We may require you provide addi-
plus 0.6 g/bhp-hr. tional information in your application
(7) The in-use NOX add-ons specified for certification to support the expec-
in paragraph (f) of this section do not tation that production locomotives
apply for these locomotives. will meet all applicable emission
(8) All other provisions of this part standards when tested as locomotives.
apply to such locomotives, except as (4) You may not use this simplified
specified otherwise in this paragraph procedure for production-line or in-use
(g). testing.
(h) Test procedures. You are generally (j) Administrative requirements. For
required to use the test procedures model years 2008 and 2009, you may use
specified in subpart F of this part (in- a combination of the administrative
cluding the applicable test procedures procedures specified in this part and
in 40 CFR part 1065). As specified in the test procedures specified in 40 CFR
this paragraph (h), you may use a compart 92. For example, this would allow
bination of the test procedures speci- you to use the certification procedures
fied in this part and the test proce- of 40 CFR part 92 to apply for certifi-
dures specified in 40 CFR part 92 prior cates under this part 1033.
to January 1, 2015. After this date, you (k) Test fuels. Testing performed dur-
must use only the test procedures spec- ing calendar years 2008 and 2009 may be
ified in this part. performed using test fuels that meet
(1) Prior to January 1, 2015, you may the specifications of 40 CFR 92.113. If
ask to use some or all of the procedures you do, adjust PM emissions downward
specified in 40 CFR part 92 for loco- by 0.04 g/bhp-hr to account for the dif-
motives certified under this part 1033. ference in sulfur content of the fuel.
(2) If you ask to rely on a combina- (l) Refurbished switch locomotives. In
tion of procedures under this paragraph 2008 and 2009 remanufactured Tier 0
(h), we will approve your request only switch locomotives that are deemed to
if you show us that it does not affect be refurbished may be certified as re-
your ability to demonstrate compli- manufactured switch locomotives
ance with the applicable emission under 40 CFR part 92.
standards. Generally this requires that (m) Assigned deterioration factors. The
the combined procedures would result provisions of this paragraph (m) apply
in emission measurements at least as for Tier 0 and Tier 1 locomotives to the
high as those that would be measured standards of this part during model
using the procedures specified in this years 2008 or 2009. Remanufacturers
34
certifying such locomotives to the must renew your certification annually

standards of this part during these for any locomotives you continue to
model years may use an assigned dete- produce.
rioration factor of 0.03 g/bhp-hr for PM (b) The application must contain all
and an assigned deterioration factor of the information required by this part
zero for other pollutants. For purposes and must not include false or incom-
of determining compliance other than plete statements or information (see
for certification or production-line § 1033.255).
testing, calculate the applicable in-use (c) We may ask you to include less
compliance limits for these loco- information than we specify in this
motives by adjusting the applicable subpart, as long as you maintain all
PM standards/FELs upward by 0.03 g/ the information required by § 1033.250.
bhp-hr. (d) You must use good engineering
[73 FR 37197, June 30, 2008, as amended at 73 judgment for all decisions related to
FR 59189, Oct. 8, 2008; 74 FR 8423, Feb. 24, 2009; your application (see 40 CFR 1068.5).
75 FR 22983, Apr. 30, 2010; 75 FR 68460, Nov. 8, (e) An authorized representative of
2010; 81 FR 74004, Oct. 25, 2016] your company must approve and sign
EFFECTIVE DATE NOTE: At 86 FR 34375, June the application.
29, 2021, § 1033.150 was amended, effective July (f) See § 1033.255 for provisions de-
29, 2021. scribing how we will process your ap-
plication.
Subpart C—Certifying Engine (g) We may require you to deliver
Families your test locomotives (including test
engines, as applicable) to a facility we
§ 1033.201 General requirements for designate for our testing (see
obtaining a certificate of con- § 1033.235(c)). Alternatively, you may
formity. choose to deliver another engine/loco-
Certification is the process by which motive that is identical in all material
you demonstrate to us that your fresh- respects to the test locomotive, or an-
ly manufactured or remanufactured lo- other engine/locomotive that we deter-
comotives will meet the applicable mine can appropriately serve as an
emission standards throughout their emission-data locomotive for the en-
useful lives (explaining to us how you gine family.
plan to manufacture or remanufacture (h) By applying for a certificate of
locomotives, and providing test data conformity, you are accepting respon-
showing that such locomotives will sibility for the in-use emission per-
comply with all applicable emission formance of all properly maintained
standards). Anyone meeting the defini- and used locomotives covered by your
tion of manufacturer in § 1033.901 may certificate. This responsibility applies
apply for a certificate of conformity without regard to whether you phys-
for freshly manufactured locomotives. ically manufacture or remanufacture
Anyone meeting the definition of re- the entire locomotive. If you do not
manufacturer in § 1033.901 may apply physically manufacture or remanufac-
for a certificate of conformity for re- ture the entire locomotive, you must
manufactured locomotives. take reasonable steps (including those
(a) You must send us a separate ap- specified by this part) to ensure that
plication for a certificate of con- the locomotives produced under your
formity for each engine family. A cer- certificate conform to the specifica-
tificate of conformity is valid for new tions of your application for certifi-
production from the indicated effective cation. Note that this paragraph does
date, until the end of the model year not limit any liability under this part
for which it is issued, which may not or the Clean Air Act for entities that
extend beyond December 31 of that do not obtain certificates. This para-
year. No certificate will be issued after graph also does not prohibit you from
December 31 of the model year. You making contractual arrangements with
may amend your application for cer- noncertifiers related to recovering
tification after the end of the model damages for noncompliance.
year in certain circumstances as de- (i) The provisions of this subpart de-
scribed in §§ 1033.220 and 1033.225. You scribe how to obtain a certificate that
35
§ 1033.205 40 CFR Ch. I (7–1–21 Edition)
covers all standards and requirements. (iv) All fuel system components to be
Manufacturer/remanufacturers may installed on any production or test lo-
ask to obtain a certificate of con- comotives.
formity that does not cover the idle (v) Diagnostics.
control requirements of § 1033.115 or one (3) A description of the test loco-
that only covers the idle control re- motive.
quirements of § 1033.115. Remanufactur- (4) A description of the test equip-
ers obtaining such partial certificates ment and fuel used. Identify any spe-
must include a statement in their in- cial or alternate test procedures you
stallation instructions that two certifi- used.
cates and labels are required for a loco- (5) A description of the operating
motive to be in a fully certified con- cycle and the period of operation nec-
figuration. We may modify the certifi- essary to accumulate service hours on
cation requirements for certificates the test locomotive and stabilize emis-
that will only cover idle control sys- sion levels. You may also include a
tems. Green Engine Factor that would adjust
[73 FR 37197, June 30, 2008, as amended at 81 emissions from zero-hour engines to be
FR 74005, Oct. 25, 2016] equivalent to stabilized engines.
(6) A description of all adjustable op-
§ 1033.205 Applying for a certificate of erating parameters (including, but not
conformity.
limited to, injection timing and fuel
(a) Send the Designated Compliance rate), including the following:
Officer a complete application for each (i) The nominal or recommended set-
engine family for which you are re- ting and the associated production tol-
questing a certificate of conformity. erances.
(b) [Reserved] (ii) The intended adjustable range,
(c) You must update and correct your and the physically adjustable range.
application to accurately reflect your
(iii) The limits or stops used to limit
production, as described in § 1033.225.
adjustable ranges.
(d) Include the following information
in your application: (iv) Production tolerances of the lim-
(1) A description of the basic engine its or stops used to establish each
design including, but not limited to, physically adjustable range.
the engine family specifications listed (v) Information relating to why the
in § 1033.230. For freshly manufactured physical limits or stops used to estab-
locomotives, a description of the basic lish the physically adjustable range of
locomotive design. For remanufactured each parameter, or any other means
locomotives, a description of the basic used to inhibit adjustment, are the
locomotive designs to which the re- most effective means possible of pre-
manufacture system will be applied. venting adjustment of parameters to
Include in your description, a list of settings outside your specified adjust-
distinguishable configurations to be in- able ranges on in-use engines.
cluded in the engine family. Note (7) Projected U.S. production infor-
whether you are requesting a certifi- mation for each configuration. If you
cate that will or will not cover idle are projecting substantially different
controls. sales of a configuration than you had
(2) An explanation of how the emis- previously, we may require you to ex-
sion control system operates, including plain why you are projecting the
detailed descriptions of: change.
(i) All emission control system com- (8)(i) All test data you obtained for
ponents. each test engine or locomotive. As de-
(ii) Injection or ignition timing for scribed in § 1033.235, we may allow you
each notch (i.e., degrees before or after to demonstrate compliance based on
top-dead-center), and any functional results from previous emission tests,
dependence of such timing on other development tests, or other testing in-
operational parameters (e.g., engine formation. Include data for NOx, PM,
coolant temperature). HC, CO, and CO2.
(iii) Each auxiliary emission control (ii) Report measured CO2, N2O, and
device (AECD). CH4 as described in § 1033.235. Small
36
manufacturers/remanufacturers may (j) For imported locomotives, we may

omit reporting N2O and CH4. require you to describe your expected
(9) The intended deterioration factors importation process.
for the engine family, in accordance
[73 FR 37197, June 30, 2008, as amended at 73
with § 1033.245. If the deterioration fac- FR 59190, Oct. 8, 2008; 74 FR 56508, Oct. 30,
tors for the engine family were devel- 2008]
oped using procedures that we have not
previously approved, you should re- § 1033.210 Preliminary approval.
quest preliminary approval under
(a) If you send us information before
§ 1033.210.
you finish the application, we will re-
(10) The intended useful life period
view it and make any appropriate de-
for the engine family, in accordance
terminations for questions related to
with § 1033.101(g). If the useful life for
engine family definitions, auxiliary
the engine family was determined
emission-control devices, deterioration
using procedures that we have not pre-
factors, testing for service accumula-
viously approved, you should request
tion, maintenance, and useful lives.
preliminary approval under § 1033.210.
(b) Decisions made under this section
(11) Copies of your proposed emission
are considered to be preliminary ap-
control label(s), maintenance instruc-
proval, subject to final review and ap-
tions, and installation instructions
proval. We will generally not reverse a
(where applicable).
decision where we have given you pre-
(12) An unconditional statement de-
liminary approval, unless we find new
claring that all locomotives included
information supporting a different de-
in the engine family comply with all
cision.
requirements of this part and the Clean
Air Act. (c) If you request preliminary ap-
proval related to the upcoming model
(e) If we request it, you must supply
such additional information as may be year or the model year after that, we
required to evaluate the application. will make best-efforts to make the ap-
propriate determinations as soon as
(f) Provide the information to read,
practicable. We will generally not pro-
record, and interpret all the informa-
tion broadcast by a locomotive’s on- vide preliminary approval related to a
board computers and electronic control future model year more than three
units. State that, upon request, you years ahead of time.
will give us any hardware, software, or (d) You must obtain preliminary ap-
tools we would need to do this. You proval for your plan to develop deterio-
may reference any appropriate publicly ration factors prior to the start of any
released standards that define conven- service accumulation to be used to de-
tions for these messages and param- velop the factors.
eters. Format your information con-
sistent with publicly released stand- § 1033.220 Amending maintenance in-
ards. structions.
(g) Include the information required You may amend your emission-re-
by other subparts of this part. For ex- lated maintenance instructions after
ample, include the information re- you submit your application for certifi-
quired by § 1033.725 if you participate in cation, as long as the amended instruc-
the ABT program. tions remain consistent with the provi-
(h) Include other applicable informa- sions of § 1033.125. You must send the
tion, such as information specified in Designated Compliance Officer a re-
this part or part 1068 of this chapter request to amend your application for
lated to requests for exemptions. certification for an engine family if
(i) Name an agent for service located you want to change the emission-re-
in the United States. Service on this lated maintenance instructions in a
agent constitutes service on you or any way that could affect emissions. In
of your officers or employees for any your request, describe the proposed
action by EPA or otherwise by the changes to the maintenance instruc-
United States related to the require- tions. If owners/operators follow the

ments of this part. original maintenance instructions
37
§ 1033.225 40 CFR Ch. I (7–1–21 Edition)
rather than the newly specified main- (a) You must amend your application
tenance, this does not allow you to dis- before you take either of the following
qualify those locomotives from in-use actions:
testing or deny a warranty claim. (1) Add a locomotive configuration to
(a) If you are decreasing or elimi- an engine family. In this case, the loco-
nating any of the specified mainte- motive added must be consistent with
nance, you may distribute the new other locomotives in the engine family
maintenance instructions to your cus- with respect to the criteria listed in
tomers 30 days after we receive your § 1033.230. For example, you must
request, unless we disapprove your re- amend your application if you want to
quest. This would generally include re- produce 12-cylinder versions of the 16-
placing one maintenance step with an- cylinder locomotives you described in
other. We may approve a shorter time your application.
or waive this requirement. (2) Change a locomotive already in-
(b) If your requested change would cluded in an engine family in a way
not decrease the specified mainte- that may affect emissions, or change
nance, you may distribute the new any of the components you described in
maintenance instructions anytime your application for certification. This
after you send your request. For exam- includes production and design changes
ple, this paragraph (b) would cover add- that may affect emissions any time
ing instructions to increase the fre- during the locomotive’s lifetime. For
quency of filter changes for loco- example, you must amend your appli-
motives in severe-duty applications. cation if you want to change a part
(c) You do not need to request ap- supplier if the part was described in
proval if you are making only minor your original application and is dif-
corrections (such as correcting typo- ferent in any material respect than the
graphical mistakes), clarifying your part you described.
maintenance instructions, or changing (3) Modify an FEL for an engine fam-
instructions for maintenance unrelated ily as described in paragraph (f) of this
to emission control. We may ask you section.
to send us copies of maintenance in- (b) To amend your application for
structions revised under this paragraph certification, send the relevant infor-
(c). mation to the Designated Compliance
[73 FR 37197, June 30, 2008, as amended at 75 Officer.
FR 22983, Apr. 30, 2010] (1) Describe in detail the addition or
change in the locomotive model or con-
§ 1033.225 Amending applications for figuration you intend to make.
certification. (2) Include engineering evaluations or
Before we issue you a certificate of data showing that the amended engine
conformity, you may amend your ap- family complies with all applicable re-
plication to include new or modified lo- quirements. You may do this by show-
comotive configurations, subject to the ing that the original emission-data lo-
provisions of this section. After we comotive is still appropriate for show-
have issued your certificate of con- ing that the amended family complies
formity, you may send us an amended with all applicable requirements.
application requesting that we include (3) If the original emission-data loco-
new or modified locomotive configura- motive for the engine family is not ap-
tions within the scope of the certifi- propriate to show compliance for the
cate, subject to the provisions of this new or modified locomotive, include
section. You must also amend your ap- new test data showing that the new or
plication if any changes occur with re- modified locomotive meets the require-
spect to any information that is in- ments of this part.
cluded or should be included in your (4) Include any other information
application. For example, you must needed to make your application cor-
amend your application if you deter- rect and complete.
mine that your actual production vari- (c) We may ask for more test data or
ation for an adjustable parameter ex- engineering evaluations. You must give
ceeds the tolerances specified in your us these within 30 days after we request
application. them.
38
(d) For engine families already cov- other circumstances, you must use the
ered by a certificate of conformity, we higher FEL for the entire family to
will determine whether the existing calculate emission credits under sub-
certificate of conformity covers your part H of this part.
new or modified locomotive. You may (2) You may ask to lower the FEL for
ask for a hearing if we deny your re- your emission family only if you have
quest (see § 1033.920). test data from production locomotives
(e) For engine families already cov- showing that emissions are below the
ered by a certificate of conformity, you proposed lower FEL. The lower FEL
may start producing the new or modi- applies only to engines or fuel-system
fied locomotive anytime after you send components you produce after we ap-
us your amended application, before we prove the new FEL. Use the appro-
make a decision under paragraph (d) of priate FELs with corresponding pro-
this section. However, if we determine duction volumes to calculate emission
that the affected locomotives do not credits for the model year, as described
meet applicable requirements, we will in subpart H of this part.
notify you to cease production of the (g) You may produce engines as de-
locomotives and may require you to re- scribed in your amended application
call the locomotives at no expense to for certification and consider those en-
the owner. Choosing to produce loco- gines to be in a certified configuration
motives under this paragraph (e) is if we approve a new or modified engine
deemed to be consent to recall all loco- configuration during the model year
motives that we determine do not meet under paragraph (d) of this section.
applicable emission standards or other Similarly, you may modify in-use en-
requirements and to remedy the non- gines as described in your amended ap-
conformity at no expense to the owner. plication for certification and consider
If you do not provide information re- those engines to be in a certified con-
quired under paragraph (c) of this sec- figuration if we approve a new or modi-
tion within 30 days after we request it, fied engine configuration at any time
you must stop producing the new or under paragraph (d) of this section.
modified locomotives. Modifying a new or in-use engine to be
(f) You may ask us to approve a in a certified configuration does not
change to your FEL in certain cases violate the tampering prohibition of 40
after the start of production. The CFR 1068.101(b)(1), as long as this does
changed FEL may not apply to loco- not involve changing to a certified con-
motives you have already introduced figuration with a higher family emis-
into U.S. commerce, except as de- sion limit.
scribed in this paragraph (f). If we ap- [73 FR 37197, June 30, 2008, as amended at 75
prove a changed FEL after the start of FR 22983, Apr. 30, 2010; 81 FR 74005, Oct. 25,
production, you must include the new 2016]
FEL on the emission control informa-
tion label for all locomotives produced § 1033.230 Grouping locomotives into
after the change. You may ask us to engine families.
approve a change to your FEL in the (a) Divide your product line into en-
following cases: gine families of locomotives that are
(1) You may ask to raise your FEL expected to have similar emission
for your engine family at any time. In characteristics throughout the useful
your request, you must show that you life. Your engine family is limited to a
will still be able to meet the emission single model year. Freshly manufac-
standards as specified in subparts B tured locomotives may not be included
and H of this part. If you amend your in the same engine family as remanu-
application by submitting new test factured locomotives, except as al-
data to include a newly added or modi- lowed by paragraph (f) of this section.
fied locomotive, as described in para- Paragraphs (b) and (c) of this section
graph (b)(3) of this section, use the ap- specify default criteria for dividing lo-
propriate FELs with corresponding comotives into engine families. Para-
production volumes to calculate emis- graphs (d) and (e) of this section allow
sion credits for the model year, as de- you deviate from these defaults in cer-
scribed in subpart H of this part. In all tain circumstances.
39
§ 1033.230 40 CFR Ch. I (7–1–21 Edition)
(b) This paragraph (b) applies for all (18) The exhaust manifold port size
locomotives other than Tier 0 loco- and configuration.
motives. Group locomotives in the (19) The type of exhaust
same engine family if they are the aftertreatment system (oxidation cata-
same in all the following aspects: lyst, particulate trap), and characteris-
(1) The combustion cycle (e.g., diesel tics of the aftertreatment system (cat-
cycle). alyst loading, converter size vs. engine
(2) The type of engine cooling em- size).
ployed and procedure(s) employed to (c) Group Tier 0 locomotives in the
maintain engine temperature within same engine family if they are the
desired limits (thermostat, on-off radi- same in all the following aspects:
ator fan(s), radiator shutters, etc.). (1) The combustion cycle (e.g., diesel
(3) The nominal bore and stroke di- cycle).
mensions. (2) The type of engine cooling em-
(4) The approximate intake and ex- ployed and procedure(s) employed to
haust event timing and duration (valve maintain engine temperature within
or port). desired limits (thermostat, on-off radi-
(5) The location of the intake and ex- ator fan(s), radiator shutters, etc.).
haust valves (or ports). (3) The approximate bore and stroke
(6) The size of the intake and exhaust dimensions.
valves (or ports). (4) The approximate location of the
(7) The overall injection or ignition intake and exhaust valves (or ports).
timing characteristics (i.e., the devi- (5) The combustion chamber general
ation of the timing curves from the op- configuration and the approximate sur-
timal fuel economy timing curve must face-to-volume ratio of the combustion
be similar in degree). chamber when the piston is at top dead
(8) The combustion chamber configu- center position, using nominal combus-
ration and the surface-to-volume ratio tion chamber dimensions.
of the combustion chamber when the (6) The method of air aspiration
piston is at top dead center position, (turbocharged, supercharged, naturally
using nominal combustion chamber di- aspirated, Roots blown).
mensions. (7) The type of air inlet cooler (air-
(9) The location of the piston rings on to-air, air-to-liquid, approximate de-
the piston. gree to which inlet air is cooled).
(10) The method of air aspiration (8) The type of fuel and general fuel
(turbocharged, supercharged, naturally system configuration.
aspirated, Roots blown). (9) The general configuration of the
(11) The general performance charac- fuel injectors and approximate injec-
teristics of the turbocharger or super- tion pressure.
charger (e.g., approximate boost pres- (10) The type of fuel injection system
sure, approximate response time, ap- control (electronic or mechanical).
proximate size relative to engine dis- (d) You may subdivide a group of lo-
placement). comotives that is identical under para-
(12) The type of air inlet cooler (air- graph (b) or (c) of this section into dif-
to-air, air-to-liquid, approximate de- ferent engine families if you show the
gree to which inlet air is cooled). expected emission characteristics are
(13) The intake manifold induction different during the useful life. This al-
port size and configuration. lowance also covers locomotives for
(14) The type of fuel and fuel system which only calculated emission rates
configuration. differ, such as locomotives with and
(15) The configuration of the fuel without energy-saving design features.
injectors and approximate injection For the purposes of determining wheth-
pressure. er an engine family is a small engine
(16) The type of fuel injection system family in § 1033.405(a)(2), we will con-
controls (i.e., mechanical or elec- sider the number of locomotives that
tronic). could have been classed together under
(17) The type of smoke control sys- paragraph (b) or (c) of this section, in-
tem. stead of the number of locomotives
40
that are included in a subdivision al- rately if you can show that inter-
lowed by this paragraph (d). mediate mixtures are not likely to
(e) In unusual circumstances, you occur in use.
may group locomotives that are not (c) We may perform confirmatory
identical with respect to the things testing by measuring emissions from
listed in paragraph (b) or (c) of this sec- any of your emission-data locomotives
tion in the same engine family if you or other locomotives from the engine
show that their emission characteris- family.
tics during the useful life will be simi- (1) We may decide to do the testing
lar. at your plant or any other facility. If
(f) During the first six calendar years we do this, you must deliver the loco-
after a new tier of standards becomes motive to a test facility we designate.
applicable, remanufactured engines/lo- If we do the testing at your plant, you
comotives may be included in the same must schedule it as soon as possible
engine family as freshly manufactured and make available the instruments,
locomotives, provided the same engines personnel, and equipment we need.
and emission controls are used for loco- (2) If we measure emissions from one
motive models included in the engine of your locomotives, the results of that
family. testing become the official emission re-
[73 FR 37197, June 30, 2008, as amended at 73 sults for the locomotive. Unless we
FR 59190, Oct. 8, 2008] later invalidate these data, we may de-
cide not to consider your data in deter-
§ 1033.235 Emission testing required mining if your engine family meets ap-
for certification. plicable requirements.
This section describes the emission (3) Before we test one of your loco-
testing you must perform to show com- motives, we may set its adjustable pa-
pliance with the emission standards in rameters to any point within the ad-
§ 1033.101. justable ranges (see § 1033.115(b)).
(a) Select an emission-data loco- (4) Before we test one of your loco-
motive (or engine) from each engine motives, we may calibrate it within
family for testing. It may be a low normal production tolerances for any-
mileage locomotive, or a development thing we do not consider an adjustable
engine (that is equivalent in design to parameter. For example, this would
the engines of the locomotives being apply for a parameter that is subject to
certified), or another low hour engine. production variability because it is ad-
Use good engineering judgment to se- justable during production, but is not
lect the locomotive configuration that considered an adjustable parameter (as
is most likely to exceed (or have emis- defined in § 1033.901) because it is per-
sions nearest to) an applicable emis- manently sealed.
sion standard or FEL. In making this (d) You may ask to use carryover
selection, consider all factors expected emission data from a previous model
to affect emission control performance year instead of doing new tests if all
and compliance with the standards, in- the following are true:
cluding emission levels of all exhaust (1) The engine family from the pre-
constituents, especially NOX and PM. vious model year differs from the cur-
(b) Test your emission-data loco- rent engine family only with respect to
motives using the procedures and model year, items identified in
equipment specified in subpart F of § 1033.225(a), or other factors not re-
this part. In the case of dual-fuel loco- lated to emissions. We may waive this
motives, measure emissions when oper- criterion for differences we determine
ating with each type of fuel for which not to be relevant.
you intend to certify the locomotive. (2) The emission-data locomotive
In the case of flexible-fuel locomotives, from the previous model year remains
measure emissions when operating the appropriate emission-data loco-
with the fuel mixture that best rep- motive under paragraph (b) of this sec-
resents in-use operation or is most tion.
likely to have the highest NOX emis- (3) The data show that the emission-
sions, though you may ask us instead data locomotive would meet all the re-
to perform tests with both fuels sepa- quirements that apply to the engine
41
§ 1033.240 40 CFR Ch. I (7–1–21 Edition)
family covered by the application for § 1033.240 Demonstrating compliance

certification. with exhaust emission standards.
(e) You may ask to use emission data
(a) For purposes of certification, your
from a different engine family you
engine family is considered in compli-
have already certified instead of test-
ance with the applicable numerical
ing a locomotive in the second engine
emission standards in § 1033.101 if all
family if all the following are true:
emission-data locomotives rep-
(1) The same engine is used in both
resenting that family have test results
engine families.
showing official emission results and
(2) You demonstrate to us that the
deteriorated emission levels at or
differences in the two families are suf-
below these standards.
ficiently small that the locomotives in
the untested family will meet the same (1) If you include your locomotive in
applicable notch standards calculated the ABT program in subpart H of this
from the test data. part, your FELs are considered to be
(f) We may require you to test a sec- the applicable emission standards with
ond locomotive of the same or different which you must comply.
configuration in addition to the loco- (2) If you do not include your re-
motive tested under paragraph (b) of manufactured locomotive in the ABT
this section. program in subpart H of this part, but
(g) If you use an alternate test proce- it was previously included in the ABT
dure under 40 CFR 1065.10 and later program in subpart H of this part, the
testing shows that such testing does previous FELs are considered to be the
not produce results that are equivalent applicable emission standards with
to the procedures specified in subpart F which you must comply.
of this part, we may reject data you (b) Your engine family is deemed not
generated using the alternate proce- to comply if any emission-data loco-
dure. motive representing that family has
(h) The requirement to measure test results showing an official emis-
smoke emissions is waived for certifi- sion result or a deteriorated emission
cation and production line testing, ex- level for any pollutant that is above an
cept where there is reason to believe applicable emission standard. Use the
your locomotives do not meet the ap- following steps to determine the dete-
plicable smoke standards. riorated emission level for the test lo-
(i) Measure CO2 with each test. Meas- comotive:
ure CH4 with each low-hour certifi- (1) Collect emission data using meas-
cation test using the procedures speci- urements with enough significant fig-
fied in 40 CFR part 1065 starting in the ures to calculate the cycle-weighted
2012 model year. Also measure N2O emission rate to at least one more dec-
with each low-hour certification test imal place than the applicable stand-
using the procedures specified in 40 ard. Apply any applicable humidity
CFR part 1065 for any engine family corrections before weighting emissions.
that depends on NOx aftertreatment to (2) Apply the regeneration factors if
meet emission standards. Small manu- applicable. At this point the emission
facturers/remanufacturers may omit rate is generally considered to be an of-
measurement of N2O and CH4. Use the ficial emission result.
same units and modal calculations as (3) Apply the deterioration factor to
for your other results to report a single the official emission result, as de-
weighted value for CO2, N2O, and CH4. scribed in § 1033.245, then round the ad-
Round the final values as follows: justed figure to the same number of
(1) Round CO2 to the nearest 1 g/bhp- decimal places as the emission stand-
hr. ard. This adjusted value is the deterio-
(2) Round N2O to the nearest 0.001 g/ rated emission level. Compare these
bhp-hr. emission levels from the emission-data
(3) Round CH4 to the nearest 0.001g/ locomotive with the applicable emis-
bhp-hr. sion standards. In the case of NOX +
NMHC standards, apply the deteriora-

FR 56508, Oct. 30, 2008; 75 FR 22984, Apr. 30, tion factor to each pollutant and then
2010; 81 FR 74005, Oct. 25, 2016] add the results before rounding.
42
(4) The highest deteriorated emission from in-use testing of similar loco-
levels for each pollutant are considered motives.
to be the certified emission levels. (b) Apply deterioration factors as fol-
(c) An owner/operator remanufac- lows:
turing its locomotives to be identical (1) Additive deterioration factor for ex-
to their previously certified configura- haust emissions. Except as specified in
tion may certify by design without new paragraph (b)(2) of this section, use an
emission test data. To do this, submit additive deterioration factor for ex-
the application for certification de- haust emissions. An additive deteriora-
scribed in § 1033.205, but instead of in- tion factor for a pollutant is the dif-
cluding test data, include a description ference between exhaust emissions at
of how you will ensure that your loco- the end of the useful life and exhaust
motives will be identical in all mate- emissions at the low-hour test point. In
rial respects to their previously cer- these cases, adjust the official emission
tified condition. You may use recondi- results for each tested locomotive at
tioned parts consistent with good engi- the selected test point by adding the
neering judgment. You have all of the factor to the measured emissions. The
liabilities and responsibilities of the deteriorated emission level is intended
certificate holder for locomotives you to represent the highest emission level
certify under this paragraph. during the useful life. Thus, if the fac-
tor is less than zero, use zero. Additive
[73 FR 37197, June 30, 2008, as amended at 75 deterioration factors must be specified
FR 22984, Apr. 30, 2010] to one more decimal place than the ap-
plicable standard.
§ 1033.245 Deterioration factors.
(2) Multiplicative deterioration factor
Establish deterioration factors for for exhaust emissions. Use a multiplica-
each pollutant to determine whether tive deterioration factor if good engi-
your locomotives will meet emission neering judgment calls for the deterio-
standards for each pollutant through- ration factor for a pollutant to be the
out the useful life, as described in ratio of exhaust emissions at the end of
§ 1033.240. Determine deterioration fac- the useful life to exhaust emissions at
tors as described in this section, either the low-hour test point. For example, if
with an engineering analysis, with pre- you use aftertreatment technology
existing test data, or with new emis- that controls emissions of a pollutant
sion measurements. The deterioration proportionally to engine-out emissions,
factors are intended to reflect the dete- it is often appropriate to use a mul-
rioration expected to result during the tiplicative deterioration factor. Adjust
useful life of a locomotive maintained the official emission results for each
as specified in § 1033.125. If you perform tested locomotive at the selected test
durability testing, the maintenance point by multiplying the measured
that you may perform on your emis- emissions by the deterioration factor.
sion-data locomotive is limited to the The deteriorated emission level is in-
maintenance described in § 1033.125. tended to represent the highest emis-
You may carry across a deterioration sion level during the useful life. Thus,
factor from one engine family to an- if the factor is less than one, use one.
other consistent with good engineering A multiplicative deterioration factor
judgment. may not be appropriate in cases where
(a) Your deterioration factors must testing variability is significantly
take into account any available data greater than locomotive-to-locomotive
from in-use testing with similar loco- variability. Multiplicative deteriora-
motives, consistent with good engi- tion factors must be specified to one
neering judgment. For example, it more significant figure than the appli-
would not be consistent with good en- cable standard.
gineering judgment to use deteriora- (3) Sawtooth and other nonlinear dete-
tion factors that predict emission in- rioration patterns. The deterioration
creases over the useful life of a loco- factors described in paragraphs (b)(1)
motive or locomotive engine that are and (2) of this section assume that the
significantly less than the emission in- highest useful life emissions occur ei-
creases over the useful life observed ther at the end of useful life or at the
43
§ 1033.250 40 CFR Ch. I (7–1–21 Edition)
low-hour test point. The provisions of and crankcase emissions together for
this paragraph (b)(3) apply where good each pollutant.
engineering judgment indicates that (e) Include the following information
the highest emissions over the useful in your application for certification:
life will occur between these two (1) If you determine your deteriora-
points. For example, emissions may in- tion factors based on test data from a
crease with service accumulation until different engine family, explain why
a certain maintenance step is per- this is appropriate and include all the
formed, then return to the low-hour emission measurements on which you
emission levels and begin increasing base the deterioration factor.
again. Base deterioration factors for lo- (2) If you determine your deteriora-
comotives with such emission patterns tion factors based on engineering anal-
on the difference between (or ratio of) ysis, explain why this is appropriate
the point at which the highest emis- and include a statement that all data,
sions occur and the low-hour test analyses, evaluations, and other infor-
point. Note that this applies for main- mation you used are available for our
tenance-related deterioration only review upon request.
where we allow such critical emission- (3) If you do testing to determine de-
related maintenance. terioration factors, describe the form
(4) Dual-fuel and flexible-fuel engines. and extent of service accumulation, in-
In the case of dual-fuel and flexible- cluding a rationale for selecting the
fuel locomotives, apply deterioration service-accumulation period and the
factors separately for each fuel type by method you use to accumulate hours.
measuring emissions with each fuel [73 FR 37197, June 30, 2008, as amended at 81
type at each test point. You may accu- FR 74005, Oct. 25, 2016]
mulate service hours on a single emis-
sion-data engine using the type of fuel § 1033.250 Reporting and record-
or the fuel mixture expected to have keeping.
the highest combustion and exhaust (a) Within 45 days after the end of the
temperatures; you may ask us to ap- model year, send the Designated Com-
prove a different fuel mixture if you pliance Officer a report describing the
demonstrate that a different criterion following information about loco-
is more appropriate. motives you produced during the model
(5) Deterioration factor for crankcase year:
emissions. If your engine vents crank- (1) Report the total number of loco-
case emissions to the exhaust or to the motives you produced in each engine
atmosphere, you must account for family by locomotive model and engine
crankcase emission deterioration, model.
using good engineering judgment. You (2) If you produced exempted loco-
may use separate deterioration factors motives, report the number of exempt-
for crankcase emissions of each pollut- ed locomotives you produced for each
ant (either multiplicative or additive) locomotive model and identify the
or include the effects in combined dete- buyer or shipping destination for each
rioration factors that include exhaust exempted locomotive. You do not need
and crankcase emissions together for to report under this paragraph (a)(2) lo-
each pollutant. comotives that were temporarily ex-
(c) Deterioration factors for smoke empted, exported locomotives, loco-
are always additive. motives exempted as manufacturer/re-
(d) If your locomotive vents crank- manufacturer-owned locomotives, or
case emissions to the exhaust or to the locomotives exempted as test loco-
atmosphere, you must account for motives.
crankcase emission deterioration, (b) Organize and maintain the fol-
using good engineering judgment. You lowing records:
may use separate deterioration factors (1) A copy of all applications and any
for crankcase emissions of each pollut- summary information you send us.
ant (either multiplicative or additive) (2) Any of the information we specify
or include the effects in combined dete- in § 1033.205 that you were not required
rioration factors that include exhaust to include in your application.
44
(3) A detailed history of each emis- (e) Send us copies of any locomotive
sion-data locomotive. For each loco- maintenance instructions or expla-
motive, describe all of the following: nations if we ask for them.
(i) The emission-data locomotive’s [73 FR 37197, June 30, 2008, as amended at 81
construction, including its origin and FR 74006, Oct. 25, 2016]
buildup, steps you took to ensure that
it represents production locomotives, § 1033.255 EPA decisions.
any components you built specially for (a) If we determine your application
it, and all the components you include is complete and shows that the engine
in your application for certification. family meets all the requirements of
(ii) How you accumulated locomotive this part and the Clean Air Act, we will
operating hours (service accumula- issue a certificate of conformity for
tion), including the dates and the num- your engine family for that model
ber of hours accumulated. year. We may make the approval sub-
(iii) All maintenance, including ject to additional conditions.
modifications, parts changes, and other (b) We may deny your application for
service, and the dates and reasons for certification if we determine that your
the maintenance. engine family fails to comply with
emission standards or other require-
(iv) All your emission tests (valid and
ments of this part or the Clean Air Act.
invalid), including the date and pur-
We will base our decision on all avail-
pose of each test and documentation of
able information. If we deny your ap-
test parameters as specified in part 40 plication, we will explain why in writ-
CFR part 1065, and the date and pur- ing.
pose of each test. (c) In addition, we may deny your ap-
(v) All tests to diagnose locomotive plication or suspend or revoke your
or emission control performance, giv- certificate if you do any of the fol-
ing the date and time of each and the lowing:
reasons for the test. (1) Refuse to comply with any testing
(vi) Any other significant events. or reporting requirements.
(4) If you test a development engine (2) Submit false or incomplete infor-
for certification, you may omit information (paragraph (e) of this section
mation otherwise required by para- applies if this is fraudulent). This in-
graph (b)(3) of this section that is unre- cludes doing anything after submission
lated to emissions and emission-related of your application to render any of the
components. submitted information false or incom-
(5) Production figures for each engine plete.
family divided by assembly plant. (3) Render inaccurate any test data.
(6) Keep a list of locomotive identi- (4) Deny us from completing author-
fication numbers for all the loco- ized activities (see 40 CFR 1068.20). This
motives you produce under each cer- includes a failure to provide reasonable
tificate of conformity. assistance.
(5) Produce locomotives for importa-
(c) Keep required data from emission
tion into the United States at a loca-
tests and all other information speci-
tion where local law prohibits us from
fied in this section for eight years after carrying out authorized activities.
we issue your certificate. If you use the (6) Fail to supply requested informa-
same emission data or other information or amend your application to in-
tion for a later model year, the eight- clude all locomotives being produced.
year period restarts with each year (7) Take any action that otherwise
that you continue to rely on the infor- circumvents the intent of the Clean Air
mation. Act or this part.
(d) Store these records in any format (d) We may void the certificate of
and on any media, as long as you can conformity for an engine family if you
promptly send us organized, written fail to keep records, send reports, or
records in English if we ask for them. give us information as required under
You must keep these records readily this part or the Act. Note that these
available. We may review them at any are also violations of 40 CFR

time. 1068.101(a)(2).
45
§ 1033.301 40 CFR Ch. I (7–1–21 Edition)
(e) We may void your certificate if we § 1033.305 General requirements.

find that you intentionally submitted (a) Manufacturers (and remanufac-
false or incomplete information. This turers, where applicable) are required
includes rendering submitted informa- to test production line locomotives
tion false or incomplete after submis- using the test procedures specified in
sion. § 1033.315. While this subpart refers to
(f) If we deny your application or sus- locomotive testing, you may ask to
pend, revoke, or void your certificate, test locomotive engines instead of test-
you may ask for a hearing (see ing locomotives.
§ 1033.920). (b) Remanufacturers are required to
conduct audits according to the re-
FR 22984, Apr. 30, 2010; 81 FR 74006, Oct. 25,
quirements of § 1033.335 to ensure that
2016] remanufactured locomotives comply
with the requirements of this part.
EFFECTIVE DATE NOTE: At 86 FR 34375, June (c) If you certify an engine family
29, 2021, § 1033.255 was revised, effective July with carryover emission data, as de-
29, 2021. scribed in § 1033.235, and these equiva-
lent engine families consistently pass
Subpart D—Manufacturer and Re- the production-line testing require-
manufacturer Production Line ments over the preceding two-year pe-
Testing and Audit Programs riod, you may ask for a reduced testing
rate for further production-line testing
§ 1033.301 Applicability. for that family. If we reduce your test-
ing rate, we may limit our approval to
The requirements of this part apply any number of model years. In deter-
to manufacturers/remanufacturers of mining whether to approve your re-
locomotives certified under this part, quest, we may consider the number of
with the following exceptions: locomotives that have failed emission
(a) The requirements of §§ 1033.310, tests.
1033.315, 1033.320, and 1033.330 apply only (d) You may ask to use an alternate
to manufacturers of freshly manufac- program or measurement method for
tured locomotives or locomotive en- testing production-line engines. In
gines (including those used for your request, you must show us that
repowering). We may also apply these the alternate program gives equal as-
requirements to remanufacturers of surance that your engines meet the re-
any locomotives for which there is rea- quirements of this part. We may waive
son to believe production problems some or all of this subpart’s require-
exist that could affect emission per- ments if we approve your alternate
formance. When we make a determina- program.
tion that production problems may
exist that could affect emission per- § 1033.310 Sample selection for testing.
formance, we will notify the remanu- (a) At the start of each model year,
facturer(s). The requirements of begin randomly selecting locomotives
§§ 1033.310, 1033.315, 1033.320, and 1033.330 from each engine family for production
will apply as specified in the notice. line testing at a rate of one percent.
(b) The requirements of § 1033.335 Make the selection of the test loco-
apply only to remanufacturers. motive after it has been assembled.
(c) As specified in § 1033.1(d), we may Perform the testing throughout the en-
apply the requirements of this subpart tire model year to the extent possible,
unless we specify a different schedule
to manufacturers/remanufacturers that
for your tests. For example, we may re-
do not certify the locomotives. How-
quire you to disproportionately select
ever, unless we specify otherwise, the
locomotives from the early part of a
requirements of this subpart apply to
model year for a new locomotive model
manufacturers/remanufacturers that
that has not been subject to PLT pre-
hold the certificates for the loco-
viously.
motives. (1) The required sample size for an
[73 FR 37197, June 30, 2008, as amended at 81 engine family (provided that no loco-
FR 74006, Oct. 25, 2016] motive tested fails to meet applicable
46
emission standards) is the lesser of five (1) You may ask to use other test
tests per model year or one percent of procedures. We will approve your re-
projected annual production, with a quest if we determine that it is not
minimum sample size for an engine possible to perform satisfactory testing
family of one test per model year. See using the specified procedures. We may
paragraph (d) of this section to deter- also approve alternate test procedures
mine the required number of test loco- under § 1033.305(d).
motives if any locomotives fail to com- (2) If you used test procedures other
ply with any standards. than those in subpart F of this part
(2) You may elect to test additional during certification for the engine fam-
locomotives. All additional loco- ily (other than alternate test proce-
motives must be tested in accordance dures necessary for testing a develop-
with the applicable test procedures of ment engine or a low hour engine in-
this part. stead of a low mileage locomotive), use
(b) You must assemble the test loco- the same test procedures for produc-
motives using the same production tion line testing that you used in cer-
process that will be used for loco- tification.
motives to be introduced into com- (b) Modifying a test locomotive. Once
merce. You may ask us to allow special an engine is selected for testing, you
assembly procedures for catalyst- may adjust, repair, maintain, or mod-
equipped locomotives. ify it or check its emissions only if one
of the following is true:
(c) Unless we approve it, you may not
(1) You document the need for doing
use any quality control, testing, or as-
so in your procedures for assembling
sembly procedures that you do not use
and inspecting all your production en-
during the production and assembly of
gines and make the action routine for
all other locomotives of that family.
all the engines in the engine family.
This applies for any test locomotive or
(2) This subpart otherwise specifi-
any portion of a locomotive, including
cally allows your action.
engines, parts, and subassemblies.
(3) We approve your action in ad-
(d) If one or more locomotives fail a vance.
production line test, then you must (c) Adjustable parameters. (1) Confirm
test two additional locomotives from that adjustable parameters are set to
the next fifteen produced in that en- values or positions that are within the
gine family for each locomotive that range recommended to the ultimate
fails. These two additional locomotives purchaser.
do not count towards your minimum (2) We may require to be adjusted any
number of locomotives. For example, if adjustable parameter to any setting
you are required to test a minimum of within the specified adjustable range of
four locomotives under paragraph (a) of that parameter prior to the perform-
this section and the second locomotive ance of any test.
fails to comply with one or more stand- (d) Stabilizing emissions. You may sta-
ards, then you must test two additional bilize emissions from the locomotives
locomotives from the next fifteen pro- to be tested through service accumula-
duced in that engine family. If both of tion by running the engine through a
those locomotives pass all standards, typical duty cycle. Emissions are con-
you are required to test two additional sidered stabilized after 300 hours of op-
locomotives to complete the original eration. You may accumulate fewer
minimum number of four. If they both hours, consistent with good engineer-
pass, you are done with testing for that ing judgment. You may establish a
family for the year since you tested six Green Engine Factor for each regulated
locomotives (the four originally re- pollutant for each engine family, in-
quired plus the two additional loco- stead of (or in combination with) accu-
motives). mulating actual operation, to be used
in calculating emissions test results.
§ 1033.315 Test procedures. You must obtain our approval prior to
(a) Test procedures. Use the test pro- using a Green Engine Factor. For cata-
cedures described in subpart F of this lyst-equipped locomotives, you may

part, except as specified in this section. operate the locomotive for up to 1000
47
§ 1033.320 40 CFR Ch. I (7–1–21 Edition)
hours (in revenue or other service) to allow you to exclude an initial failed
prior to testing. test if all of the following are true:
(e) Adjustment after shipment. If a lo- (1) The catalyst was in a green condi-
comotive is shipped to a facility other tion when tested initially.
than the production facility for produc- (2) The locomotive met all emission
tion line testing, and an adjustment or standards when retested after
repair is necessary because of such degreening the catalyst.
shipment, you may perform the nec- (3) No additional emission-related
essary adjustment or repair only after maintenance or repair was performed
the initial test of the locomotive, un- between the initial failed test and the
less we determine that the test would subsequent passing test.
be impossible to perform or would per- (c) Calculate the final test results for
manently damage the locomotive. each test locomotive by applying the
(f) Malfunctions. If a locomotive can- appropriate deterioration factors, de-
not complete the service accumulation rived in the certification process for
or an emission test because of a mal- the engine family, to the final test re-
function, you may request that we au- sults, and rounding to one more dec-
thorize either the repair of that loco- imal place than the applicable emis-
motive or its deletion from the test se- sion standard.
quence. (d) If, subsequent to an initial failure
(g) Retesting. If you determine that of a production line test, the average of
any production line emission test of a the test results for the failed loco-
locomotive is invalid, you must retest motive and the two additional loco-
it in accordance with the requirements motives tested, is greater than any ap-
of this subpart. Report emission results plicable emission standard or FEL, the
from all tests to us, including test re- engine family is deemed to be in non-
sults you determined are invalid. You compliance with applicable emission
must also include a detailed expla- standards, and you must notify us
nation of the reasons for invalidating within ten working days of such non-
any test in the quarterly report re- compliance.
quired in § 1033.320(e). In the event a (e) Within 45 calendar days of the end
retest is performed, you may ask us of each quarter, you must send to the
within ten days of the end of the pro- Designated Compliance Officer a report
duction quarter for permission to sub- with the following information:
stitute the after-repair test results for (1) The location and description of
the original test results. We will re- the emission test facilities which you
spond to the request within ten work- used to conduct your testing.
ing days of our receipt of the request.
(2) Total production and sample size
§ 1033.320 Calculation and reporting of for each engine family tested.
test results. (3) The applicable standards against
which each engine family was tested.
(a) Calculate initial test results using
the applicable test procedure specified (4) For each test conducted, include
in § 1033.315(a). Include applicable non- all of the following:
deterioration adjustments such as a (i) A description of the test loco-
Green Engine Factor or regeneration motive, including:
adjustment factor. Round the results (A) Configuration and engine family
to one more decimal place than the ap- identification.
plicable emission standard. (B) Year, make, and build date.
(b) If you conduct multiple tests on (C) Engine identification number.
any locomotives, calculate final test (D) Number of megawatt-hours (or
results by summing the initial test re- miles if applicable) of service accumu-
sults derived in paragraph (a) of this lated on locomotive prior to testing.
section for each test locomotive, divid- (E) Description of Green Engine Fac-
ing by the number of tests conducted tor; how it is determined and how it is
on the locomotive, and rounding to one applied.
more decimal place than the applicable (ii) Location(s) where service accu-
emission standard. For catalyst- mulation was conducted and descrip-

equipped locomotives, you may ask us tion of accumulation procedure and
48
schedule, if applicable. If the loco- perform emission testing under this

motive was introduced into service be- subpart.
tween assembly and testing, you are (2) Individual test records for each
only required to summarize the service production line test or audit including:
accumulation, rather than identifying (i) The date, time, and location of
specific locations. each test or audit.
(iii) Test number, date, test proce- (ii) The method by which the Green
dure used, initial test results before Engine Factor was calculated or the
and after rounding, and final test re- number of hours of service accumu-
sults for all production line emission lated on the test locomotive when the
tests conducted, whether valid or in- test began and ended.
valid, and the reason for invalidation (iii) The names of all supervisory per-
of any test results, if applicable. sonnel involved in the conduct of the
(iv) A complete description of any ad- production line test or audit;
justment, modification, repair, prepa- (iv) A record and description of any
ration, maintenance, and testing which adjustment, repair, preparation or
was performed on the test locomotive, modification performed on test loco-
has not been reported pursuant to any motives, giving the date, associated
other paragraph of this subpart, and time, justification, name(s) of the au-
will not be performed on other produc- thorizing personnel, and names of all
tion locomotives. supervisory personnel responsible for
(v) Any other information we may the conduct of the action.
ask you to add to your written report (v) If applicable, the date the loco-
so we can determine whether your new motive was shipped from the assembly
engines conform with the requirements plant, associated storage facility or
of this part. port facility, and the date the loco-
(5) For each failed locomotive as de- motive was received at the testing fa-
fined in § 1033.330(a), a description of cility.
the remedy and test results for all (vi) A complete record of all emission
retests as required by § 1033.340(g). tests or audits performed under this
(6) The following signed statement subpart (except tests performed di-
and endorsement by an authorized rep- rectly by us), including all individual
resentative of your company: worksheets and/or other documenta-
We submit this report under sections 208 tion relating to each test, or exact cop-
and 213 of the Clean Air Act. Our production- ies thereof, according to the record re-
line testing conformed completely with the quirements specified in subpart F of
requirements of 40 CFR part 1033. We have this part and 40 CFR part 1065.
not changed production processes or quality-
(vii) A brief description of any sig-
control procedures for the test locomotives
in a way that might affect emission controls. nificant events during testing not oth-
All the information in this report is true and erwise described under this paragraph
accurate to the best of my knowledge. I (a)(2), commencing with the test loco-
know of the penalties for violating the Clean motive selection process and including
Air Act and the regulations. (Authorized such extraordinary events as engine
Company Representative) damage during shipment.
[73 FR 37197, June 30, 2008, as amended at 81 (b) Keep all records required to be
FR 74006, Oct. 25, 2016] maintained under this subpart for a pe-
riod of eight years after completion of
§ 1033.325 Maintenance of records; all testing. Store these records in any
submittal of information. format and on any media, as long as
(a) You must establish, maintain, you can promptly provide to us orga-
and retain the following adequately or- nized, written records in English if we
ganized and indexed test records: ask for them and all the information is
(1) A description of all equipment retained.
used to test locomotives. The equip- (c) Send us the following information
ment requirements in subpart F of this with regard to locomotive production if
part apply to tests performed under we ask for it:
this subpart. Maintain these records (1) Projected production for each con-
for each test cell that can be used to figuration within each engine family
49
§ 1033.330 40 CFR Ch. I (7–1–21 Edition)
for which certification has been re- tors of the locomotives, provided the
quested and/or approved. audits are performed in accordance
(2) Number of locomotives, by con- with the provisions of this section. We
figuration and assembly plant, sched- may require that you obtain affidavits
uled for production. for audits performed by owners/opera-
(d) Nothing in this section limits our tors.
authority to require you to establish, (b) Audit at least five percent of your
maintain, keep or submit to us infor- annual production per model year per
mation not specified by this section. installer or ten per engine family per
We may also ask you to send less infor- installer, whichever is less. You must
mation. perform more audits if there are any
(e) Send all reports, submissions, no-
failures. Randomly select the loco-
tifications, and requests for approval
motives to be audited after the re-
made under this subpart to the Des-
ignated Compliance Officer using an manufacture is complete. We may
approved format. allow you to select locomotives prior
(f) You must keep a copy of all re- to the completion of the remanufac-
ports submitted under this subpart. ture, if the preselection would not have
the potential to affect the manner in
[73 FR 37197, June 30, 2008, as amended at 75 which the locomotive was remanufac-
FR 22984, Apr. 30, 2010]
tured (e.g., where the installer is not
§ 1033.330 Compliance criteria for pro- aware of the selection prior to the com-
duction line testing. pletion of the remanufacture). Unless
There are two types of potential fail- we specify otherwise, you are not re-
ures: failure of an individual loco- quired to audit installers that remanu-
motive to comply with the standards, facture fewer than 10 locomotives per
and a failure of an engine family to year under your certificates (combined
comply with the standards. for all of your engine families).
(a) A failed locomotive is one whose (c) The audit should be completed as
final test results pursuant to soon as is practical after the remanu-
§ 1033.320(c), for one or more of the ap- facture is complete. In no case may the
plicable pollutants, exceed an applica- remanufactured locomotive accumu-
ble emission standard or FEL. late more than 45,000 miles prior to an
(b) An engine family is deemed to be audit.
in noncompliance, for purposes of this (d) A locomotive fails if any emission
subpart, if at any time throughout the related components are found to be im-
model year, the average of an initial properly installed, improperly adjusted
failed locomotive and the two addi- or incorrectly used.
tional locomotives tested, is greater (e) If a remanufactured locomotive
than any applicable emission standard fails an audit, then you must audit two
or FEL. additional locomotives from the next
§ 1033.335 Remanufactured loco- ten remanufactured in that engine
motives: installation audit require- family by that installer.
ments. (f) An engine family is determined to
The section specifies the require- have failed an audit, if at any time dur-
ments for certifying remanufacturers ing the model year, you determine that
to audit the remanufacture of loco- the three locomotives audited are
motives covered by their certificates of found to have had any improperly in-
conformity for proper components, stalled, improperly adjusted or incor-
component settings and component in- rectly used components. You must no-
stallations on randomly chosen loco- tify us within 2 working days of a de-
motives in an engine family. termination of an engine family audit
(a) You must ensure that all emission failure.
related components are properly in- (g) Within 45 calendar days of the end
stalled on the locomotive and are set of each quarter, the remanufacturer
to the proper specification as indicated must send the Designated Compliance
in your instructions. You may submit Officer a report which includes the fol-
audits performed by the owners/opera- lowing information:
50
(1) The location and description of that auditing of that locomotive is

your audit facilities which were uti- completed.
lized to conduct auditing reported pur- (b) A certificate can be suspended for
suant to this section; an engine family as follows:
(2) Total production and sample size (1) We may suspend the certificate of
for each engine family; conformity for an engine family that is
(3) The applicable standards and/or in noncompliance pursuant to
FELs against which each engine family § 1033.330(b), thirty days after the en-
was audited; gine family is deemed to be in non-
(4) For each audit conducted: compliance.
(i) A description of the audited loco- (2) We may suspend the certificate of
motive, including: conformity for an engine family that is
(A) Configuration and engine family
determined to have failed an audit pur-
identification;
suant to § 1033.335(f). This suspension
(B) Year, make, build date, and re-
will not occur before thirty days after
manufacture date; and
the engine family is deemed to be in
(C) Locomotive and engine identifica-
noncompliance.
tion numbers;
(ii) Any other information we request (c) If we suspend your certificate of
relevant to the determination whether conformity for an engine family, the
the new locomotives being remanufac- suspension may apply to all facilities
tured do in fact conform with the regu- producing engines from an engine fam-
lations with respect to which the cer- ily, even if you find noncompliant en-
tificate of conformity was issued; gines only at one facility.
(5) For each failed locomotive as de- (d) We may revoke a certificate of
fined in paragraph (d) of this section, a conformity for any engine family in
description of the remedy as required whole or in part if:
by § 1033.340(g); (1) You fail to comply with any of the
(6) The following signed statement requirements of this subpart.
and endorsement by your authorized (2) You submit false or incomplete
representative: information in any report or informa-
tion provided to us under this subpart.
We submit this report under sections 208
and 213 of the Clean Air Act. Our production- (3) You render inaccurate any test
line auditing conformed completely with the data submitted under this subpart.
requirements of 40 CFR part 1033. We have (4) An EPA enforcement officer is de-
not changed production processes or quality- nied the opportunity to conduct activi-
control procedures for the audited loco- ties authorized in this subpart.
motives in a way that might affect emission
(5) An EPA enforcement officer is un-
controls. All the information in this report
is true and accurate to the best of my knowl- able to conduct authorized activities
edge. I know of the penalties for violating for any reason.
the Clean Air Act and the regulations. (Au- (e) We will notify you in writing of
thorized Company Representative) any suspension or revocation of a cer-
[73 FR 37197, June 30, 2008, as amended at 73 tificate of conformity in whole or in
FR 59190, Oct. 8, 2008] part; a suspension or revocation is ef-
fective upon receipt of such notifica-
§ 1033.340 Suspension and revocation tion or thirty days from the time a lo-
of certificates of conformity. comotive or engine family is deemed to
(a) A certificate can be suspended for be in noncompliance under
an individual locomotive as follows: §§ 1033.320(d), 1033.330(a), 1033.330(b), or
(1) The certificate of conformity is 1033.335(f) is made, whichever is earlier,
automatically suspended for any loco- except that the certificate is imme-
motive that fails a production line test diately suspended with respect to any
pursuant to § 1033.330(a), effective from failed locomotives as provided for in
the time the testing of that locomotive paragraph (a) of this section.
is completed. (f) We may revoke a certificate of
(2) The certificate of conformity is conformity for an engine family when
automatically suspended for any loco- the certificate has been suspended
motive that fails an audit pursuant to under paragraph (b) or (c) of this sec-
§ 1033.335(d), effective from the time tion if the remedy is one requiring a
51
§ 1033.340 40 CFR Ch. I (7–1–21 Edition)
design change or changes to the loco- have not revoked the certificate under
motive, engine and/or emission control paragraph (f) of this section.
system as described in the application (i) If the certificate has been revoked
for certification of the affected engine for an engine family, you must take
family. the following actions before we will
(g) Once a certificate has been sus- issue a certificate that would allow you
pended for a failed locomotive, as pro- to continue introduction into com-
vided for in paragraph (a) of this sec- merce of a modified version of that
tion, you must take all the following family:
actions before the certificate is rein- (1) If we determine that the change(s)
stated for that failed locomotive: in locomotive design may have an ef-
(1) Remedy the nonconformity. fect on emission deterioration, we will
(2) Demonstrate that the locomotive notify you within five working days
conforms to applicable standards or after receipt of the report in paragraph
family emission limits by retesting, or (h) of this section, whether subsequent
reauditing if applicable, the locomotive testing/auditing under this subpart will
in accordance with this part. be sufficient to evaluate the change(s)
or whether additional testing (or audit-
(3) Submit a written report to us
ing) will be required.
after successful completion of testing
(2) After implementing the change or
(or auditing, if applicable) on the failed
changes intended to remedy the non-
locomotive, which contains a descrip-
conformity, you must demonstrate
tion of the remedy and testing (or au-
that the modified engine family does in
diting) results for each locomotive in
fact conform with the regulations of
addition to other information that may this part by testing locomotives (or au-
be required by this part. diting for remanufactured locomotives)
(h) Once a certificate for a failed en- selected from normal production runs
gine family has been suspended pursu- of that engine family. When both of
ant to paragraph (b) or (c) of this sec- these requirements are met, we will re-
tion, you must take the following ac- issue the certificate or issue a new cer-
tions before we will consider rein- tificate. If this subsequent testing (or
stating the certificate: auditing) reveals failing data the rev-
(1) Submit a written report to us ocation remains in effect.
identifying the reason for the non- (j) At any time subsequent to an ini-
compliance of the locomotives, describ- tial suspension of a certificate of con-
ing the remedy, including a description formity for a test or audit locomotive
of any quality control measures you pursuant to paragraph (a) of this sec-
will use to prevent future occurrences tion, but not later than 30 days (or
of the problem, and stating the date on such other period as may we allow)
which the remedies will be imple- after the notification our decision to
mented. suspend or revoke a certificate of con-
(2) Demonstrate that the engine fam- formity in whole or in part pursuant to
ily for which the certificate of con- this section, you may request a hearing
formity has been suspended does in fact as to whether the tests or audits have
comply with the regulations of this been properly conducted or any sam-
part by testing (or auditing) loco- pling methods have been properly ap-
motives selected from normal produc- plied. (See § 1033.920.)
tion runs of that engine family. Such (k) Any suspension of a certificate of
testing (or auditing) must comply with conformity under paragraphs (a)
the provisions of this subpart. If you through (d) of this section will be made
elect to continue testing (or auditing) only after you have been offered an op-
individual locomotives after suspen- portunity for a hearing conducted in
sion of a certificate, the certificate is accordance with § 1033.920. It will not
reinstated for any locomotive actually apply to locomotives no longer in your
determined to be in conformance with possession.
the applicable standards or family (l) If we suspend, revoke, or void a
emission limits through testing (or au- certificate of conformity, and you be-
diting) in accordance with the applica- lieve that our decision was based on er-
ble test procedures, provided that we roneous information, you may ask us
52
to reconsider our decision before re- specified in § 1033.415. We will use these
questing a hearing. If you demonstrate data, and any other data available to
to our satisfaction that our decision us, to determine the compliance status
was based on erroneous information, of classes of locomotives, including for
we will reinstate the certificate. purposes of recall under 40 CFR part
(m) We may conditionally reinstate 1068, and whether remedial action is
the certificate for that family so that appropriate.
you do not have to store non-test loco-
motives while conducting subsequent § 1033.410 In-use test procedure.
testing or auditing of the noncom- (a) You must test the complete loco-
plying family subject to the following motives; you may not test engines that
condition: you must commit to recall are not installed in locomotives at the
all locomotives of that family produced time of testing.
from the time the certificate is condi- (b) Test the locomotive according to
tionally reinstated if the family fails the test procedures outlined in subpart
subsequent testing, or auditing if appli- F of this part, except as provided in
cable, and must commit to remedy any this section.
nonconformity at no expense to the (c) Use the same test procedures for
owner. in-use testing as were used for certifi-
cation, except for cases in which cer-
Subpart E—In-use Testing tification testing was not conducted
with a locomotive, but with a develop-
§ 1033.401 Applicability. ment engine or other engine. In such
The requirements of this subpart are cases, we will specify deviations from
applicable to certificate holders for lo- the certification test procedures as ap-
comotives subject to the provisions of propriate. We may allow or require
this part. These requirements may also other alternate procedures, with ad-
be applied to other manufacturers/re- vance approval.
manufacturers as specified in (d) Set all adjustable locomotive or
§ 1033.1(d). engine parameters to values or posi-
tions that are within the range speci-
§ 1033.405 General provisions. fied in the certificate of conformity.
(a) Each year, we will identify engine We may require you to set these pa-
families and configurations within rameters to specific values.
families that you must test according (e) We may waive a portion of the ap-
to the requirements of this section. plicable test procedure that is not nec-
(1) We may require you to test one essary to determine in-use compliance.
engine family each year for which you
have received a certificate of con- § 1033.415 General testing require-
formity. If you are a manufacturer ments.
that holds certificates of conformity (a) Number of locomotives to be tested.
for both freshly manufactured and re- Determine the number of locomotives
manufactured locomotive engine fami- to be tested by the following method:
lies, we may require you to test one (1) Test a minimum of 2 locomotives
freshly manufactured engine family per engine family, except as provided
and one remanufactured engine family. in paragraph (a)(2) of this section. You
We may require you to test additional must test additional locomotives if any
engine families if we have reason to be- locomotives fail to meet any standard.
lieve that locomotives in such families Test 2 more locomotives for each fail-
do not comply with emission standards ing locomotive, but stop testing if the
in use. total number of locomotives tested
(2) For engine families of less than 10 equals 10.
locomotives per year, no in-use testing (2) If an engine family has been cer-
will be required, unless we have reason tified using carryover emission data
to believe that those engine families from a family that has been previously
are not complying with the applicable tested under paragraph (a)(1) of this
emission standards in use. section (and we have not ordered or
(b) Test a sample of in-use loco- begun to negotiate remedial action of

motives from an engine family, as that family), you need to test only one
53
§ 1033.420 40 CFR Ch. I (7–1–21 Edition)
locomotive per engine family. If that (c) If the locomotive selected for
locomotive fails to meet applicable testing is equipped with emission
standards for any pollutant, testing for diagnostics meeting the requirements
that engine family must be conducted in § 1033.110 and the MIL is illuminated,
as outlined under paragraph (a)(1) of you may read the code and repair the
this section. malfunction according to your emis-
(3) You may ask us to allow you to sion-related maintenance instructions,
test more locomotives than the min- but only to the degree that an owner/
imum number described above or you operator would be required to repair
may concede failure before testing 10 the malfunction under § 1033.815.
locomotives. (d) Results of at least one valid set of
(b) Compliance criteria. We will con- emission tests using the test procedure
sider failure rates, average emission described in subpart F of this part is
levels and the existence of any defects required for each in-use locomotive.
among other factors in determining (e) If in-use testing results show that
whether to pursue remedial action. We an in-use locomotive fails to comply
may order a recall pursuant to 40 CFR with any applicable emission stand-
part 1068 before testing reaches the ards, you must determine the reason
tenth locomotive. for noncompliance and report your
(c) Collection of in-use locomotives. findings in the quarterly in-use test re-
sult report described in § 1033.425.
Procure in-use locomotives that have
been operated for 50 to 75 percent of the § 1033.425 In-use test program report-
locomotive’s useful life for testing ing requirements.
under this subpart. Complete testing
(a) Within 90 days of completion of
required by this section for any engine
testing, send us all emission test re-
family before useful life of the loco-
sults generated from the in-use testing
motives in the engine family passes.
program. Report all of the following in-
(NOTE: § 1033.820 specifies that railroads
formation for each locomotive tested:
must make reasonable efforts to enable
(1) Engine family, and configuration.
you to perform this testing.)
(2) Locomotive and engine models.
§ 1033.420 Maintenance, procurement (3) Locomotive and engine serial
and testing of in-use locomotives. numbers.
(4) Date of manufacture or remanu-
(a) A test locomotive must have a facture, as applicable.
maintenance history that is represent- (5) Megawatt-hours of use (or miles,
ative of actual in-use conditions, and as applicable).
identical or equivalent to your rec- (6) Date and time of each test at-
ommended emission-related mainte- tempt.
nance requirements. (7) Results of all emission testing.
(1) When procuring locomotives for (8) Results (if any) of each voided or
in-use testing, ask the end users about failed test attempt.
the accumulated usage, maintenance, (9) Summary of all maintenance and/
operating conditions, and storage of or adjustments performed.
the test locomotives. (10) Summary of all modifications
(2) Your selection of test locomotives and/or repairs.
is subject to our approval. Maintain (11) Determinations of noncompli-
the information you used to procure lo- ance.
comotives for in-use testing in the (12) The following signed statement
same manner as is required in § 1033.250. and endorsement by an authorized rep-
(b) You may perform minimal set-to- resentative of your company.
spec maintenance on a test locomotive We submit this report under sections
before conducting in-use testing. Main- 208 and 213 of the Clean Air Act. Our in-
tenance may include only that which is use testing conformed completely with
listed in the owner’s instructions for the requirements of 40 CFR part 1033.
locomotives with the amount of service All the information in this report is
and age of the acquired test loco- true and accurate to the best of my
motive. Maintain documentation of all knowledge. I know of the penalties for

maintenance and adjustments. violating the Clean Air Act and the
54
regulations. (Authorized Company Rep- (3) The following provisions apply for
resentative) engine mapping, duty-cycle generation,
(b) Report to us within 90 days of and cycle validation to account for the
completion of testing the following in- fact that locomotive operation and lo-
formation for each engine family test- comotive duty cycles are based on op-
ed: erator demand from locomotive notch
(1) The serial numbers of all loco- settings, not on target values for en-
motive that were excluded from the gine speed and load:
test sample because they did not meet (i) The provisions related to engine
the maintenance requirements of mapping, duty-cycle generation, and
§ 1033.420. cycle validation in 40 CFR 1065.510,
(2) The owner of each locomotive 1065.512, and 1065.514 do not apply for
identified in paragraph (b)(1) of this testing complete locomotives.
section (or other entity responsible for (ii) The provisions related to engine
the maintenance of the locomotive). mapping and duty-cycle generation in
(3) The specific reasons why the loco- 40 CFR 1065.510 and 1065.512 are not re-
motives were excluded from the test quired for testing with an engine dyna-
sample. mometer; however, the cycle valida-
(c) Submit the information outlined tion criteria of 40 CFR 1065.514 apply
in paragraphs (a) and (b) of this section for such testing. Demonstrate compli-
electronically using an approved for- ance with cycle validation criteria
mat. We may exempt you from this re- based on manufacturer-declared values
quirement upon written request with for maximum torque, maximum power,
supporting justification. and maximum test speed, or determine
(d) Send all testing reports and re- these values from an engine map gen-
quests for approvals to the Designated erated according to 40 CFR 1065.510. If
Compliance Officer. you test using a ramped-modal cycle,
you may perform cycle validation over
Subpart F—Test Procedures all the test intervals together.
(4) If you perform discrete-mode test-
§ 1033.501 General provisions. ing and use only one batch fuel meas-
(a) Except as specified in this sub- urement to determine your mean raw
part, use the equipment and procedures exhaust flow rate, you must target a
for compression-ignition engines in 40 constant sample flow rate over the
CFR part 1065 to determine whether mode. Verify proportional sampling as
your locomotives meet the duty-cycle described in 40 CFR 1065.545 using the
emission standards in § 1033.101. Use the mean raw exhaust molar flow rate
applicable duty cycles specified in this paired with each recorded sample flow
subpart. Measure emissions of all the rate.
pollutants we regulate in § 1033.101 plus (5) If you perform discrete-mode test-
CO2. Measure N2O, and CH4 as described ing by grouping the modes in the same
in § 1033.235. The general test procedure manner as the test intervals of the
is the procedure specified in 40 CFR ramped modal cycle using three dif-
part 1065 for steady-state discrete-mode ferent dilution settings for the groups,
cycles. However, if you use the op- as allowed in § 1033.515(c)(5)(ii), you
tional ramped modal cycle in § 1033.520, may verify proportional sampling over
follow the procedures for ramped each group instead of each discrete
modal testing in 40 CFR part 1065. The mode.
following exceptions from the 1065 pro- (b) You may use special or alternate
cedures apply: procedures to the extent we allow as
(1) You must average power and them under 40 CFR 1065.10. In some
emissions over the sampling periods cases, we allow you to use procedures
specified in this subpart for both dis- that are less precise or less accurate
crete-mode testing and ramped modal than the specified procedures if they do
testing. not affect your ability to show that
(2) The test cycle is considered to be your locomotives comply with the ap-
steady-state with respect to operator plicable emission standards. This gen-
demand rather than engine speed and erally requires emission levels to be far
load. enough below the applicable emission
55
§ 1033.505 40 CFR Ch. I (7–1–21 Edition)
standards so that any errors caused by (3) For service accumulation, use the
greater imprecision or inaccuracy do test fuel or any commercially available
not affect your ability to state uncon- fuel that is representative of the fuel
ditionally that the locomotives meet that in-use locomotives will use.
all applicable emission standards. (f) See § 1033.505 for information
(c) This part allows (with certain about allowable ambient testing condi-
limits) testing of either a complete lo- tions for testing.
comotive or a separate uninstalled en- (g) This subpart is addressed to you
gine. When testing a locomotive, you as a manufacturer/remanufacturer, but
must test the complete locomotive in it applies equally to anyone who does
its in-use configuration, except that testing for you, and to us when we per-
you may disconnect the power output form testing to determine if your loco-
and fuel input for the purpose of test- motives meet emission standards.
ing. To calculate power from measured (h) We may also perform other test-
alternator/generator output, use an al- ing as allowed by the Clean Air Act.
ternator/generator efficiency curve (i) For passenger locomotives that
that varies with speed/load, consistent can generate hotel power from the
with good engineering judgment. main propulsion engine, the loco-
(d) Unless smoke standards do not motive must comply with the emission
apply for your locomotives or the test- standards when in non-hotel setting.
ing requirement is waived, measure For hotel mode, the locomotive is sub-
smoke emissions using the procedures ject to the notch cap provisions of
in § 1033.525. § 1033.101 and the defeat device prohibi-
(e) Use the applicable fuel listed in 40 tion of § 1033.115.
CFR part 1065, subpart H, to perform (j) The following provisions apply for
valid tests. locomotives using aftertreatment tech-
(1) For diesel-fueled locomotives, use nology with infrequent regeneration
the appropriate diesel fuel specified in events that may occur during testing:
40 CFR part 1065, subpart H, for emis- (1) Adjust measured emissions to ac-
sion testing. The applicable diesel test count for aftertreatment technology
fuel is either the ultra low-sulfur diesel with infrequent regeneration as de-
or low-sulfur diesel fuel, as specified in scribed in § 1033.535.
§ 1033.101. Identify the test fuel in your (2) Invalidate a smoke test if active
application for certification and ensure regeneration starts to occur during the
that the fuel inlet label is consistent test.
with your selection of the test fuel (see
§§ 1033.101 and 1033.135). [73 FR 37197, June 30, 2008, as amended at 74
(2) You may ask to use as a test fuel FR 56508, Oct. 30, 2008; 75 FR 22984, Apr. 30,
commercially available diesel fuel 2010; 81 FR 74006, Oct. 25, 2016]
similar but not identical to the appli-
§ 1033.505 Ambient conditions.
cable fuel specified in 40 CFR part 1065,
subpart H; we will approve your re- This section specifies the allowable
quest if you show us that it does not af- ambient conditions (including tem-
fect your ability to demonstrate com- perature and pressure) under which
pliance with the applicable emission testing may be performed to determine
standards. If your locomotive uses sul- compliance with the emission stand-
fur-sensitive technology, you may not ards of § 1068.101. Manufacturers/re-
use an in-use fuel that has a lower sul- manufacturers may ask to perform
fur content than the range specified for testing at conditions other than those
the otherwise applicable test fuel in 40 allowed by this section. We will allow
CFR part 1065. If your locomotive does such testing provided it does not affect
not use sulfur-sensitive technology, we your ability to demonstrate compli-
may allow you to use an in-use fuel ance with the applicable standards. See
that has a lower sulfur content than §§ 1033.101 and 1033.115 for more infor-
the range specified for the otherwise mation about the requirements that
applicable test fuel in 40 CFR part 1065, apply at other conditions.
but may require that you correct PM (a) Temperature. (1) Testing may be
emissions to account for the sulfur dif- performed with ambient temperatures
ferences. from 15.5 °C (60 °F) to 40.5 °C (105 °F).
56
Do not correct emissions for tempera- passes through the optical unit or
ture effects within this range. through the sample probe.
(2) It is presumed that combustion [73 FR 37197, June 30, 2008, as amended at 75
air will be drawn from the ambient air. FR 22984, Apr. 30, 2010]
Thus, the ambient temperature limits
of this paragraph (a) apply for intake § 1033.510 Auxiliary power units.
air upstream of the engine. If you do If your locomotive is equipped with
not draw combustion air from the am- an auxiliary power unit (APU) that op-
bient air, use good engineering judg- erates during an idle shutdown mode,
ment to ensure that any temperature you must account for the APU’s emis-
difference (between the ambient air sions rates as specified in this section,
and combustion air) does not cause the unless the APU is part of an AESS sys-
emission measurement to be unrepre- tem that was certified separately from
sentative of in-use emissions. the rest of the locomotive. This section
(3) If we allow you to perform testing does not apply for auxiliary engines
at ambient temperatures below 15.5 °C, that only provide hotel power.
you must correct NOX emissions for (a) Adjust the locomotive main en-
temperature effects, consistent with gine’s idle emission rate (g/hr) as speci-
good engineering judgment. For exam- fied in § 1033.530. Add the APU emission
ple, if the intake air temperature (at rate (g/hr) that you determine under
the manifold) is lower at the test tem- paragraph (b) of this section. Use the
perature than it would be for equiva- locomotive main engine’s idle power as
lent operation at an ambient tempera- specified in § 1033.530.
ture of 15.5 °C, you generally will need (b) Determine the representative
to adjust your measured NOX emissions emission rate for the APU using one of
to account for the effect of the lower the following methods.
intake air temperature. However, if (1) Installed APU tested separately. If
you maintain a constant manifold air you separately measure emission rates
temperature, you will generally not (g/hr) for each pollutant from the APU
need to correct emissions. installed in the locomotive, you may
use the measured emissions rates (g/hr)
(b) Altitude/pressure. Testing may be
as the locomotive’s idle emissions
performed with ambient pressures from
rates when the locomotive is shutdown
88.000 kPa (26.0 in Hg) to 103.325 kPa and the APU is operating. For all test-
(30.5 in Hg). This is intended to cor- ing other than in-use testing, apply ap-
respond to altitudes up to 4000 feet propriate deterioration factors to the
above sea level. Do not correct emis- measured emission rates. You may ask
sions for pressure effects within this to carryover APU emission data for a
range. previous test, or use data for the same
(c) Humidity. Testing may be per- APU installed on locomotives in an-
formed with any ambient humidity other engine family.
level. Correct NOX emissions as speci- (2) Uninstalled APU tested separately.
fied in 40 CFR 1065.670. Do not correct If you separately measure emission
any other emissions for humidity ef- rates (g/hr) over an appropriate duty-
fects. cycle for each pollutant from the APU
(d) Wind. If you test outdoors, use when it is not installed in the loco-
good engineering judgment to ensure motive, you may use the measured
that excessive wind does not affect emissions rates (g/hr) as the loco-
your emission measurements. Winds motive’s idle emissions rates when the
are excessive if they disturb the size, locomotive is shutdown and the APU is
shape, or location of the exhaust plume operating. For the purpose of this para-
in the region where exhaust samples graph (b)(2), an appropriate duty-cycle
are drawn or where the smoke plume is is one that approximates the APU en-
measured, or otherwise cause any dilu- gine’s cycle-weighted power when oper-
tion of the exhaust. Tests may be con- ating in the locomotive. Apply appro-
ducted if wind shielding is placed adja- priate deterioration factors to the
cent to the exhaust plume to prevent measured emission rates. You may ask
bending, dispersion, or any other dis- to carryover APU emission data for a
tortion of the exhaust plume as it previous test, or use data for the same
57
§ 1033.515 40 CFR Ch. I (7–1–21 Edition)
APU installed on locomotives in an- (b) Begin the test by operating the
other engine family. locomotive over the pre-test portion of
(3) APU engine certification data. If the the cycle specified in Table 1 to this
engine used for the APU has been cer- section. For locomotives not equipped
tified to EPA emission standards you with catalysts, you may begin the test
may calculate the APU’s emissions as soon as the engine reaches its lowest
based upon existing EPA-certification idle setting. For catalyst-equipped lo-
information about the APU’s engine. In comotives, you may begin the test in
this case, calculate the APU’s emis- normal idle mode if the engine does not
sions as follows: reach its lowest idle setting within 15
(i) For each pollutant determine the minutes. If you do start in normal idle,
brake-specific standard/FEL to which run the low idle mode after normal
the APU engine was originally EPA- idle, then resume the specified mode
certified. sequence (without repeating the nor-
(ii) Determine the APU engine’s mal idle mode).
cycle-weighted power when operating (c) Measure emissions during the rest
in the locomotive. of the test cycle.
(iii) Multiply each of the APU’s ap- (1) Each test mode begins when the
plicable brake-specific standards/FELs operator demand to the locomotive or
by the APU engine’s cycle-weighted engine is set to the applicable notch
power. The results are the APU’s emis- setting.
sions rates (in g/hr). (2) Start measuring gaseous emis-
(iv) Use these emissions rates as the sions, power, and fuel consumption at
locomotive’s idle emissions rates when the start of the test mode A and con-
the locomotive is shutdown and the tinue until the completion of test mode
APU is running. Do not apply a dete- 8. You may zero and span analyzers be-
rioration factor to these values. tween modes (or take other actions
(4) Other. You may ask us to approve consistent with good engineering judg-
an alternative means to account for ment).
APU emissions. (i) The sample period over which
[73 FR 37197, June 30, 2008, as amended at 73 emissions for the mode are averaged
FR 59190, Oct. 8, 2008] generally begins when the operator de-
mand is changed to start the test mode
§ 1033.515 Discrete-mode steady-state and ends within 5 seconds of the min-
emission tests of locomotives and imum sampling time for the test mode
locomotive engines. is reached. However, you need to shift
This section describes how to test lo- the sampling period to account for
comotives at each notch setting so sample system residence times. Follow
that emissions can be weighted accord- the provisions of 40 CFR 1065.308 and
ing to either the line-haul duty cycle 1065.309 to time align emission and
or the switch duty cycle. The loco- work measurements.
motive test cycle consists of a warm-up (ii) The sample period is 300 seconds
followed by a sequence of nominally for all test modes except mode 8. The
steady-state discrete test modes, as de- sample period for test mode 8 is 600 sec-
scribed in Table 1 to this section. The onds.
test modes are steady-state with re- (3) If gaseous emissions are sampled
spect to operator demand, which is the using a batch-sampling method, begin
notch setting for the locomotive. En- proportional sampling at the beginning
gine speeds and loads are not nec- of each sampling period and terminate
essarily steady-state. sampling once the minimum time in
(a) Follow the provisions of 40 CFR each test mode is reached, ±5 seconds.
part 1065, subpart F for general pre-test (4) If applicable, begin the smoke test
procedures (including engine and sam- at the start of the test mode A. Con-
pling system pre-conditioning which is tinue collecting smoke data until the
included as engine warm-up). You may completion of test mode 8. You may
operate the engine in any way you perform smoke measurements inde-
choose to warm it up prior to begin- pendent of criteria pollutant measure-
ning the sample preconditioning speci- ments by repeating the test over the
fied in 40 CFR part 1065. duty cycle. If you choose this option,
58
the minimum time-in-notch is 3.0 min- one for dynamic brake through Notch
utes for duty cycles in which only 5, and one for Notch 6 through Notch 8.
smoke is measured. Refer to § 1033.101 For each group, ensure that the mode
to determine applicability of smoke with the highest exhaust flow (typi-
testing and § 1033.525 for details on how cally normal idle, Notch 5, and Notch
to conduct a smoke test. 8) meets the criteria for minimum dilu-
(5) Begin proportional sampling of tion ratio in 40 CFR part 1065.
PM emissions at the beginning of each (6) Proceed through each test mode
sampling period and terminate sam- in the order specified in Table 1 to this
pling within ±5 seconds of the specified section until the locomotive test cycle
time in each test mode. If the PM sam- is completed.
ple is not sufficiently large, take one of (7) At the end of each numbered test
the following actions consistent with mode, you may continue to operate
good engineering judgment: sampling and dilution systems to allow
(i) Extend the sampling period up to corrections for the sampling system’s
a maximum of 15 minutes. response time.
(ii) Group the modes in the same (8) Following the completion of Mode
manner as the test intervals of the 8, conduct the post sampling proce-
ramped modal cycle and use three dif- dures in § 1065.530. Note that cycle vali-
ferent dilution settings for the groups. dation criteria do not apply to testing
Use one setting for both idle modes, of complete locomotives.
TABLE 1 TO § 1033.515—LOCOMOTIVE TEST CYCLE
Time in mode Sample averaging
Test mode Notch setting (minutes) 1 period for 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 ap- time limits for each of the numbered
proaches for sampling PM emissions modes in Table 1 to this section.
during discrete-mode steady-state test- (2) Engines certified to a PM standard/
ing: FEL below 0.05 g/bhp-hr. (i) You may use
(1) Engines certified to a PM standard/ separate PM filter samples for each
FEL at or above 0.05 g/bhp-hr. Use a sep- test mode as described in paragraph
arate PM filter sample for each test (d)(1) of this section; however, we rec-
mode of the locomotive test cycle ac- ommend that you do not. The low rate
cording to the procedures specified in of sample filter loading will result in
paragraph (a) through (c) of this sec- very long sampling times and the large
tion. You may ask to use a shorter number of filter samples may induce
sampling period if the total mass ex- uncertainty stack-up that will lead to
pected to be collected would cause un- unacceptable PM measurement accu-
acceptably high pressure drop across racy. Instead, we recommend that you
the filter before reaching the end of the measure PM emissions as specified in
required sampling time. We will not paragraph (d)(2)(ii) of this section.
allow sampling times shorter than 60 (ii) You may use a single PM filter
seconds. When we conduct locomotive for sampling PM over all of the test
emission tests, we will adhere to the modes of the locomotive test cycle as
59
§ 1033.520 40 CFR Ch. I (7–1–21 Edition)
specified in this paragraph (d)(2). Vary motive under similar ambient condi-
the sample time to be proportional to tions.
the applicable line-haul or switch (3) Proceed as specified in paragraphs
weighting factors specified in § 1033.530 (a) through (d) of this section for test-
for each mode. The minimum sampling ing complete locomotives.
time for each mode is 400 seconds mul-
tiplied by the weighting factor. For ex- FR 59190, Oct. 8, 2008; 74 FR 8424, Feb. 24, 2009;
ample, for a mode with a weighting fac- 75 FR 22985, Apr. 30, 2010; 81 FR 74006, Oct. 25,
tor of 0.030, the minimum sampling 2016]
time is 12.0 seconds. PM sampling in
each mode must be proportional to en- § 1033.520 Alternative ramped modal
gine exhaust flow as specified in 40 cycles.
CFR part 1065. Begin proportional sam- (a) Locomotive testing over a ramped
pling of PM emissions at the beginning modal cycle is intended to improve
of each test mode as is specified in measurement accuracy at low emission
paragraph (c) of this section. End the levels by allowing the use of batch
sampling period for each test mode so sampling of PM and gaseous emissions
that sampling times are proportional over multiple locomotive notch set-
to the weighting factors for the appli- tings. Ramped modal cycles combine
cable duty cycles. If necessary, you multiple test modes of a discrete-mode
may extend the time limit for each of steady-state into a single sample pe-
the test modes beyond the sampling riod. Time in notch is varied to be pro-
times in Table 1 to this section to in- portional to weighting factors. The
crease the sampled mass of PM emis- ramped modal cycle for line-haul loco-
sions or to account for proper motives is shown in Table 1 to this sec-
weighting of the PM emission sample tion. The ramped modal cycle for
over the entire cycle, using good engi- switch locomotives is shown in Table 2
neering judgment. to this section. Both ramped modal cy-
(e) This paragraph (e) describes how cles consist of a warm-up followed by
to test locomotive engines when not in- three test intervals that are each
stalled in a locomotive. Note that the weighted in a manner that maintains
test procedures for dynamometer en- the duty-cycle weighting of the line-
gine testing of locomotive engines are haul and switch locomotive duty cycles
intended to produce emission measure- in § 1033.530. You may use ramped
ments that are the same as emission modal cycle testing for any loco-
measurements produced during testing motives certified under this part.
of complete locomotives using the (b) Ramped modal testing requires
same engine configuration. The fol- continuous gaseous analyzers and three
lowing requirements apply for all en- separate PM filters (one for each test
gine tests: interval). You may collect a single
(1) Specify a second-by-second set of batch sample for each test interval, but
engine speed and load points that are you must also measure gaseous emis-
representative of in-use locomotive op- sions continuously to allow calculation
eration for each of the set-points of the of notch caps as required under
locomotive test cycle described in § 1033.101.
Table 1 to this section, including tran- (c) You may operate the engine in
sitions from one notch to the next. any way you choose to warm it up.
This is your reference cycle for vali- Then follow the provisions of 40 CFR
dating your cycle. You may ignore part 1065, subpart F for general pre-test
points between the end of the sampling procedures (including engine and sam-
period for one mode and the point at pling system pre-conditioning).
which you change the notch setting to (d) Begin the test by operating the
begin the next mode. locomotive over the pre-test portion of
(2) Keep the temperature of the air the cycle. For locomotives not
entering the engine after any charge equipped with catalysts, you may begin
air cooling to within 5 °C of the typical the test as soon as the engine reaches
intake manifold air temperature when its lowest idle setting. For catalyst-
the engine is operated in the loco- equipped locomotives, you may begin
60
the test in normal idle mode if the en- (C) Begin batch sampling for Interval
gine does not reach its lowest idle set- 3 one second after switching to Notch
ting within 15 minutes. If you do start 6.
in normal idle, run the low idle mode (4) If applicable, begin the smoke test
after normal idle, then resume the at the start of the first test interval of
specified mode sequence (without re- the applicable ramped modal cycle.
peating the normal idle mode). Continue collecting smoke data until
(e) Start the test according to 40 CFR the completion of final test interval.
1065.530. You may perform smoke measurements
(1) Each test interval begins when op- independent of criteria pollutant meas-
erator demand is set to the first oper- urements by rerunning the test over
ator demand setting of each test inter- the duty cycle. If you choose this op-
val of the ramped modal cycle. Each tion, the minimum time-in-notch is 3.0
test interval ends when the time in minutes for duty cycles in which only
mode is reached for the last mode in smoke is measured. Refer to § 1033.101
the test interval. to determine applicability of the
(2) For PM emissions (and other smoke standards and § 1033.525 for de-
batch sampling), the sample period tails on how to conduct a smoke test.
over which emissions for the test inter- (5) Proceed through each test inter-
val are averaged generally begins with- val of the applicable ramped modal
in 10 seconds after the operator demand cycle in the order specified until the
is changed to start the test interval test is completed.
and ends within 5 seconds of the sam- (6) If you must void a test interval,
pling time for the test mode is reached you may repeat it. To do so, begin with
(see Table 1 to this section). You may a warm engine operating at the notch
ask to delay the start of the sample pe- setting for the last mode in the pre-
riod to account for sample system resi- vious test interval. You do not need to
dence times longer than 10 seconds. repeat later test intervals if they were
(3) Use good engineering judgment valid. (NOTE: You must report test re-
when transitioning between test inter- sults for all voided tests and test inter-
vals. vals.)
(i) You should come as close as pos- (7) Following the completion of the
sible to simultaneously: third test interval of the applicable
ramped modal cycle, conduct the post-
(A) Ending batch sampling of the pre-
test sampling procedures specified in 40
vious test interval.
CFR 1065.530.
(B) Starting batch sampling of the
(f) Calculate your cycle-weighted
next test interval.
brake-specific emission rates as fol-
(C) Changing the operator demand to lows:
the notch setting for the first mode in (1) For each test interval j:
the next test interval. (i) Calculate emission rates (Eij) for
(ii) Avoid the following: each pollutant i as the total mass
(A) Overlapping batch sampling of emissions divided by the total time in
the two test intervals. the test interval.
(B) An unnecessarily long delay be- (ii) Calculate average power (Pj) as
fore starting the next test interval. the total work divided by the total
(iii) For example, the following se- time in the test interval.
quence would generally be appropriate: (2) For each pollutant, calculate your
(A) End batch sampling for Interval 2 cycle-weighted brake-specific emission
after 304 seconds in Notch 5. rate using the following equation,
(B) Switch the operator demand to where wj is the weighting factor for
Notch 6 one second later. test interval j:
61
ER25OC16.047</GPH>
§ 1033.525 40 CFR Ch. I (7–1–21 Edition)
(g) The following tables define appli-

cable ramped modal cycles for line-
haul and switch locomotives:
TABLE 1 TO § 1033.520—LINE-HAUL LOCOMOTIVE RAMPED MODAL CYCLE
Weighting Time in mode
RMC test interval RMC mode Notch setting
factor (seconds)
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 § 1033.520—SWITCH LOCOMOTIVE RAMPED MODAL CYCLE

Weighting Time in mode
RMC test interval RMC mode Notch setting
factor (seconds)
Pre-test idle ....................................... NA NA 600 to 900 Lowest idle setting.1

Interval 1 (Idle test) ........................... 0.598 A 600 Low Idle.2
B 600 Normal Idle.
Interval Transition
Interval 2 ............................................ 0.377 1 868 Notch 1.

2 861 Notch 2.
3 406 Notch 3.
4 252 Notch 4.
5 252 Notch 5.
Interval Transition
Interval 3 ............................................ 0.025 6 1080 Notch 6.

7 144 Notch 7.
8 576 Notch 8.
1 See paragraph (d) of this section for alternate pre-test provisions.
2 Operate at normal idle for modes A and B if not equipped with multiple idle settings.
[81 FR 74007, Oct. 25, 2016] light beam must be at right angles to
the axis of the plume. Align the light
§ 1033.525 Smoke testing. beam to go through the plume along
This section describes the equipment the hydraulic diameter (defined in
and procedures for testing for smoke 1065.1001) of the exhaust stack. Where
emissions when is required. it is difficult to align the beam to have
(a) This section specifies how to a path length equal to the hydraulic di-
measure smoke emissions using a full- ameter (such as a long narrow rectan-
flow, open path light extinction gular duct), you may align the beam to
smokemeter. A light extinction meter have a different path length and cor-
consists of a built-in light beam that rect it to be equivalent to a path
traverses the exhaust smoke plume length equal to the hydraulic diameter.
that issues from exhaust the duct. The The light extinction meter must meet
62
the requirements of paragraph (b) of (b) All smokemeters must meet the
this section and the following require- following specifications:
ments: (1) A full-scale deflection response
(1) Use an incandescent light source time of 0.5 second or less.
with a color temperature range of (2) You may attenuate signal re-
2800K to 3250K, or a light source with a sponses with frequencies higher than 10
spectral peak between 550 and 570 nano- Hz with a separate low-pass electronic
meters. filter with the following performance
(2) Collimate the light beam to a characteristics:
nominal diameter of 3 centimeters and (i) Three decibel point: 10 Hz.
an angle of divergence within a 6 de- (ii) Insertion loss: 0.0 ±0.5 dB.
gree included angle. (iii) Selectivity: 12 dB down at 40 Hz
(3) Use a photocell or photodiode minimum.
light detector. If the light source is an (iv) Attenuation: 27 dB down at 40 Hz
incandescent lamp, use a detector that minimum.
has a spectral response similar to the (c) Perform the smoke test by con-
photopic curve of the human eye (a tinuously recording smokemeter re-
maximum response in the range of 550 sponse over the entire locomotive test
to 570 nanometers, to less than four cycle in percent opacity to within one
percent of that maximum response percent resolution and also simulta-
below 430 nanometers and above 680 neously record operator demand set
nanometers). point (e.g., notch position). Compare
the recorded opacities to the smoke
(4) Attach a collimating tube to the
standards applicable to your loco-
detector with apertures equal to the
motive.
beam diameter to restrict the viewing
(d) You may use a partial flow sam-
angle of the detector to within a 16 de-
pling smokemeter if you correct for the
gree included angle.
path length of your exhaust plume. If
(5) Amplify the detector signal cor- you use a partial flow sampling meter,
responding to the amount of light. follow the instrument manufacturer’s
(6) You may use an air curtain across installation, calibration, operation,
the light source and detector window and maintenance procedures.
assemblies to minimize deposition of
smoke particles on those surfaces, pro- § 1033.530 Duty cycles and calcula-
vided that it does not measurably af- tions.
fect the opacity of the plume. This section describes how to apply
(7) Minimize distance from the opti- the duty cycle to measured emission
cal centerline to the exhaust outlet; in rates to calculate cycle-weighted aver-
no case may it be more than 3.0 meters. age emission rates.
The maximum allowable distance of (a) Standard duty cycles and calcula-
unducted space upstream of the optical tions. Tables 1 and 2 of this section
centerline is 0.5 meters. Center the full show the duty cycle to use to calculate
flow of the exhaust stream between the cycle-weighted average emission rates
source and detector apertures (or win- for locomotives equipped with two idle
dows and lenses) and on the axis of the settings, eight propulsion notches, and
light beam. at least one dynamic brake notch and
(8) You may use light extinction me- tested using the Locomotive Test
ters employing substantially identical Cycle. Use the appropriate weighting
measurement principles and producing factors for your locomotive application
substantially equivalent results, but and calculate cycle-weighted average
which employ other electronic and op- emissions as specified in 40 CFR part
tical techniques. 1065, subpart G.
63
§ 1033.530 40 CFR Ch. I (7–1–21 Edition)
TABLE 1 TO § 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 weighting
factors (no 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 § 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. for the line-haul cycle. If your loco-
The test procedures generally require motive is equipped with only one idle
you to measure emissions at two idle setting and no dynamic brake, use an
settings and one dynamic brake, as fol- idle weighting factor of 0.505 for the
lows: line-haul cycle.
(1) If your locomotive is equipped (c) Nonstandard notches or no notches.
with two idle settings and one or more If your locomotive is equipped with
dynamic brake settings, measure emis- more or less than 8 propulsion notches,
sions at both idle settings and the recommend an alternate test cycle
worst case dynamic brake setting, and based on the in-use locomotive configu-
weight the emissions as specified in the ration. Unless you have data dem-
applicable table of this section. Where onstrating that your locomotive will
it is not obvious which dynamic brake be operated differently from conven-
setting represents worst case, do one of tional locomotives, recommend
the following: weighting factors that are consistent
(i) You may measure emissions and with the power weightings of the speci-
power at each dynamic brake point and fied duty cycle. For example, the aver-
average them together. age load factor for your recommended
(ii) You may measure emissions and cycle (cycle-weighted power divided by
power at the dynamic brake point with rated power) should be equivalent to
the lowest power. those of conventional locomotives. We
(2) If your locomotive is equipped may also allow the use of the standard
with two idle settings and is not power levels shown in Table 3 to this
equipped with dynamic brake, use a section for nonstandard locomotive

normal idle weighting factor of 0.315 testing subject to our prior approval.
64
This paragraph (c) does not allow ening). Weigh the results to reflect the
gines to be tested without consider- power demand/power-sharing of the in-
ation of the actual notches that will be use configuration for each notch set-
used. ting.
(g) Representative test cycles for freshly
TABLE 3 TO § 1033.530—STANDARD NOTCH manufactured locomotives. As specified
POWER LEVELS EXPRESSED AS A PERCENT- in this paragraph (g), manufacturers
AGE OF RATED POWER may be required to use an alternate
Percent test cycle for freshly manufactured
Tier 3 and later locomotives.
Normal Idle ............................................................ 0.00 (1) If you determine that you are add-
Dynamic Brake ...................................................... 0.00
Notch 1 .................................................................. 4.50 ing design features that will make the
Notch 2 .................................................................. 11.50 expected average in-use duty cycle for
Notch 3 .................................................................. 23.50 any of your freshly manufactured loco-
Notch 4 .................................................................. 35.00
Notch 5 .................................................................. 48.50 motive engine families significantly
Notch 6 .................................................................. 64.00 different from the otherwise applicable
Notch 7 .................................................................. 85.00 test cycle (including weighting fac-
Notch 8 .................................................................. 100.00
tors), you must notify us and rec-
(d) Optional Ramped Modal Cycle Test- ommend an alternate test cycle that
ing. Tables 1 and 2 of § 1033.520 show the represents the expected average in-use
weighting factors to use to calculate duty cycle. You should also obtain pre-
cycle-weighted average emission rates liminary approval before you begin col-
for the applicable locomotive ramped lecting data to support an alternate
modal cycle. Use the weighting factors test cycle. We will specify whether to
for the ramped modal cycle for your lo- use the default duty cycle, your rec-
comotive application and calculate ommended cycle, or a different cycle,
cycle-weighted average emissions as depending on which cycle we believe
specified in 40 CFR part 1065, subpart best represents expected in-use oper-
G. ation.
(e) Automated Start-Stop. For a loco- (2) The provisions of this paragraph
motive equipped with features that (g) apply differently for different types
shut the engine off after prolonged pe- of locomotives, as follows:
riods of idle, multiply the measured (i) For Tier 4 and later line-haul loco-
idle mass emission rate over the idle motives, use the cycle required by
portion of the applicable test cycles by (g)(1) of this section to show compli-
a factor equal to one minus the esti- ance with the line-haul cycle stand-
mated fraction reduction in idling time ards.
that will result in use from the shut- (ii) For Tier 3 and later switch loco-
down feature. Do not apply this factor motives, use the cycle required by
to the weighted idle power. Application (g)(1) of this section to show compli-
of this adjustment is subject to our ap- ance with the switch cycle standards.
proval if the fraction reduction in (iii) For Tier 3 line-haul locomotives,
idling time that is estimated to result if we specify an alternate cycle, use it
from the shutdown feature is greater to show compliance with the line-haul
than 25 percent. This paragraph (e) cycle standards. If you include the lo-
does not apply if the locomotive is (or comotives in the ABT program of sub-
will be) covered by a separate certifi- part H of this part, calculate line-haul
cate for idle control. cycle credits (positive or negative)
(f) Multi-engine locomotives. This para- using the alternate cycle and the line-
graph (f) applies for locomotives using haul cycle standards. Your locomotive
multiple engines where all engines are is deemed to also generate an equal
identical in all material respects. In amount of switch cycle credits.
cases where we allow engine dynamom- (3) For all locomotives certified using
eter testing, you may test a single en- an alternate cycle, include a descrip-
gine consistent with good engineering tion of the cycle in the owners manual
judgment, as long as you test it at the such that the locomotive can be re-
operating points at which the engines manufactured using the same cycle.
will operate when installed in the loco- (4) For example, if your freshly man-
motive (excluding stopping and start- ufactured line-haul locomotives are
65
§ 1033.530 40 CFR Ch. I (7–1–21 Edition)
equipped with load control features (ii) Your estimate must be based on
that modify how the locomotive will in-use operating data, consistent with
operate when it is in a consist, and good engineering judgment. Where we
such features will cause the loco- have previously certified your design
motives to operate differently from the feature under this paragraph (h), we
otherwise applicable line-haul cycle, may require you to update your anal-
we may require you to certify using an ysis based on all new data that are
alternate cycle. available. You must obtain approval
(5) See paragraph (h) of this section before you begin collecting operational
for cycle-changing design features that data for this purpose.
also result in energy savings. (iii) We may allow you to consider
(h) Calculation adjustments for energy- the effects of your design feature sepa-
saving design features. The provisions of rately for different route types, re-
this paragraph (h) apply for loco- gions, or railroads. We may require
motives equipped with new energy-sav- that you certify these different loco-
ing locomotive design features. They motives in different engine families
do not apply for features that only im- and may restrict their use to the speci-
prove the engine’s brake-specific fuel fied applications.
consumption. They also do not apply (iv) Design your test plan so that the
for features that were commonly incor- operation of the locomotives with and
porated in locomotives before 2008. See without is as similar as possible in all
paragraph (h)(6) of this section for pro- material aspects (other than the design
visions related to determining whether feature being evaluated). Correct all
certain features are considered to have data for any relevant differences, con-
been commonly incorporated in loco- sistent with good engineering judg-
motives before 2008. ment.
(1) Manufacturers/remanufacturers (v) Do not include any brake-specific
choosing to adjust emissions under this energy savings in your calculated val-
paragraph (h) must do all of the fol- ues. If it is not possible to exclude such
lowing for certification: effects from your data gathering, you
(i) Describe the energy-saving fea- must correct for these effects, con-
tures in your application for certifi- sistent with good engineering judg-
cation. ment.
(ii) Describe in your installation in- (4) Calculate adjustment factors as
struction and/or maintenance instruc- described in this paragraph (h)(4). If
tions all steps necessary to utilize the the energy savings will apply broadly,
energy-saving features. calculate and apply the adjustment on
(2) If your design feature will also af- a cycle-weighted basis. Otherwise, cal-
fect the locomotives’ duty cycle, you culate and apply the adjustment sepa-
must comply with the requirements of rately for each notch. To apply the ad-
paragraph (g) of this section. justment, multiply the emissions (ei-
ther cycle-weighted or notch-specific,
(3) Calculate the energy savings as
as applicable) by the adjustment. Use
follows:
the lower bound of the 80 percent con-
(i) Estimate the expected mean in- fidence interval of the estimate of the
use fuel consumption rate (on a BTU mean as your estimated energy savings
per ton-mile basis) with and without rate. We may cap your energy savings
the energy saving design feature, con- rate for this paragraph (h)(4) at 80 per-
sistent with the specifications of para- cent of the estimate of the mean. Cal-
graph (h)(4) of this section. The energy culate the emission adjustment factors
savings is the ratio of fuel consumed as:
from a locomotive operating with the
new feature to fuel consumed from a AF = 1.000 ¥ (energy savings rate)
locomotive operating without the fea- (5) We may require you to collect and
ture under identical conditions. In- report data from locomotives we allow
clude an estimate of the 80 percent con- you to certify under this paragraph (h)
fidence interval for your estimate of and to recalculate the adjustment fac-
the mean and other statistical param- tor for future model years based on
eters we specify. such data.
66
(6) Features that are considered to but you may develop separate adjust-
have not been commonly incorporated ment factors for different configura-
in locomotives before 2008 include but tions within an engine family. Use the
are not limited to those identified in adjustment factors from this section
this paragraph (h)(6). for all testing for the engine family.
(i) Electronically controlled pneu- (2) You may use carryover or carry-
matic (ECP) brakes, computerized across data to establish adjustment
throttle management control, and ad- factors for an engine family as de-
vanced hybrid technology were not scribed in § 1033.235, consistent with
commonly incorporated in locomotives good engineering judgment.
before 2008. Manufacturers may claim (3) Determine the frequency of regen-
full credit for energy savings that re- eration, F, as described in 40 CFR
sult from applying these features to 1065.680 from in-use operating data or
freshly manufactured and/or remanu- from running repetitive tests in a lab-
factured locomotives. oratory. If the engine is designed for
(ii) Distributed power systems that regeneration at fixed time intervals,
use radio controls to optimize oper- you may apply good engineering judg-
ation of locomotives in the middle and ment to determine F based on those de-
rear of a train were commonly incor- sign parameters.
porated in some but not all loco- (4) Identify the value of F in each ap-
motives in 2008. Manufacturers may plication for the certification for which
claim credit for incorporating these it applies.
features into locomotives as follows: (5) Apply the provisions for ramped-
(A) Manufacturers may claim pro- modal testing based on measurements
rated credit for incorporating distrib- for each test interval rather than the
uted power systems in freshly manu- whole ramped-modal test.
factured locomotives. Multiply the en- (b) You may ask us to approve an al-
ergy saving rate by 0.50 when calcu- ternate methodology to account for re-
lating the adjustment factor:
generation events. We will generally
AF = 1.000¥(energy savings rate) × limit approval to cases where your en-
(0.50) gines use aftertreatment technology
(B) Manufacturers may claim full with extremely infrequent regenera-
credit for retrofitting distributed tion and you are unable to apply the
power systems in remanufactured loco- provisions of this section.
motives. (c) You may choose to make no ad-
[73 FR 37197, June 30, 2008, as amended at 73 justments to measured emission re-
FR 59190, Oct. 8, 2008; 75 FR 22985, Apr. 30, sults if you determine that regenera-
2010] tion does not significantly affect emis-
sion levels for an engine family (or
§ 1033.535 Adjusting emission levels to configuration) or if it is not practical
account for infrequently regen- to identify when regeneration occurs.
erating aftertreatment devices. If you choose not to make adjustments
For locomotives using under paragraph (a) or (b) of this sec-
aftertreatment technology with infre- tion, your locomotives must meet
quent regeneration events that may emission standards for all testing,
occur during testing, take one of the without regard to regeneration.
following approaches to account for the
[81 FR 74008, Oct. 25, 2016]
emission impact of regeneration:
(a) You may use the calculation
methodology described in 40 CFR Subpart G—Special Compliance
1065.680 to adjust measured emission Provisions
results. Do this by developing an up-
ward adjustment factor and a down- § 1033.601 General compliance provi-
ward adjustment factor for each pollut- sions.
ant based on measured emission data Locomotive manufacturer/remanu-
and observed regeneration frequency as facturers, as well as owners and opera-
follows: tors of locomotives subject to the re-
(1) Adjustment factors should gen- quirements of this part, and all other
erally apply to an entire engine family, persons, must observe the provisions of
67
§ 1033.601 40 CFR Ch. I (7–1–21 Edition)
this part, the requirements and prohi- specified for manufacturers in that
bitions in 40 CFR part 1068, and the part.
provisions of the Clean Air Act. The (1) When there are multiple persons
provisions of 40 CFR part 1068 apply for meeting the definition of manufacturer
locomotives as specified in that part, or remanufacturer, each person meet-
except as otherwise specified in this ing the definition of manufacturer or
section. remanufacturer must comply with the
(a) Meaning of terms. When used in 40 requirements of 40 CFR part 1068, sub-
CFR part 1068, apply meanings for spe- part F, as needed so that the certifi-
cific terms as follows: cate holder can fulfill its obligations
(1) ‘‘Manufacturer’’ means manufac- under those subparts.
turer and/or remanufacturer.
(2) The defect investigation require-
(2) ‘‘Date of manufacture’’ means
ments of 40 CFR 1068.501(a)(5), (b)(1)
date of original manufacture for fresh-
and (b)(2) do not apply for locomotives.
ly manufactured locomotives and the
date on which a remanufacture is com- Instead, use good engineering judgment
pleted for remanufactured engines. to investigate emission-related defects
(b) Engine rebuilding. The provisions consistent with normal locomotive in-
of 40 CFR 1068.120 do not apply when re- dustry practice for investigating de-
manufacturing locomotives under a fects. You are not required to track
certificate of conformity issued under parts shipments as indicators of pos-
this part. sible defects.
(c) Exemptions. (1) The exemption pro- (e) Introduction into commerce. The
visions of 40 CFR 1068.240 (i.e., exemp- placement of a new locomotive or new
tions for replacement engines) do not locomotive engine back into service
apply for domestic or imported loco- following remanufacturing is a viola-
motives. (Note: You may introduce tion of 40 CFR 1068.101(a)(1), unless it
into commerce freshly manufactured has a valid certificate of conformity
replacement engines under this part, for its model year and the required
provided the locomotives into which label.
they are installed are covered by a cer- (f) Multi-fuel locomotives. Subpart C of
tificate of conformity.) this part describes how to test and cer-
(2) The exemption provisions of 40 tify dual-fuel and flexible-fuel loco-
CFR 1068.250 and 1068.255 (i.e., exemp- motives. Some multi-fuel locomotives
tions for hardship relief) do not apply may not fit either of those defined
for domestic or imported locomotives. terms. For such locomotives, we will
See § 1033.620 for provisions related to determine whether it is most appro-
hardship relief. priate to treat them as single-fuel loco-
(3) The exemption provisions of 40
motives, dual-fuel locomotives, or
CFR 1068.261 (i.e., exemptions for dele-
flexible-fuel locomotives based on the
gated assembly) do not apply for do-
range of possible and expected fuel
mestic or imported locomotives, except
as specified in § 1033.630. mixtures. For example, a locomotive
(4) The provisions for importing en- might burn natural gas but initiate
gines and equipment under the iden- combustion with a pilot injection of
tical configuration exemption of 40 diesel fuel. If the locomotive is de-
CFR 1068.315(i) do not apply for loco- signed to operate with a single fueling
motives. algorithm (i.e., fueling rates are fixed
(5) The provisions for importing en- at a given engine speed and load condi-
gines and equipment under the ancient tion), we would generally treat it as a
engine exemption of 40 CFR 1068.315(j) single-fuel locomotive, In this context,
do not apply for locomotives. the combination of diesel fuel and nat-
(d) SEAs, defect reporting, and recall. ural gas would be its own fuel type. If
The provisions of 40 CFR part 1068, sub- the locomotive is designed to also oper-
part E (i.e., SEA provisions) do not ate on diesel fuel alone, we would gen-
apply for locomotives. Except as noted erally treat it as a dual-fuel loco-
in this paragraph (d), the provisions of motive. If the locomotive is designed
40 CFR part 1068, subpart F, apply to to operate on varying mixtures of the

certificate holders for locomotives as two fuels, we would generally treat it
68
as a flexible-fuel locomotive. To the ex- in this paragraph (c). This exemption is

tent that requirements vary for the dif- only available in cases where no cer-
ferent fuels or fuel mixtures, we may tified remanufacturing system is avail-
apply the more stringent requirements. able for the locomotive. For example,
it is possible that no remanufacturer
FR 59190, Oct. 8, 2008; 75 FR 22986, Apr. 30, will certify a system for very old loco-
2010; 81 FR 74009, Oct. 25, 2016] motive models that comprise a tiny
fraction of the fleet and that are re-
EFFECTIVE DATE NOTE: At 86 FR 34376, June
29, 2021, § 1033.601 was amended, effective July manufactured infrequently. We will
29, 2021. grant the exemption in all cases in
which no remanufacturing system has
§ 1033.610 Small railroad provisions. been certified for the applicable engine
In general, the provisions of this part family and model year. We may also
apply for all locomotives, including grant an exemption where we deter-
those owned by Class II and Class III mine that a certified system is un-
railroads. This section describes how available. We may consider the issue of
these provisions apply for railroads excessive costs in determining the
meeting the definition of ‘‘small rail- availability of certified systems. If we
road’’ in § 1033.901. (NOTE: The term grant this exemption for a previously
‘‘small railroad’’ excludes all Class II certified locomotive, you are required
railroads and some Class III railroads, to return the locomotive to its pre-
such as those owned by large parent viously certified configuration. Send
companies.) your request for such exemptions to
(a) Locomotives become subject to the Designated Compliance Officer.
the provisions of this part when they (d) Non-Class I railroads that do not
become ‘‘new’’ as defined in § 1033.901. meet the definition of ‘‘small railroad’’
Under that definition, a locomotive is in § 1033.901 may ask that their remanu-
‘‘new’’ when first assembled, and gen- factured locomotives be excluded from
erally becomes ‘‘new’’ again when re- the definition of ‘‘new’’ in § 1033.901 in
manufactured. As an exception to this cases where no certified remanufac-
general concept, locomotives that are turing system is available for the loco-
owned and operated by railroads meet- motive. We will grant the exemption in
ing the definition of ‘‘small railroad’’ all cases in which no remanufacturing
in § 1033.901 do not become ‘‘new’’ when system has been certified for the appli-
remanufactured, unless they were pre- cable engine family and model year. If
viously certified to EPA emission we grant this exemption for a pre-
standards. Certificate holders may re- viously certified locomotive, you are
quire written confirmation from the required to return the locomotive to
owner/operator that the locomotive its previously certified configuration.
qualifies as a locomotive that is owned Send your request for such exemptions
and operated by a small railroad. Such to the Designated Compliance Officer.
written confirmation to a certificate
holder is deemed to also be a submis- § 1033.615 Voluntarily subjecting loco-
sion to EPA and is thus subject to the motives to the standards of this
reporting requirements of 40 CFR part.
1068.101. The provisions of this section specify
(b) The provisions of subpart I of this the cases in which an owner or manu-
part apply to all owners and operators facturer of a locomotive or similar
of locomotives subject to this part 1033. piece of equipment can subject it to
However, the regulations of that sub- the standards and requirements of this
part specify some provisions that apply part. Once the locomotive or equip-
only for Class I freight railroads, and ment becomes subject to the loco-
others that apply differently to Class I motive standards and requirements of
freight railroads and other railroads. this part, it remains subject to the
(c) We may exempt new locomotives standards and requirements of this
that are owned or operated by small part for the remainder of its service
railroads from the prohibition against life.
remanufacturing a locomotive without (a) Equipment excluded from the defini-

a certificate of conformity as specified tion of ‘‘locomotive’’. (1) Manufacturers/
69
§ 1033.620 40 CFR Ch. I (7–1–21 Edition)
remanufacturers of equipment that is ards if all of the following conditions

excluded from the definition of ‘‘loco- apply:
motive’’ because of its total power, but (i) You cannot reasonably manufac-
would otherwise meet the definition of ture the locomotives in such a manner
locomotive may ask to have it consid- that they would be able to comply with
ered to be a locomotive. To do this, the applicable standards.
submit an application for certification (ii) The manufacture of the loco-
as specified in subpart C of this part, motives was substantially completed
explaining why it should be considered prior to the applicability date of the
to be a locomotive. If we approve your standards from which you seek the re-
request, it will be deemed to be a loco- lief. For example, you may not request
motive for the remainder of its service relief for a locomotive that has been
life. ordered, but for which you will not
(2) In unusual circumstances, we may begin the assembly process prior to the
deem other equipment to be loco- applicability date of the standards. On
motives (at the request of the owner or the other hand, we would generally
manufacturer/remanufacturer) where consider completion of the underframe
such equipment does not conform com- weldment to be a substantial part of
pletely to the definition of locomotive, the manufacturing process.
but is functionally equivalent to a lo- (iii) Manufacture of the locomotives
comotive. was previously scheduled to be com-
(b) Locomotives excluded from the defi- pleted at such a point in time that lo-
nition of ‘‘new’’. Owners of remanufac- comotives would have been included in
tured locomotives excluded from the the previous model year, such that
definition of ‘‘new’’ in § 1033.901 under they would have been subject to less
paragraph (2) of that definition may stringent standards, and that such
choose to upgrade their locomotives to schedule was feasible under normal
subject their locomotives to the stand- conditions.
ards and requirements of this part by (iv) You demonstrate that the loco-
complying with the specifications of a motives comply with the less stringent
certified remanufacturing system, in- standards that applied to the previous
cluding the labeling specifications of model year’s production described in
§ 1033.135. paragraph (b)(1)(iii) of this section, as
prescribed by subpart C of this part
§ 1033.620 Hardship provisions for (i.e., that the locomotives are identical
manufacturers and remanufactur- to locomotives certified in the previous
ers. model year).
(a) If you qualify for the economic (v) You exercised prudent planning,
hardship provisions specified in 40 CFR were not able to avoid the violation,
1068.245, we may approve a period of de- and have taken all reasonable steps to
layed compliance for up to one model minimize the extent of the noncon-
year total. formity.
(b) The provisions of this paragraph (vi) We approve your request before
(b) are intended to address problems you introduce the locomotives into
that could occur near the date on commerce.
which more stringent emission stand- (2) You must notify us as soon as you
ards become effective, such as the tran- become aware of the extreme or un-
sition from the Tier 2 standards to the usual circumstances.
Tier 3 standards for line-haul loco- (3)(i) Include locomotives for which
motives on January 1, 2012. we grant relief under this section in
(1) In appropriate extreme and un- the engine family for which they were
usual circumstances that are clearly originally intended to be included.
outside the control of the manufac- (ii) Where the locomotives are to be
turer and could not have been avoided included in an engine family that was
by the exercise of prudence, diligence, certified to an FEL above the applica-
and due care, we may permit you, for a ble standard, you must reserve credits
brief period, to introduce into com- to cover the locomotives covered by
merce locomotives which do not com- this allowance and include the required
ply with the applicable emission stand- information for these locomotives in
70
the end-of-year report required by sub- demonstrated compliance with the lo-
part H of this part. comotive standards of § 1033.101 in-use.
(c) In granting relief under this sec- (5) We approved the application as
tion, we may also set other conditions specified in paragraph (d) of this sec-
as appropriate, such as requiring pay- tion.
ment of fees to negate an economic (b) To certify your locomotives by
gain that such relief would otherwise design under this section, submit your
provide. application as specified in § 1033.205,
with the following exceptions:
§ 1033.625 Special certification provi- (1) Include the following instead of
sions for non-locomotive-specific the locomotive test data otherwise re-
engines. quired by § 1033.205:
You may certify freshly manufac- (i) A description of the engines to be
tured or remanufactured locomotives used, including the name of the engine
using non-locomotive-specific engines manufacturer and engine family identi-
(as defined in § 1033.901) using the nor- fier for the engines.
mal certification procedures of this (ii) A brief engineering analysis de-
part. Locomotives certified in that way scribing how the engine’s emission con-
are generally treated the same as other trols will function when installed in
locomotives, except where specified the locomotive throughout the loco-
motive’s useful life.
otherwise. The provisions of this sec-
(iii) The emission data submitted
tion provide for design certification to
under 40 CFR part 1039 (or part 89).
the locomotive standards in this part
(2) You may separately submit some
for locomotives using engines included
of the information required by
in engine families certified under 40
§ 1033.205, consistent with the provi-
CFR part 1039 (or part 89) in limited
sions of § 1033.1(d). For example, this
circumstances. may be an appropriate way to submit
(a) Remanufactured or freshly manu- detailed information about proprietary
factured switch locomotives powered engine software. Note that this allow-
by non-locomotive-specific engines ance to separately submit some of the
may be certified by design without the information required by § 1033.205 is
test data required by § 1033.235 if all of also available for applications not sub-
the following are true: mitted under this section.
(1) Before being installed in the loco- (c) Locomotives certified under this
motive, the engines were covered by a section are subject to all the require-
certificate of conformity issued under ments of this part except as specified
40 CFR Part 1039 (or part 89) that is ef- in paragraph (b) of this section. The en-
fective for the calendar year in which gines used in such locomotives are not
the manufacture or remanufacture oc- considered to be included in the other-
curs. You may use engines certified wise applicable engines family of 40
during the previous years if they were CFR part 1039 (or part 89).
subject to the same standards. You (d) We will approve or deny the appli-
may not make any modifications to cation as specified in subpart C of this
the engines unless we approve them. part. For example, we will deny your
(2) The engines were certified to PM, application for certification by design
NOX, and hydrocarbon standards that under this section in any case where we
are numerically lower than the appli- have evidence that your locomotives
cable locomotive standards of this will not conform to the requirements
part. of this part throughout their useful
(3) More engines are reasonably pro- lives.
jected to be sold and used under the [73 FR 37197, June 30, 2008, as amended at 75
certificate for non-locomotive use than FR 22986, Apr. 30, 2010; 76 FR 53780, Sept. 15,
for use in locomotives. 2011]
(4) The number of such locomotives
certified under this section does not ex- § 1033.630 Staged-assembly and dele-
ceed 30 in any three-year period. We gated assembly exemptions.
may waive this sales limit for loco- (a) Staged assembly. You may ask us
motive models that have previously to provide a temporary exemption to
71
§ 1033.640 40 CFR Ch. I (7–1–21 Edition)
allow you to complete production of the engine. You may ask for this ex-
your engines and locomotives at dif- emption if you do all of the following:
ferent facilities, as long as you main- (i) You note on the Engine Emission
tain control of the engines until they Control Information label that the lo-
are in their certified configuration. We comotive must include the
may require you to take specific steps aftertreatment device to be covered by
to ensure that such locomotives are in the certificate.
their certified configuration before (ii) You make clear in your emission-
reaching the ultimate purchaser. You related installation instructions that
may request an exemption under this installation of the aftertreatment de-
paragraph (a) in your application for vice is required for the locomotive to
certification, or in a separate submis- be covered by the certificate.
sion. If you include your request in (3) In cases where an engine will be
shipped to the certificate holder in an
your application, your exemption is ap-
uncertified configuration, an exemp-
proved when we grant your certificate.
tion is required to ship the engine. You
Note that no exemption is needed to
may ask for this exemption under 40
ship an engine that has been assembled
CFR 1068.262.
in its certified configuration, is prop-
(c) Other exemptions. In unusual cir-
erly labeled, and will not require an
cumstances, you may ask us to provide
aftertreatment device to be attached an exemption for an assembly process
when installed in the locomotive. that is not covered by the provisions of
(b) Delegated assembly. This paragraph paragraphs (a) and (b) of this section.
(b) applies where the engine manufac- We will make the exemption condi-
turer/remanufacturer does not com- tional based on you complying with re-
plete assembly of the locomotives and quirements that we determine are nec-
the engine is shipped after being manu- essary to ensure that the locomotives
factured or remanufactured (partially are assembled in their certified con-
or completely). The provisions of this figuration before being placed (back)
paragraph (b) apply differently depend- into service.
ing on who holds the certificate of con-
formity and the state of the engine [73 FR 37197, June 30, 2008, as amended at 73
FR 59190, Oct. 8, 2008]
when it is shipped. You may request an
exemption under this paragraph (b) in § 1033.640 Provisions for repowered
your application for certification, or in and refurbished locomotives.
a separate submission. If you include
(a) The provisions of this section
your request in your application, your apply for locomotives that are pro-
exemption is approved when we grant duced from an existing locomotive so
your certificate. A manufacturer/re- that the new locomotive contains both
manufacturer may request an exemp- previously used parts and parts that
tion under 40 CFR 1068.261 instead of have never been used before.
under this section. (1) Repowered locomotives are used
(1) In cases where an engine has been locomotives in which a freshly manu-
assembled in its certified configura- factured propulsion engine is installed.
tion, properly labeled, and will not re- As described in this section, a repow-
quire an aftertreatment device to be ered locomotive is deemed to be either
attached when installed in the loco- remanufactured or freshly manufac-
motive, no exemption is needed to ship tured, depending on the total amount
the engine. You do not need an exemp- of unused parts on the locomotive. It
tion to ship engines without specific may also be deemed to be a refurbished
components if they are not emission- locomotive.
related components identified in ap- (2) Refurbished locomotives are loco-
pendix I of 40 CFR part 1068. motives that contain more unused
(2) In cases where an engine has been parts than previously used parts. As
properly labeled by the certificate described in this section, a locomotive
holder and assembled in its certified containing more unused parts than pre-
configuration except that it does not viously used parts may be deemed to be
yet have a required aftertreatment de- either remanufactured or freshly man-

vice, an exemption is required to ship ufactured, depending on the total
72
amount of unused parts on the loco- (e) If the weighted fraction of the lo-
motive. Note that § 1033.901 defines re- comotive that is comprised of pre-
furbishment of a pre-1973 locomotive to viously used parts is less than 25 per-
be an upgrade of the locomotive. cent, then the locomotive is deemed to
(b) A single existing locomotive can- be a freshly manufactured locomotive
not be divided into parts and combined and the date of original manufacture is
with new parts to create more than one the most recent date on which the lo-
remanufactured locomotive. However, comotive was assembled using less
any number of locomotives can be di- than 25 percent previously used parts.
vided into parts and combined with For example:
new parts to create more than one re- (1) If you produce a new locomotive
manufactured locomotive, provided the that includes a used frame, but all
number of locomotives created (re- other parts are unused, then the loco-
manufactured and freshly manufac- motive would likely be considered to
tured) does not exceed the number of be a freshly manufactured locomotive
locomotives that were disassembled. because the value of the frame would
(c) You may determine the relative likely be less than 25 percent of the
amount of previously used parts con- total value of the locomotive. Its date
sistent with the specifications of the of original manufacture would be the
Federal Railroad Administration. Oth- date on which you complete its assem-
erwise, determine the relative amount bly.
of previously used parts as follows: (2) If you produce a new locomotive
by replacing the engine in a 1990 loco-
(1) Identify the parts in the fully as-
motive with a freshly manufactured
sembled locomotive that have been
engine, but all other parts are used,
previously used and those that have
then the locomotive would likely be
never been used before.
considered to be a remanufactured lo-
(2) Weight the unused parts and pre- comotive and its date of original man-
viously used parts by the dollar value ufacture is the date on which assembly
of the parts. For example, a single part was completed in 1990. (NOTE: such a lo-
valued at $1200 would count the same comotive would also be considered to
as six parts valued at $200 each. Group be a repowered locomotive.)
parts by system where possible (such as (f) Locomotives containing used
counting the engine as one part) if ei- parts that are deemed to be freshly
ther all the parts in that system are manufactured locomotives are subject
used or all the parts in that system are to the same provisions as all other
unused. Calculate the used part values freshly manufactured locomotives.
using dollar values from the same year Other refurbished locomotives are sub-
as the new parts. ject to the same provisions as other re-
(3) Sum the values of the unused manufactured locomotives, with the
parts. Also sum the values of the pre- following exceptions:
viously used parts. The relative frac- (1) Switch locomotives. (i) Prior to Jan-
tion of used parts is the total value of uary 1, 2015, remanufactured Tier 0
previously used parts divided by the switch locomotives that are deemed to
combined value of the unused parts and be refurbished are subject to the Tier 0
previously used parts. line-haul cycle and switch cycle stand-
(d) If the weighted fraction of the lo- ards. Note that this differs from the re-
comotive that is comprised of pre- quirements applicable to other Tier 0
viously used parts is greater than or switch locomotives, which are not sub-
equal to 25 percent, then the loco- ject to the Tier 0 line-haul cycle stand-
motive is considered to be a remanu- ards.
factured locomotive and retains its (ii) Beginning January 1, 2015, re-
original date of manufacture. Note, manufactured Tier 3 and earlier switch
however, that if the weighted fraction locomotives that are deemed to be re-
of the locomotive that is comprised of furbished are subject to the Tier 3
previously used parts is less than 50 switch standards.
percent, then the locomotive is also (2) Line-haul locomotives. Remanufac-
considered to be a refurbished loco- tured line-haul locomotives that are

motive. deemed to be refurbished are subject to
73
§ 1033.645 40 CFR Ch. I (7–1–21 Edition)
the same standards as freshly manufac- (2) Catalysts and electronic controls
tured line-haul locomotives, except are not eligible for approval under this
that line-haul locomotives with rated section.
power less than 3000 hp that are refur- (3) We may determine that other
bished before January 1, 2015 are sub- types of components can be certified
ject to the same standards as refur- under this section, consistent with
bished switch locomotives under para- good engineering judgment.
graph (e)(1)(i) of this section. However, (b) Approval. To obtain approval, sub-
line-haul locomotives less than 3000 hp mit your request to the Designated
may not generate emission credits rel- Compliance Officer.
ative to the standards specified in (1) Include all of the following in
paragraph (e)(1)(i) of this section. your request:
(3) Labels for switch and line-haul loco- (i) A description of the component(s)
motives. Remanufacturers that refur- for which you are requesting approval.
bish a locomotive must add a sec- (ii) A list of all engine/locomotive
ondary locomotive label that includes models and engine families for which
the following: your component would be used. You
(i) The label heading: ‘‘REFUR- may exclude models that are not sub-
BISHED LOCOMOTIVE EMISSION ject to our standards or will otherwise
CONTROL INFORMATION.’’ not be remanufactured under a certifi-
(ii) The statement identifying when cate of conformity.
the locomotive was refurbished and (iii) A copy of the maintenance in-
what standards it is subject to, as fol- structions for engines using your com-
lows: ‘‘THIS LOCOMOTIVE WAS RE- ponent. You may reference the other
FURBISHED IN [year of refurbish- certificate holder’s maintenance in-
ment] AND MUST COMPLY WITH structions in your instructions. For ex-
THE TIER [applicable standard level] ample, your instructions may specify
EACH TIME THAT IT IS REMANU- to follow the other certificate holder’s
FACTURED, EXCEPT AS ALLOWED instructions in general, but list one or
BY 40 CFR 1033.750.’’. more exceptions to address the specific
[73 FR 37197, June 30, 2008, as amended at 73 maintenance needs of your component.
FR 59190, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009; (iv) An engineering analysis (includ-
81 FR 74009, Oct. 25, 2016] ing test data in some cases) dem-
onstrating to us that your component
§ 1033.645 Non-OEM component certifi- will not cause emissions to increase.
cation program. The analysis must address both low-
This section describes a voluntary hour and end-of-useful life emissions.
program that allows you to get EPA The amount of information required
approval of components you manufac- for this analysis is less than is required
ture for use during remanufacturing. to obtain a certificate of conformity
(a) Applicability. This section applies under subpart C of this part and will
only for components that are com- vary depending on the type of compo-
monly replaced during remanufac- nent being certified.
turing. It does not apply for other (v) The following statement signed
types of components that are replaced by an authorized representative of your
during a locomotive’s useful life, but company: We submit this request under
not typically replaced during remanu- 40 CFR 1033.645. All the information in
facture. Certified components may be this report is true and accurate to the
used for remanufacturing or other best of my knowledge. I know of the
maintenance. penalties for violating the Clean Air
(1) The following components are eli- Act and the regulations. (Authorized
gible for approval under this section: Company Representative)
(i) Cylinder liners. (2) If we determine that there is rea-
(ii) Pistons. sonable technical basis to believe that
(iii) Piston rings. your component is sufficiently equiva-
(iv) Heads lent that it will not increase emissions,
(v) Fuel injectors. we will approve your request and you
(vi) Turbochargers will be a certificate holder for your

(vii) Aftercoolers and intercoolers. components with respect to actual
74
emissions performance for all loco- and report the results to us within 180
motives that use those components (in days of the earliest point at which you
accordance with this section). could complete the testing based on
(c) Liability. Being a certificate hold- the hours of operation accumulated by
er under this section means that if in- the locomotives. For example, if 250 or
use testing indicates that a certified more locomotives use your part under
locomotive using one or more of your this section, and the first of these to
approved components does not comply reach 25 percent of its useful life does
with an applicable emission standard, so on March 1st of a given year, you
we will presume that you and other must complete testing of one of the
certificate holders are liable for the first 250 locomotives and report to us
noncompliance. However, we will not by August 28th of that year.
hold you liable in cases where you con- (4) Unless we approve different test
vince us that your components did not procedures, you must test the loco-
cause the noncompliance. Conversely, motive according to the procedures
we will not hold other certificate hold- specified in subpart F of this part.
ers liable for noncompliance caused
(5) If any locomotives fail to meet all
solely by your components. You are
standards, we may require you to test
also subject to the warranty and defect
one additional locomotive for each lo-
reporting requirements of this part for
comotive that fails. You may choose to
your certified components. Other re-
accept that your part is causing an
quirements of this part apply as speci-
emission problem rather than con-
fied in § 1033.1.
tinuing testing. You may also test ad-
(d) In-use testing. Locomotives con-
ditional locomotives at any time. We
taining your components must be test-
will consider failure rates, average
ed according to the provisions of this
paragraph (d). emission levels and the existence of
(1) Except as specified in paragraph any defects among other factors in de-
(d)(5) of this section, you must test at termining whether to pursue remedial
least one locomotive if 250 locomotives action. We may order a recall pursuant
use your component under this section. to 40 CFR part 1068 before you com-
You must test one additional loco- plete testing additional locomotives.
motive for the next additional 500 loco- (6) You may ask us to allow you to
motives that use your component rely on testing performed by others in-
under this section. After that, we may stead of requiring you to perform test-
require you to test one additional loco- ing. For example, if a railroad tests a
motive for each additional 1000 loco- locomotive with your component as
motives that use your component part of its testing under § 1033.810, you
under this section. These numbers may ask to submit those test data as
apply across model years. For example, fulfillment of your test obligations
if your component is used in 125 re- under this paragraph (d). If a given test
manufactures per year under this sec- locomotive uses different components
tion, you must test one of the first 250 certified under this section that were
locomotives, one of the next 500 loco- manufactured by different manufactur-
motives, and up to one every eight ers (such as rings from one manufac-
years after that. Do not count loco- turer and cylinder liners from another
motives that use your components but manufacturer), a single test of it may
are not covered by this section. be counted towards both manufactur-
(2) Except for the first locomotive ers’ test obligations. In unusual cir-
you test for a specific component under cumstances, you may also ask us to
this section, locomotives tested under grant you hardship relief from the test-
this paragraph (d) must be past the ing requirements of this paragraph (d).
half-way point of the useful life in In determining whether to grant you
terms of MW-hrs. For the first loco- relief, we will consider all relevant fac-
motive you test, select a locomotive tors including the extent of the finan-
that has operated between 25 and 50 cial hardship to your company and
percent of its useful life. whether the test data are available
(3) Unless we approve a different from other sources, such as testing per-
schedule, you must complete testing formed by a railroad.
75
§ 1033.650 40 CFR Ch. I (7–1–21 Edition)
(e) Components certified under this (b) Locomotives covered by export-only

section may be used when remanufac- certificates. Locomotives may be cer-
turing Category 2 engines under 40 CFR tified for export under 40 CFR 1068.230.
part 1042. Such locomotives may be introduced
into U.S. commerce prior to being ex-
FR 59190, Oct. 8, 2008; 74 FR 8425, Feb. 24, ported, but may not be used in any rev-
2009] enue generating service in the United
States.
§ 1033.650 Incidental use exemption (c) Locomotives included in a certified
for Canadian and Mexican loco- engine family. Except as specified in
motives. paragraph (d) of this section, loco-
You may ask us to exempt from the motives included in a certified engine
requirements and prohibitions of this family may be exported without re-
part locomotives that are operated pri- striction. Note that § 1033.705 requires
marily outside of the United States that exported locomotives be excluded
and that enter the United States tem- from emission credit calculations in
porarily from Canada or Mexico. We certain circumstances.
will approve this exemption only where (d) Locomotives certified to FELs above
we determine that the locomotive’s op- the standards. The provisions of this
eration within the United States will paragraph (d) apply for locomotive con-
not be extensive and will be incidental figurations included in engine families
to its primary operation. For example, certified to one or more FELs above
we would generally exempt loco- any otherwise applicable standard. In-
motives that will not operate more dividual locomotives that will be ex-
than 25 miles from the border and will ported may be excluded from an engine
operate in the United States less than family if they are unlabeled. For loco-
5 percent of their operating time. For motives that were labeled during pro-
existing operations, you must request duction, you may remove the emission
this exemption before January 1, 2011. control information labels prior to ex-
In your request, identify the loco- port. All unlabeled locomotives that
motives for which you are requesting will be exported are subject to the pro-
an exemption, and describe their provisions of paragraph (a) of this section.
jected use in the United States. We Locomotives that are of a configura-
may grant the exemption broadly or tion included in an engine family cer-
limit the exemption to specific loco- tified to one of more FELs above any
motives and/or specific geographic otherwise applicable standard that in-
areas. However, we will typically ap- clude an EPA emission control infor-
prove exemptions for specific rail fa- mation label when exported are consid-
cilities rather than specific loco- ered to be part of the engine family and
motives. In unusual circumstances, must be included in credit calculations
such as cases in which new rail facili- under § 1033.705. Note that this require-
ties are created, we may approve re- ment does not apply for locomotives
quests submitted after January 1, 2011. that do not have an EPA emission con-
trol information label, even if they
§ 1033.652 Special provisions for ex- have other labels (such as an export-
ported locomotives. only label).
(a) Uncertified locomotives. Loco- [75 FR 22986, Apr. 30, 2010]
motives covered by an export exemp-
tion under 40 CFR 1068.230 may be in- § 1033.655 Special provisions for cer-
troduced into U.S. commerce prior to tain Tier 0/Tier 1 locomotives.
being exported, but may not be used in (a) The provisions of this section
any revenue generating service in the apply only for the following loco-
United States. Locomotives covered by motives (and locomotives in the same
this paragraph (a) may not include any engine families as these locomotives):
EPA emission control information (1) Locomotives listed in Table 1 of
label. Such locomotives may include this section originally manufactured
emission control information labels for 1986–1994 by General Electric Company
the country to which they are being ex- that have never been equipped with
ported. separate loop aftercooling. The section
76
also applies for the equivalent pas- Subpart H—Averaging, Banking,

senger locomotives. and Trading for Certification
TABLE 1 TO § 1033.655 § 1033.701 General provisions.
(a) You may average, bank, and trade
8–40C ........................ P32ACDM (ABT) emission credits for purposes of
8–40B ........................ P42DC certification as described in this sub-
8–32B ........................ 8–40BPH part to show compliance with the
8–40CW .................... P40DC standards of this part. Participation in
8–40BW .................... 8–32BWH this program is voluntary.
8–40CM ..................... C39–8 (b) Section 1033.740 restricts the use
8–41CW .................... B39–8E of emission credits to certain aver-
8–44CW aging sets.
(c) The definitions of Subpart J of
(2) SD70MAC and SD70IAC loco- this part apply to this subpart. The fol-
motives originally manufactured 1996– lowing definitions also apply:
2000 by EMD. (1) Actual emission credits means emis-
(b) Any certifying remanufacturer sion credits you have generated that
may request relief for the locomotives we have verified by reviewing your
covered by this section. final report.
(c) You may ask us to allow these lo- (2) Applicable emission standard means
comotives to exceed otherwise applica- an emission standard that is specified
ble line-haul cycle NOX standard for in subpart B of this part. Note that for
high ambient temperatures and/or alti- other subparts, ‘‘applicable emission
tude because of limitations of the cool- standard’’ is defined to also include
ing system. However, the NOX emis- FELs.
sions may exceed the otherwise appli- (3) Averaging set means a set of loco-
cable standard only to the extent nec- motives in which emission credits may
essary. Relief is limited to the fol- be exchanged only with other loco-
lowing conditions: motives in the same averaging set.
(1) For General Electric locomotives, (4) Broker means any entity that fa-
you may ask for relief for ambient cilitates a trade of emission credits be-
temperatures above 23 °C and/or baro- tween a buyer and seller.
metric pressure below 97.5 kPa (28.8 in. (5) Buyer means the entity that re-
Hg). NOX emissions may not exceed 9.5 ceives emission credits as a result of a
g/bhp-hr over the line-haul cycle for trade.
any temperatures up to 105 °F and any (6) Reserved emission credits means
altitude up to 7000 feet above sea level. emission credits you have generated
(2) For EMD locomotives, you may that we have not yet verified by re-
ask for relief for ambient temperatures viewing your final report.
above 30 °C and/or barometric pressure (7) Seller means the entity that pro-
below 97.5 kPa (28.8 in. Hg). NOX emis- vides emission credits during a trade.
sions may not exceed 8.0 g/bhp-hr over (8) Trade means to exchange emission
the line-haul cycle for any tempera- credits, either as a buyer or seller.
tures up to 105 °F and any altitude up (9) Transfer means to convey control
to 7000 feet above sea level. of credits generated for an individual
(d) All other standards and require- locomotive to the purchaser, owner, or
ments in this part apply as specified. operator of the locomotive at the time
(e) To request this relief, submit to of manufacture or remanufacture; or to
the Designated Compliance Officer convey control of previously generated
along with your application for certifi- credits from the purchaser, owner, or
cation an engineering analysis showing operator of an individual locomotive to
how your emission controls operate for the manufacturer/remanufacturer at
the following conditions: the time of manufacture/remanufac-
(1) Temperatures 23–40 °C at any alti- ture.
tude up to 7000 feet above sea level. (d) You may not use emission credits
(2) Altitudes 1000–7000 feet above sea generated under this subpart to offset
level for any temperature from 15–40 any emissions that exceed an FEL or
°C. standard. This applies for all testing,
77
§ 1033.705 40 CFR Ch. I (7–1–21 Edition)
including certification testing, in-use that would otherwise apply that the lo-
testing, selective enforcement audits, comotive (or the locomotive in which
and other production-line testing. How- the engine is used) is required to com-
ever, if emissions from a locomotive ply with that FEL for the remainder of
exceed an FEL or standard (for exam- its service life.
ple, during a selective enforcement (j) The FEL to which the locomotive
audit), you may use emission credits to is certified must be included on the lo-
recertify the engine family with a comotive label required in § 1033.135.
higher FEL that applies only to future This label must include the notifica-
production. tion specified in paragraph (i) of this
(e) Engine families that use emission section.
credits for one or more pollutants may (k) You may use either of the fol-
not generate positive emission credits lowing approaches to retire or forego
for another pollutant. emission credits:
(f) Emission credits may be used in (1) You may retire emission credits
the model year they are generated or generated from any number of your lo-
in future model years. Emission credits comotives. This may be considered do-
may not be used for past model years. nating emission credits to the environ-
(g) You may increase or decrease an ment. Identify any such credits in the
FEL during the model year by amend- reports described in § 1033.730. Loco-
ing your application for certification motives must comply with the applica-
under § 1033.225. The new FEL may ble FELs even if you donate or sell the
apply only to locomotives you have not corresponding emission credits under
already introduced into commerce. this paragraph (e). Those credits may
Each locomotive’s emission control in- no longer be used by anyone to dem-
formation label must include the appli- onstrate compliance with any EPA
cable FELs. You must conduct produc- emission standards.
tion line testing to verify that the (2) You may certify a family using an
emission levels are achieved. FEL below the emission standard as
(h) Credits may be generated by any described in this part and choose not to
certifying manufacturer/remanufac- generate emission credits for that fam-
turer and may be held by any of the ily. If you do this, you do not need to
following entities: calculate emission credits for those
(1) Locomotive or engine manufac- families and you do not need to submit
turers. or keep the associated records de-
(2) Locomotive or engine remanufac- scribed in this subpart for that family.
turers. [73 FR 37197, June 30, 2008, as amended at 81
(3) Locomotive owners. FR 74009, Oct. 25, 2016]
(4) Locomotive operators. EFFECTIVE DATE NOTE: At 86 FR 34376, June
(5) Other entities after notification 29, 2021, § 1033.701 was amended, effective July
to EPA. 29, 2021.
(i) All locomotives that are certified
to an FEL that is different from the § 1033.705 Calculating emission cred-
emission standard that would other- its.
wise apply to the locomotives are re- The provisions of this section apply
quired to comply with that FEL for the separately for calculating emission
remainder of their service lives, except credits for NOX or PM.
as allowed by § 1033.750. (a) Calculate positive emission cred-
(1) Manufacturers must notify the its for an engine family that has an
purchaser of any locomotive that is FEL below the otherwise applicable
certified to an FEL that is different emission standard. Calculate negative
from the emission standard that would emission credits for an engine family
otherwise apply that the locomotive is that has an FEL above the otherwise
required to comply with that FEL for applicable emission standard. Do not
the remainder of its service life. round until the end of year report.
(2) Remanufacturers must notify the (b) For each participating engine
owner of any locomotive or locomotive family, calculate positive or negative
engine that is certified to an FEL that emission credits relative to the other-
is different from the emission standard wise applicable emission standard. For
78
the end of year report, round the sum nal manufacture to the date at which
of emission credits to the nearest one the remanufacture (for which credits
hundredth of a megagram (0.01 Mg). are being calculated) is completed,
Round your end of year emission credit rounded to the next higher year.
balance to the nearest megagram (Mg). (2) The proration factors for line-haul
Use consistent units throughout the locomotives ages 1 through 20 are spec-
calculation. When useful life is ex- ified in Table 1 to this section. For
pressed in terms of megawatt-hrs, cal- line-haul locomotives more than 20
culate credits for each engine family years old, use the proration factor for
from the following equation: 20 year old locomotives. The proration
Emission credits = (Std¥FEL) × (1.341) factors for switch locomotives ages 1
× (UL) × (Production) × (Fp) × (10¥3 through 40 are specified in Table 2 to
kW-Mg/MW-g). this section. For switch locomotives
more than 40 years old, use the prora-
Where:
tion factor for 40 year old locomotives.
Std = the applicable NOX or PM emission (3) For repower engines, the prora-
standard in g/bhp-hr (except that Std =
previous FEL in g/bhp-hr for locomotives tion factor is based on the age of the
that were certified under this part to an locomotive chassis, not the age of the
FEL other than the standard during the engine, except for remanufactured lo-
previous useful life). comotives that qualify as refurbished.
FEL = the family emission limit for the en- The minimum proration factor for re-
gine family in g/bhp-hr. manufactured locomotives that meet
UL = the sales-weighted average useful life the definition of refurbished but not
in megawatt-hours (or the subset of the
engine family for which credits are being freshly manufactured is 0.60. (NOTE:
calculated), as specified in the applica- The proration factor is 1.00 for all loco-
tion for certification. motives that meet the definition of
Production = the number of locomotives par- freshly manufactured.)
ticipating in the averaging, banking, and
trading program within the given engine TABLE 1 TO § 1033.705—PRORATION FACTORS
family during the calendar year (or the FOR LINE-HAUL LOCOMOTIVES
number of locomotives in the subset of
the engine family for which credits are Proration
Locomotive age (years) factor (Fp)
being calculated). Quarterly production
projections are used for initial certifi- 1 ..................................................................... 0.96
cation. Actual applicable production/ 2 ..................................................................... 0.92
sales volumes are used for end-of-year 3 ..................................................................... 0.88
compliance determination. 4 ..................................................................... 0.84
Fp = the proration factor as determined in 5 ..................................................................... 0.81
6 ..................................................................... 0.77
paragraph (d) of this section.
7 ..................................................................... 0.73
(c) When useful life is expressed in 8 ..................................................................... 0.69
9 ..................................................................... 0.65
terms of miles, calculate the useful life 10 ................................................................... 0.61
in terms of megawatt-hours (UL) by di- 11 ................................................................... 0.57
viding the useful life in miles by 12 ................................................................... 0.54
13 ................................................................... 0.50
100,000, and multiplying by the sales- 14 ................................................................... 0.47
weighted average rated power of the 15 ................................................................... 0.43
engine family. For example, if your 16 ................................................................... 0.40
useful life is 800,000 miles for a family 17 ................................................................... 0.36
18 ................................................................... 0.33
with an average rated power of 3,500 hp, 19 ................................................................... 0.30
then your equivalent MW-hr useful life 20 ................................................................... 0.27
would be 28,000 MW-hrs. Credits are cal-
culated using this UL value in the TABLE 2 TO § 1033.705—PRORATION FACTORS
equations of paragraph (b) of this sec- FOR SWITCH LOCOMOTIVES
tion.
(d) The proration factor is an esti- Locomotive age (years) Proration
factor (Fp)
mate of the fraction of a locomotive’s
service life that remains as a function 1 ..................................................................... 0.98
of age. The proration factor is 1.00 for 2 ..................................................................... 0.96
3 ..................................................................... 0.94
freshly manufactured locomotives.
4 ..................................................................... 0.92
(1) The locomotive’s age is the length 5 ..................................................................... 0.90
of time in years from the date of origi- 6 ..................................................................... 0.88
79
§ 1033.710 40 CFR Ch. I (7–1–21 Edition)
TABLE 2 TO § 1033.705—PRORATION FACTORS (4) Any other locomotives, where we

FOR SWITCH LOCOMOTIVES—Continued indicate elsewhere in this part 1033
that they are not to be included in the
Proration
Locomotive age (years) factor (Fp) calculations of this subpart.
7 ..................................................................... 0.86 [73 FR 37197, June 30, 2008, as amended at 75
8 ..................................................................... 0.84 FR 22987, Apr. 30, 2010]
9 ..................................................................... 0.82
10 ................................................................... 0.80 § 1033.710 Averaging emission credits.
11 ................................................................... 0.78
12 ................................................................... 0.76 (a) Averaging is the exchange of
13 ................................................................... 0.74 emission credits among your engine
14 ................................................................... 0.72 families. You may average emission
15 ................................................................... 0.70
credits only as allowed by § 1033.740.
16 ................................................................... 0.68
17 ................................................................... 0.66 (b) You may certify one or more en-
18 ................................................................... 0.64 gine families to an FEL above the ap-
19 ................................................................... 0.62 plicable emission standard, subject to
20 ................................................................... 0.60
21 ................................................................... 0.58
the FEL caps and other provisions in
22 ................................................................... 0.56 subpart B of this part, if you show in
23 ................................................................... 0.54 your application for certification that
24 ................................................................... 0.52 your projected balance of all emission-
25 ................................................................... 0.50
26 ................................................................... 0.48
credit transactions in that model year
27 ................................................................... 0.46 is greater than or equal to zero.
28 ................................................................... 0.44 (c) If you certify an engine family to
29 ................................................................... 0.42 an FEL that exceeds the otherwise ap-
30 ................................................................... 0.40
31 ................................................................... 0.38
plicable emission standard, you must
32 ................................................................... 0.36 obtain enough emission credits to off-
33 ................................................................... 0.34 set the engine family’s deficit by the
34 ................................................................... 0.32 due date for the final report required in
35 ................................................................... 0.30
36 ................................................................... 0.28
§ 1033.730. The emission credits used to
37 ................................................................... 0.26 address the deficit may come from
38 ................................................................... 0.24 your other engine families that gen-
39 ................................................................... 0.22 erate emission credits in the same
40 ................................................................... 0.20
model year, from emission credits you
(e) In your application for certifi- have banked from previous model
cation, base your showing of compli- years, or from emission credits gen-
ance on projected production volumes erated in the same or previous model
for locomotives that will be placed into years that you obtained through trad-
service in the United States. As de- ing or by transfer.
scribed in § 1033.730, compliance with [73 FR 37197, June 30, 2008, as amended at 81
the requirements of this subpart is de- FR 74009, Oct. 25, 2016]
termined at the end of the model year
based on actual production volumes for § 1033.715 Banking emission credits.
locomotives that will be placed into (a) Banking is the retention of emis-
service in the United States. Do not in- sion credits by the manufacturer/re-
clude any of the following locomotives manufacturer generating the emission
to calculate emission credits: credits (or owner/operator, in the case
(1) Locomotives permanently ex- of transferred credits) for use in future
empted under subpart G of this part or model years for averaging, trading, or
under 40 CFR part 1068. transferring. You may use banked
(2) Exported locomotives. You may emission credits only as allowed by
ask to include locomotives sold to § 1033.740.
Mexican or Canadian railroads if they (b) You may designate any emission
will likely operate within the United credits you plan to bank in the reports
States and you include all such loco- you submit under § 1033.730 as reserved
motives (both credit using and credit credits. During the model year and be-
generating locomotives). fore the due date for the final report,
(3) Locomotives not subject to the re- you may designate your reserved emis-
quirements of this part, such as those sion credits for averaging, trading, or
excluded under § 1033.5. transferring.
80
(c) Reserved credits become actual the provisions of this subpart for each
emission credits when you submit your engine family that will be certified
final report. However, we may revoke using the ABT program. You must also
these emission credits if we are unable declare the FELs you select for the en-
to verify them after reviewing your re- gine family for each pollutant for
ports or auditing your records. which you are using the ABT program.
[75 FR 22987, Apr. 30, 2010]
Your FELs must comply with the spec-
ifications of subpart B of this part, in-
§ 1033.720 Trading emission credits. cluding the FEL caps. FELs must be
expressed to the same number of dec-
(a) Trading is the exchange of emis-
imal places as the applicable emission
sion credits between certificate hold-
standards.
ers. You may use traded emission cred-
(b) Include the following in your ap-
its for averaging, banking, or further
plication for certification:
trading transactions. Traded emission
(1) A statement that, to the best of
credits may be used only as allowed by
your belief, you will not have a nega-
§ 1033.740.
tive balance of emission credits for any
(b) You may trade actual emission
averaging set when all emission credits
credits as described in this subpart.
are calculated at the end of the year.
You may also trade reserved emission
(2) Detailed calculations of projected
credits, but we may revoke these emis-
emission credits (positive or negative)
sion credits based on our review of
based on projected production volumes.
your records or reports or those of the
We may require you to include similar
company with which you traded emis-
sion credits. calculations from your other engine
(c) If a negative emission credit bal- families to demonstrate that you will
ance results from a transaction, both be able to avoid negative credit bal-
the buyer and seller are liable, except ances for the model year. If you project
in cases we deem to involve fraud. See negative emission credits for a family,
§ 1033.255(e) for cases involving fraud. state the source of positive emission
We may void the certificates of all en- credits you expect to use to offset the
gine families participating in a trade negative emission credits.
that results in a manufacturer/remanu- [73 FR 37197, June 30, 2008, as amended at 75
facturer having a negative balance of FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25,
emission credits. See § 1033.745. 2016]
§ 1033.722 Transferring emission cred- § 1033.730 ABT reports.

its. (a) If any of your engine families are
(a) Credit transfer is the conveying of certified using the ABT provisions of
control over credits, either: this subpart, you must send an end-of-
(1) From a certifying manufacturer/ year report within 90 days after the end
remanufacturer to an owner/operator. of the model year and a final report
(2) From an owner/operator to a cer- within 270 days after the end of the
tifying manufacturer/remanufacturer. model year. We may waive the require-
(b) Transferred credits can be: ment to send the end-of year report, as
(1) Used by a certifying manufac- long as you send the final report on
turer/remanufacturer in averaging. time.
(2) Transferred again within the (b) Your end-of-year and final reports
model year. must include the following information
(3) Reserved for later banking. Trans- for each engine family participating in
ferred credits may not be traded unless the ABT program:
they have been previously banked. (1) Engine family designation and
(c) Owners/operators participating in averaging sets (whether switch, line-
credit transfers must submit the re- haul, or both).
ports specified in § 1033.730. (2) The emission standards that
would otherwise apply to the engine
§ 1033.725 Requirements for your ap- family.
plication for certification. (3) The FEL for each pollutant. If you
(a) You must declare in your applica- change the FEL after the start of pro-
tion for certification your intent to use duction, identify the date that you
81
§ 1033.730 40 CFR Ch. I (7–1–21 Edition)
started using the new FEL and/or give (2) As the buyer, you must include
the engine identification number for the following information in your re-
the first engine covered by the new port:
FEL. In this case, identify each appli- (i) The corporate names of the seller
cable FEL and calculate the positive or and any brokers.
negative emission credits as specified (ii) A copy of any contracts related
in § 1033.225. to the trade.
(4) The projected and actual U.S.-di- (iii) How you intend to use the emis-
rected production volumes for the sion credits, including the number of
model year as described in § 1033.705. If emission credits you intend to apply
you changed an FEL during the model for each averaging set.
year, identify the actual U.S.-directed (e) If you transfer emission credits,
production volume associated with you must send us a report within 90
each FEL. days after the first transfer to an
(5) Rated power for each locomotive owner/operator, as follows:
configuration, and the average loco- (1) Include the following information:
motive power weighted by U.S.-di- (i) The corporate names of the owner/
rected production volumes for the en- operator receiving the credits.
gine family. (ii) A copy of any contracts related
(6) Useful life. to the trade.
(7) Calculated positive or negative (iii) The serial numbers and engine
emission credits for the whole engine families for the locomotive that gen-
family. Identify any emission credits erated the transferred emission credits
that you traded or transferred, as de- and the number of emission credits
scribed in paragraph (d)(1) or (e) of this from each family.
section. (2) The requirements of this para-
(c) Your end-of-year and final reports graph (e) apply separately for each
must include the following additional owner/operator.
information: (3) We may require you to submit ad-
ditional 90-day reports under this para-
(1) Show that your net balance of
graph (e).
emission credits from all your engine
(f) Send your reports electronically
families in each averaging set in the
to the Designated Compliance Officer
applicable model year is not negative.
using an approved information format.
(2) State whether you will retain any
If you want to use a different format,
emission credits for banking. If you
send us a written request with jus-
choose to retire emission credits that
tification for a waiver.
would otherwise be eligible for bank-
(g) Correct errors in your end-of-year
ing, identify the engine families that
report or final report as follows:
generated the emission credits, includ-
(1) You may correct any errors in
ing the number of emission credits
your end-of-year report when you pre-
from each family.
pare the final report, as long as you
(3) State that the report’s contents send us the final report by the time it
are accurate. is due.
(d) If you trade emission credits, you (2) If you or we determine within 270
must send us a report within 90 days days after the end of the model year
after the transaction, as follows: that errors mistakenly decreased your
(1) As the seller, you must include balance of emission credits, you may
the following information in your re- correct the errors and recalculate the
port: balance of emission credits. You may
(i) The corporate names of the buyer not make these corrections for errors
and any brokers. that are determined more than 270 days
(ii) A copy of any contracts related after the end of the model year. If you
to the trade. report a negative balance of emission
(iii) The averaging set corresponding credits, we may disallow corrections
to the engine families that generated under this paragraph (g)(2).
emission credits for the trade, includ- (3) If you or we determine anytime
ing the number of emission credits that errors mistakenly increased your
from each averaging set. balance of emission credits, you must
82
correct the errors and recalculate the Except as specified in paragraph (c) of
balance of emission credits. this section, such credits may only be
(h) We may modify these require- used to show compliance with stand-
ments for owners/operators required to ards for the same cycle for which they
submit reports because of their in- were generated. For example, a Tier 2
volvement in credit transferring. locomotive that is certified to a switch
[73 FR 37197, June 30, 2008, as amended at 75 cycle NOX FEL below the applicable
FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25, switch cycle standard and a line-haul
2016] cycle NOX FEL below the applicable
line-haul cycle standard may generate
§ 1033.735 Required records.
switch cycle NOX credits for use in
(a) You must organize and maintain complying with switch cycle NOX
your records as described in this sec- standards and a line-haul cycle NOX
tion. credits for use in complying with line-
(b) Keep the records required by this haul cycle NOX standards.
section for at least eight years after (c) Single cycle locomotives. As speci-
the due date for the end-of-year report.
fied in § 1033.101, Tier 0 switch loco-
You may not use emission credits for
motives, Tier 3 and later switch loco-
any engines if you do not keep all the
records required under this section. motives, and Tier 4 and later line-haul
You must therefore keep these records locomotives are not subject to both
to continue to bank valid credits. switch cycle and line-haul cycle stand-
(c) Keep a copy of the reports we re- ards.
quire in § 1033.730. (1) When using credits generated by
(d) Keep records of the engine identi- locomotives covered by paragraph (b)
fication number for each locomotive of this section for single cycle loco-
you produce that generates or uses motives covered by this paragraph (c),
emission credits under the ABT pro- you must use both switch and line-haul
gram. If you change the FEL after the credits as described in this paragraph
start of production, identify the date (c)(1).
you started using each FEL and the (i) For locomotives subject only to
range of engine identification numbers switch cycle standards, calculate the
associated with each FEL. You must negative switch credits for the credit
also be able to identify the purchaser using locomotive as specified in
and destination for each engine you § 1033.705. Such locomotives also gen-
produce. erate an equal number of negative line-
(e) We may require you to keep addi- haul cycle credits (in Mg).
tional records or to send us relevant in-
(ii) For locomotives subject only to
formation not required by this section
line-haul cycle standards, calculate the
in accordance with the Clean Air Act.
negative line-haul credits for the credit
[73 FR 37197, June 30, 2008, as amended at 75 using locomotive as specified in
FR 22987, Apr. 30, 2010; 81 FR 74009, Oct. 25, § 1033.705. Such locomotives also gen-
2016]
erate an equal number of negative
§ 1033.740 Credit restrictions. switch cycle credits (in Mg).
(2) Credits generated by Tier 0, Tier
Use of emission credits generated
3, or Tier 4 switch locomotives may be
under this part 1033 or 40 CFR part 92 is
restricted depending on the standards used to show compliance with any
against which they were generated. switch cycle or line-haul cycle stand-
(a) Credits from 40 CFR part 92. NOX ards.
and PM credits generated under 40 CFR (3) Credits generated by any line-haul
part 92 may be used under this part in locomotives may not be used by Tier 3
the same manner as NOX and PM cred- or later switch locomotives.
its generated under this part. (d) Tier 4 credit use. The number of
(b) General cycle restriction. Loco- Tier 4 locomotives that can be certified
motives subject to both switch cycle using credits in any year may not ex-
standards and line-haul cycle standards ceed 50 percent of the total number of
(such as Tier 2 locomotives) may gen- Tier 4 locomotives you produce in that
erate both switch and line-haul credits. year for U.S. sales.
83
§ 1033.745 40 CFR Ch. I (7–1–21 Edition)
(e) Other restrictions. Other sections of changed again under this section dur-
this part may specify additional re- ing a later remanufacture. Remanufac-
strictions for using emission credits turers changing an FEL must notify
under certain special provisions. the owner of the locomotive that it is
required to comply with that FEL for
29, 2021, § 1033.740 was amended, effective July the remainder of its service life.
29, 2021. (b) Calculate the credits needed or
generated as specified in § 1033.705, ex-
§ 1033.745 Compliance with the provi- cept as specified in this paragraph. If
sions of this subpart. the locomotive was previously certified
The provisions of this section apply to an FEL for the pollutant, use the
to certificate holders. previously applicable FEL as the
(a) For each engine family partici- standard.
pating in the ABT program, the certifi-
cate of conformity is conditional upon Subpart I—Requirements for
full compliance with the provisions of Owners and Operators
this subpart during and after the model
year. You are responsible to establish § 1033.801 Applicability.
to our satisfaction that you fully com- The requirements of this subpart are
ply with applicable requirements. We applicable to railroads and all other
may void the certificate of conformity owners and operators of locomotives
for an engine family if you fail to com- subject to the provisions of this part,
ply with any provisions of this subpart. except as otherwise specified. The pro-
(b) You may certify your engine fam- hibitions related to maintenance in
ily to an FEL above an applicable § 1033.815 also applies to anyone per-
emission standard based on a projec- forming maintenance on a locomotive
tion that you will have enough emis- subject to the provisions of this part.
sion credits to offset the deficit for the
engine family. However, we may void § 1033.805 Remanufacturing require-
the certificate of conformity if you ments.
cannot show in your final report that (a) See the definition of ‘‘remanufac-
you have enough actual emission cred- ture’’ in § 1033.901 to determine if you
its to offset a deficit for any pollutant are remanufacturing your locomotive
in an engine family. or engine. (NOTE: Replacing power as-
(c) We may void the certificate of semblies one at a time may qualify as
conformity for an engine family if you remanufacturing, depending on the in-
fail to keep records, send reports, or terval between replacement.)
give us information we request. (b) See the definition of ‘‘new’’ in
(d) You may ask for a hearing if we § 1033.901 to determine if remanufac-
void your certificate under this section turing your locomotive makes it sub-
(see § 1033.920). ject to the requirements of this part. If
the locomotive is considered to be new,
§ 1033.750 Changing a locomotive’s it is subject to the certification re-
FEL at remanufacture. quirements of this part, unless it is ex-
Locomotives are generally required empt under subpart G of this part. The
to be certified to the previously appli- standards to which your locomotive is
cable emission standard or FEL when subject will depend on factors such as
remanufactured. This section describes the following:
provisions that allow a remanufactured (1) Its date of original manufacture.
locomotive to be certified to a different (2) The FEL to which it was pre-
FEL (higher or lower). viously certified, which is listed on the
(a) A remanufacturer may choose to ‘‘Locomotive Emission Control Infor-
certify a remanufacturing system to mation’’ label.
change the FEL of a locomotive from a (3) Its power rating (whether it is
previously applicable FEL or standard. above or below 2300 hp).
Any locomotives remanufactured using (4) The calendar year in which it is
that system are required to comply being remanufactured.
with the revised FEL for the remainder (c) You may comply with the certifi-
of their service lives, unless it is cation requirements of this part for
84
your remanufactured locomotive by ei- are actually unrelated to emissions,

ther obtaining your own certificate of you may ask us to exclude such parts
conformity as specified in subpart C of from the emission-related installation
this part or by having a certifying re- instructions.
manufacturer include your locomotive
under its certificate of conformity. In NOTE: This paragraph (e) does not apply
either case, your remanufactured loco- with respect to parts for maintenance other
than remanufacturing; see § 1033.815 for pro-
motive must be covered by a certifi-
visions related to general maintenance.
cate before it is reintroduced into serv-
ice. (f) Failure to comply with this sec-
(d) If you do not obtain your own cer- tion is a violation of 40 CFR
tificate of conformity from EPA, con- 1068.101(a)(1).
tact a certifying remanufacturer to
have your locomotive included under § 1033.810 In-use testing program.
its certificate of conformity. Confirm
(a) Applicability. This section applies
with the certificate holder that your
to all Class I freight railroads. It does
locomotive’s model, date of original
manufacture, previous FEL, and power not apply to other owner/operators.
rating allow it to be covered by the (b) Testing requirements. Annually test
certificate. You must do all of the fol- a sample of locomotives in your fleet.
lowing: For purposes of this section, your fleet
(1) Comply with the certificate hold- includes both the locomotives that you
er’s emission-related installation in- own and the locomotives that you are
structions, which should include the leasing. Use the test procedures in sub-
following: part F of this part, unless we approve
(i) A description of how to assemble different procedures.
and adjust the locomotive so that it (1) Except for the cases described in
will operate according to design speci- paragraph (b)(2) of this section, test at
fications in the certificate. See para- least 0.075 percent of the average num-
graph (e) of this section for require- ber of locomotives in your fleet during
ments related to the parts you must the previous calendar year (i.e., deter-
use. mine the number to be tested by multi-
(ii) Instructions to remove the En- plying the number of locomotives in
gine Emission Control Information
the fleet by 0.00075 and rounding up to
label and replace it with the certificate
the next whole number).
holder’s new label.
(2) We may allow you to test a small-
NOTE: In most cases, you must not remove er number of locomotives if we deter-
the Locomotive Emission Control Informa- mine that the number of tests other-
tion label.
wise required by this section is not
(2) Provide to the certificate holder necessary.
the information it identifies as nec- (c) Test locomotive selection. Unless we
essary to comply with the require- specify a different option, select test
ments of this part. For example, the locomotives as specified in paragraph
certificate holder may require you to (c)(1) of this section (Option 1). In no
provide the information specified by case may you exclude locomotives be-
§ 1033.735.
cause of visible smoke, a history of du-
(e) For parts unrelated to emissions
rability problems, or other evidence of
and emission-related parts not ad-
dressed by the certificate holder in the malmaintenance. You may test more
emission-related installation instruc- locomotives than this section requires.
tions, you may use parts from any (1) Option 1. To the extent possible,
source. For emission-related parts list- select locomotives from each manufac-
ed by the certificate holder in the turer and remanufacturer, and from
emission-related installation instruc- each tier level (e.g., Tier 0, Tier 1 and
tions, you must either use the specified Tier 2) in proportion to their numbers
parts or parts certified under § 1033.645 in the your fleet. Exclude locomotives
for remanufacturing. If you believe tested during the previous year. If pos-
that the certificate holder has included sible, select locomotives that have
as emission-related parts, parts that been operated for at least 100 percent of
85
§ 1033.815 40 CFR Ch. I (7–1–21 Edition)
their useful lives. Where there are mul- facturer or last remanufacturer(s) of
tiple locomotives meeting the require- the engine if different than that of the
ments of this paragraph (c)(1), ran- manufacturer/remanufacturer(s) of the
domly select the locomotives to be locomotive.
tested from among those locomotives. (ii) Year (and month if known) of
If the number of certified locomotives original manufacture of the locomotive
that have been operated for at least 100 and the engine, and the manufacturer’s
percent of their useful lives is not large model designation of the locomotive
enough to fulfill the testing require- and manufacturer’s model designation
ment, test locomotives still within of the engine, and the locomotive iden-
their useful lives as follows: tification number.
(i) Test locomotives in your fleet (iii) Year (and month if known) that
that are nearest to the end of their use- the engine last underwent remanufac-
ful lives. You may identify such loco- ture, the engine remanufacturer’s des-
motives as a range of values rep- ignation that reflects (or most closely
resenting the fraction of the useful life reflects) the engine after the last re-
already used up for the locomotives.
manufacture, and the engine family
(ii) For example, you may determine
identification.
that 20 percent of your fleet has been
(iv) The number of MW-hrs and miles
operated for at least 75 percent of their
useful lives. In such a case, select loco- (where available) the locomotive has
motives for testing that have been op- been operated since its last remanufac-
erated for at least 75 percent of their ture.
useful lives. (v) The emission test results for all
(2) Option 2. If you hold a certificate measured pollutants.
for some of your locomotives, you may (e) You do not have to submit a re-
ask us to allow you to select up to two port for any year in which you per-
locomotives as specified in subpart E of formed no emission testing under this
this part, and count those locomotives section.
toward both your testing obligations of (f) You may ask us to allow you to
that subpart and this section. submit equivalent emission data col-
(3) Option 3. You may ask us to allow lected for other purposes instead of
you to test locomotives that use parts some or all of the test data required by
covered under § 1033.645. If we do, it this section. If we allow it in advance,
does not change the number of loco- you may report emission data collected
motives that you must test. using other testing or sampling proce-
(4) Option 4. We may require that you dures instead of some or all of the data
test specific locomotives, including lo- specified by this section.
comotives that do not meet the cri- (g) Submit all reports to the Des-
teria specified in any of the options in ignated Compliance Officer.
this section. If we do, we will specify (h) Failure to comply fully with this
which locomotives to test by January 1 section is a violation of 40 CFR
of the calendar year for which testing 1068.101(a)(2).
is required.
(d) Reporting requirements. Report all [73 FR 37197, June 30, 2008, as amended at 73
testing done in compliance with the FR 59191, Oct. 8, 2008]
provisions of this section to us within
§ 1033.815 Maintenance, operation, and
45 calendar days after the end of each repair.
calendar year. At a minimum, include
the following: All persons who own, operate, or
(1) Your full corporate name and ad- maintain locomotives are subject to
dress. this section, except where we specify
(2) For each locomotive tested, all that a requirement applies to the
the following: owner.
(i) Corporate name of the manufac- (a) Unless we allow otherwise, all
turer and last remanufacturer(s) of the owners of locomotives subject to the
locomotive (including both certificate provisions of this part must ensure
holder and installer, where different), that all emission-related maintenance

and the corporate name of the manu- is performed on the locomotives, as
86
specified in the maintenance instruc- (1) You must plan appropriately to

tions provided by the certifying manu- ensure that reductant will be available
facturer/remanufacturer in compliance to the locomotive during operation.
with § 1033.125 (or maintenance that is (2) If the SCR diagnostic indicates (or
equivalent to the maintenance speci- you otherwise determine) that either
fied by the certifying manufacturer/re- reductant supply or reductant quality
manufacturer in terms of maintaining in the locomotive is inadequate, you
emissions performance). must replace the reductant as soon as
(b) Perform unscheduled mainte- practical.
nance in a timely manner. This in- (3) If you operate a locomotive with-
cludes malfunctions identified through out the appropriate urea or other re-
the locomotive’s emission control ductant, you must report such oper-
diagnostics system and malfunctions ation to us within 30 days. Note that
discovered in components of the such operation violates the require-
diagnostics system itself. For most re- ment of this paragraph (e); however, we
pairs, this paragraph (b) requires that
may consider mitigating factors (such
the maintenance be performed no later
as how long the locomotive was oper-
than the locomotive’s next periodic (92-
ated without the appropriate urea or
day or 184-day) inspection. See para-
other reductant) in determining wheth-
graph (e) of this section, for reductant
er to assess penalties for such viola-
replenishment requirements in a loco-
motive equipped with an SCR system. tions.
(c) Use good engineering judgment (f) Failure to fully comply with this
when performing maintenance of loco- section is a violation of 40 CFR
motives subject to the provisions of 1068.101(b).
this part. You must perform all main- [73 FR 37197, June 30, 2008, as amended at 81
tenance and repair such that you have FR 74010, Oct. 25, 2016]
a reasonable technical basis for believ-
ing the locomotive will continue (after § 1033.820 In-use locomotives.
the maintenance or repair) to meet the (a) We may require you to supply in-
applicable emission standards and
use locomotives to us for testing. We
FELs to which it was certified.
will specify a reasonable time and
(d) The owner of the locomotive must
place at which you must supply the lo-
keep records of all maintenance and re-
comotives and a reasonable period dur-
pairs that could reasonably affect the
ing which we will keep them for test-
emission performance of any loco-
ing. We will make reasonable allow-
motive subject to the provisions of this
ances for you to schedule the supply of
part. Keep these records for eight
locomotives to minimize disruption of
years.
your operations. The number of loco-
(e) For locomotives equipped with
emission controls requiring the use of motives that you must supply is lim-
specific fuels, lubricants, or other ited as follows:
fluids, proper maintenance includes (1) We will not require a Class I rail-
complying with the manufacturer/re- road to supply more than five loco-
manufacturer’s specifications for such motives per railroad per calendar year.
fluids when operating the locomotives. (2) We will not require a non-Class I
This requirement applies without re- railroad (or other entity subject to the
gard to whether misfueling perma- provisions of this subpart) to supply
nently disables the emission controls. more than two locomotives per rail-
For locomotives certified on ultra-low road per calendar year. We will request
sulfur diesel fuel, but that do not in- locomotives under this paragraph (a)(2)
clude sulfur-sensitive emission con- only for purposes that cannot be ac-
trols, you may use low-sulfur diesel complished using locomotives supplied
fuel instead of ultra-low sulfur diesel under paragraph (a)(1) of this section.
fuel, consistent with good engineering (b) You must make reasonable efforts
judgment. The following additional to supply manufacturers/remanufactur-
provisions apply for locomotives ers with the test locomotives needed to
equipped with SCR systems requiring fulfill the in-use testing requirements
the use of urea or other reductants: in subpart E of this part.
87
§ 1033.825 40 CFR Ch. I (7–1–21 Edition)
(c) Failure to fully comply with this weight) of one or more alcohols: e.g.,
section is a violation of 40 CFR methyl alcohol, ethyl alcohol.
1068.101(a)(2). Alcohol-fueled locomotive means a lo-
comotive with an engine that is de-
§ 1033.825 Refueling requirements. signed to run using an alcohol fuel. For
(a) If your locomotive operates using purposes of this definition, alcohol
a volatile fuel, your refueling equip- fuels do not include fuels with a nomi-
ment must be designed and used to nal alcohol content below 25 percent by
minimize the escape of fuel vapors. volume.
This means you may not use refueling Alternator/generator efficiency means
equipment in a way that renders any the ratio of the electrical power output
refueling emission controls inoperative from the alternator/generator to the
or reduces their effectiveness. mechanical power input to the alter-
(b) If your locomotive operates using nator/generator at the operating point.
a gaseous fuel, the hoses used to refuel Note that the alternator/generator effi-
it may not be designed to be bled or ciency may be different at different op-
vented to the atmosphere under normal erating points. For example, the Insti-
operating conditions. tute of Electrical and Electronic Engi-
(c) Failing to fully comply with the neers Standard 115 (‘‘Test Procedures
requirements of this section is a viola- for Synchronous Machines’’) is an ap-
tion of 40 CFR 1068.101(b). propriate test procedure for deter-
mining alternator/generator efficiency.
Other methods may also be used con-
Subpart J—Definitions and Other sistent with good engineering judg-
Reference Information ment.
Applicable emission standard or appli-
§ 1033.901 Definitions.
cable standard means a standard to
The following definitions apply to which a locomotive is subject; or,
this part. The definitions apply to all where a locomotive has been or is being
subparts unless we note otherwise. All certified to another standard or FEL,
undefined terms have the meaning the the FEL or other standard to which the
Clean Air Act gives to them. The defi- locomotive has been or is being cer-
nitions follow: tified is the applicable standard. This
Adjustable parameter means any de- definition does not apply to Subpart H
vice, system, or element of design that of this part.
someone can adjust (including those Auxiliary emission control device means
which are difficult to access) and that, any element of design that senses tem-
if adjusted, may affect emissions or lo- perature, locomotive speed, engine
comotive performance during emission RPM, transmission gear, or any other
testing or normal in-use operation. parameter for the purpose of acti-
This includes, but is not limited to, pa- vating, modulating, delaying, or de-
rameters related to injection timing activating the operation of any part of
and fueling rate. You may ask us to ex- the emission-control system.
clude a parameter if you show us that Auxiliary engine means a nonroad en-
it will not be adjusted in a way that af- gine that provides hotel power or
fects emissions during in-use oper- power during idle, but does not provide
ation. power to propel the locomotive.
Aftertreatment means relating to a Averaging means the exchange of
catalytic converter, particulate filter, emission credits among engine families
or any other system, component, or within a given manufacturer’s, or re-
technology mounted downstream of the manufacturer’s product line.
exhaust valve (or exhaust port) whose Banking means the retention of emis-
design function is to reduce emissions sion credits by a credit holder for use
in the locomotive exhaust before it is in future calendar year averaging or
exhausted to the environment. Ex- trading as permitted by the regulations
haust-gas recirculation (EGR) is not in this part.
aftertreatment. Brake power means the sum of the al-
Alcohol fuel means a fuel consisting ternator/generator input power and the
primarily (more than 50 percent by mechanical accessory power, excluding
88
any power required to circulate engine mean calendar days excluding week-
coolant, circulate engine lubricant, ends and U.S. national holidays.
supply fuel to the engine, or operate Design certify or certify by design
aftertreatment devices. means to certify a locomotive based on
Calibration means the set of specifica- inherent design characteristics rather
tions, including tolerances, specific to than your test data, such as allowed
a particular design, version, or applica- under § 1033.625. All other requirements
tion of a component, or components, or of this part apply for such locomotives.
assembly capable of functionally de- Designated Compliance Officer means
scribing its operation over its working the Director, Diesel Engine Compliance
range. Center, U.S. Environmental Protection
Carryover means relating to certifi- Agency, 2000 Traverwood Drive, Ann
cation based on emission data gen- Arbor, MI 48105;
erated from an earlier model year as complianceinfo@epa.gov; epa.gov/otaq/
described in § 1033.235(d). verify.
Certification means the process of ob- Deteriorated emission level means the
taining a certificate of conformity for emission level that results from apply-
an engine family that complies with ing the appropriate deterioration fac-
the emission standards and require- tor to the official emission result of
ments in this part, or relating to that the emission-data locomotive.
process. Deterioration factor means the rela-
Certified emission level means the tionship between emissions at the end
highest deteriorated emission level in of useful life and emissions at the low-
an engine family for a given pollutant hour test point, expressed in one of the
from a given test cycle. following ways:
Class I freight railroad means a Class I (1) For multiplicative deterioration
railroad that primarily transports factors, the ratio of emissions at the
freight rather than passengers. end of useful life to emissions at the
Class I railroad means a railroad that low-hour test point.
has been classified as a Class I railroad (2) For additive deterioration factors,
by the Surface Transportation Board. the difference between emissions at the
Class II railroad means a railroad that end of useful life and emissions at the
has been classified as a Class II rail- low-hour test point.
road by the Surface Transportation Discrete-mode means relating to the
Board. discrete-mode type of steady-state test
Class III railroad means a railroad described in § 1033.515.
that has been classified as a Class III Dual-fuel means relating to a loco-
railroad by the Surface Transportation motive designed for operation on two
Board. different fuels but not on a continuous
Clean Air Act means the Clean Air mixture of those fuels (see § 1033.601(f)).
Act, as amended, 42 U.S.C. 7401–7671q. For purposes of this part, such a loco-
Configuration means a unique com- motive remains a dual-fuel locomotive
bination of locomotive hardware and even if it is designed for operation on
calibration within an engine family. three or more different fuels.
Locomotives within a single configura- Emission control system means any de-
tion differ only with respect to normal vice, system, or element of design that
production variability (or factors unre- controls or reduces the regulated emis-
lated to engine performance or emissions from a locomotive.
sions). Emission credits represent the amount
Crankcase emissions means airborne of emission reduction or exceedance,
substances emitted to the atmosphere by a locomotive engine family, below
from any part of the locomotive crank- or above the emission standard, respec-
case’s ventilation or lubrication sys- tively. Emission reductions below the
tems. The crankcase is the housing for standard are considered as ‘‘positive
the crankshaft and other related inter- credits,’’ while emission exceedances
nal parts. above the standard are considered as
Days means calendar days, unless ‘‘negative credits.’’ In addition, ‘‘pro-
otherwise specified. For example, jected credits’’ refer to emission cred-

where we specify working days, we its based on the projected applicable
89
§ 1033.901 40 CFR Ch. I (7–1–21 Edition)
production/sales volume of the engine this section) or otherwise excluded

family. ‘‘Reserved credits’’ are emis- under section § 1033.5. Excluded loco-
sion credits generated within a cal- motives are not subject to the stand-
endar year waiting to be reported to ards of this part.
EPA at the end of the calendar year. Exhaust emissions means substances
‘‘Actual credits’’ refer to emission (i.e., gases and particles) emitted to
credits based on actual applicable pro- the atmosphere from any opening
duction/sales volume as contained in downstream from the exhaust port or
the end-of-year reports submitted to exhaust valve of a locomotive engine.
EPA. Exhaust-gas recirculation means a
Emission-data locomotive means a lo- technology that reduces emissions by
comotive or engine that is tested for routing exhaust gases that had been
certification. This includes loco- exhausted from the combustion cham-
motives tested to establish deteriora- ber(s) back into the locomotive to be
tion factors. mixed with incoming air before or dur-
Emission-related maintenance means ing combustion. The use of valve tim-
maintenance that substantially affects ing to increase the amount of residual
emissions or is likely to substantially exhaust gas in the combustion cham-
affect emission deterioration. ber(s) that is mixed with incoming air
Engine family has the meaning given before or during combustion is not con-
in § 1033.230. sidered exhaust-gas recirculation for
Engine used in a locomotive means an the purposes of this part.
engine incorporated into a locomotive Flexible-fuel means relating to a loco-
or intended for incorporation into a lo- motive designed for operation on any
comotive (whether or not it is used for mixture of two or more different fuels
propelling the locomotive). (see § 1033.601(f)).
Engineering analysis means a sum- Freshly manufactured locomotive
mary of scientific and/or engineering means a new locomotive that contains
principles and facts that support a con- fewer than 25 percent previously used
clusion made by a manufacturer/re- parts (weighted by the dollar value of
manufacturer, with respect to compli- the parts) as described in § 1033.640.
ance with the provisions of this part. Freshly manufactured engine means a
EPA Enforcement Officer means any new engine that has not been remanu-
officer or employee of the Environ- factured. An engine becomes freshly
mental Protection Agency so des- manufactured when it is originally
ignated in writing by the Adminis- manufactured.
trator or his/her designee. Family emission limit (FEL) means an
Exempted means relating to a loco- emission level declared by the manu-
motive that is not required to meet facturer/remanufacturer to serve in
otherwise applicable standards. Ex- place of an otherwise applicable emis-
empted locomotives must conform to sion standard under the ABT program
regulatory conditions specified for an in subpart H of this part. The family
exemption in this part 1033 or in 40 emission limit must be expressed to
CFR part 1068. Exempted locomotives the same number of decimal places as
are deemed to be ‘‘subject to’’ the the emission standard it replaces. The
standards of this part, even though family emission limit serves as the
they are not required to comply with emission standard for the engine fam-
the otherwise applicable requirements. ily with respect to all required testing.
Locomotives exempted with respect to Fuel system means all components in-
a certain tier of standards may be re- volved in transporting, metering, and
quired to comply with an earlier tier of mixing the fuel from the fuel tank to
standards as a condition of the exemp- the combustion chamber(s), including
tion; for example, locomotives exempt- the fuel tank, fuel tank cap, fuel pump,
ed with respect to Tier 3 standards may fuel filters, fuel lines, carburetor or
be required to comply with Tier 2 fuel-injection components, and all fuel-
standards. system vents.
Excluded means relating to a loco- Fuel type means a general category of
motive that either has been determined fuels such as diesel fuel or natural gas.
not to be a locomotive (as defined in There can be multiple grades within a
90
single fuel type, such as high-sulfur or when not under load for purposes of
low-sulfur diesel fuel. propelling the locomotive. There are
Gaseous fuel means a fuel which is a typically one or two idle speeds on a lo-
gas at standard temperature and pres- comotive as follows:
sure. This includes both natural gas (1) Normal idle speed means the idle
and liquefied petroleum gas. speed for the idle throttle-notch posi-
Good engineering judgment means tion for locomotives that have one
judgments made consistent with gen- throttle-notch position, or the highest
erally accepted scientific and engineer- idle speed for locomotives that have
ing principles and all available rel- two idle throttle-notch positions.
evant information. See 40 CFR 1068.5 (2) Low idle speed means the lowest
for the administrative process we use idle speed for locomotives that have
to evaluate good engineering judg- two idle throttle-notch positions.
ment. Inspect and qualify means to deter-
Green Engine Factor means a factor mine that a previously used component
that is applied to emission measure- or system meets all applicable criteria
ments from a locomotive or locomotive listed for the component or system in a
engine that has had little or no service certificate of conformity for remanu-
accumulation. The Green Engine Fac- facturing (such as to determine that
tor adjusts emission measurements to the component or system is function-
be equivalent to emission measure- ally equivalent to one that has not
ments from a locomotive or locomotive been used previously).
engine that has had approximately 300 Installer means an individual or enti-
hours of use. ty that assembles remanufactured lo-
High-altitude means relating to an al- comotives or locomotive engines.
titude greater than 4000 feet (1220 me- Line-haul locomotive means a loco-
ters) and less than 7000 feet (2135 me- motive that does not meet the defini-
ters), or equivalent observed baro- tion of switch locomotive. Note that
metric test conditions (approximately this includes both freight and pas-
79 to 88 kPa). senger locomotives.
High-sulfur diesel fuel means one of Liquefied petroleum gas means the
the following: commercial product marketed as pro-
(1) For in-use fuels, high-sulfur diesel pane or liquefied petroleum gas.
fuel means a diesel fuel with a max- Locomotive means a self-propelled
imum sulfur concentration greater piece of on-track equipment designed
than 500 parts per million. for moving or propelling cars that are
(2) For testing, high-sulfur diesel fuel designed to carry freight, passengers or
has the meaning given in 40 CFR part other equipment, but which itself is
1065. not designed or intended to carry
Hotel power means the power provided freight, passengers (other than those
by an engine on a locomotive to oper- operating the locomotive) or other
ate equipment on passenger cars of a equipment. The following other equip-
train; e.g., heating and air condi- ment are not locomotives (see 40 CFR
tioning, lights, etc. parts 86, 89, and 1039 for this diesel-
Hydrocarbon (HC) means the hydro- powered equipment):
carbon group (THC, NMHC, or THCE) (1) Equipment designed for operation
on which the emission standards are both on highways and rails is not a lo-
based for each fuel type as described in comotive.
§ 1033.101. (2) Specialized railroad equipment for
Identification number means a unique maintenance, construction, post-acci-
specification (for example, a model dent recovery of equipment, and re-
number/serial number combination) pairs; and other similar equipment, are
that allows someone to distinguish a not locomotives.
particular locomotive from other simi- (3) Vehicles propelled by engines with
lar locomotives. total rated power of less than 750 kW
Idle speed means the speed, expressed (1006 hp) are not locomotives, unless
as the number of revolutions of the the owner (which may be a manufac-
crankshaft per unit of time (e.g., rpm), turer) chooses to have the equipment
at which the engine is set to operate certified to meet the requirements of
91
§ 1033.901 40 CFR Ch. I (7–1–21 Edition)
this part (under § 1033.615). Where into commerce in the United States.
equipment is certified as a locomotive This includes importers who import lo-
pursuant to this paragraph (3), it is comotives or engines for resale.
subject to the requirements of this part Manufacturer/remanufacturer means
for the remainder of its service life. the manufacturer of a freshly manufac-
For locomotives propelled by two or tured locomotive or engine or the re-
more engines, the total rated power is manufacturer of a remanufactured lo-
the sum of the rated power of each en- comotive or engine, as applicable.
gine. Model year means a calendar year in
Locomotive engine means an engine which a locomotive is manufactured or
that propels a locomotive. remanufactured.
Low-hour means relating to a loco- New, when relating to a locomotive
motive with stabilized emissions and or locomotive engine, has the meaning
represents the undeteriorated emission given in paragraph (1) of this defini-
level. This would generally involve less tion, except as specified in paragraph
than 300 hours of operation. (2) of this definition:
Low mileage locomotive means a loco-
(1) A locomotive or engine is new if
motive during the interval between the
its equitable or legal title has never
time that normal assembly operations
been transferred to an ultimate pur-
and adjustments are completed and the
chaser. Where the equitable or legal
time that either 10,000 miles of loco-
title to a locomotive or engine is not
motive operation or 300 additional op-
transferred prior to its being placed
erating hours have been accumulated
into service, the locomotive or engine
(including emission testing if per-
formed). Note that we may deem loco- ceases to be new when it is placed into
motives with additional operation to service. A locomotive or engine also
be low mileage locomotives, consistent becomes new if it is remanufactured or
with good engineering judgment. refurbished (as defined in this section).
Low-sulfur diesel fuel means one of A remanufactured locomotive or en-
the following: gine ceases to be new when placed back
(1) For in-use fuels, low-sulfur diesel into service. With respect to imported
fuel means a diesel fuel market as low- locomotives or locomotive engines, the
sulfur diesel fuel having a maximum term ‘‘new locomotive’’ or ‘‘new loco-
sulfur concentration of 500 parts per motive engine’’ also means a loco-
million. motive or locomotive engine that is
(2) For testing, low-sulfur diesel fuel not covered by a certificate of con-
has the meaning given in 40 CFR part formity under this part or 40 CFR part
1065. 92 at the time of importation, and that
Malfunction means a condition in was manufactured or remanufactured
which the operation of a component in after the effective date of the emission
a locomotive or locomotive engine oc- standards in 40 CFR part 92 which
curs in a manner other than that speci- would have been applicable to such lo-
fied by the certifying manufacturer/re- comotive or engine had it been manu-
manufacturer (e.g., as specified in the factured or remanufactured for impor-
application for certification); or the tation into the United States. Note
operation of the locomotive or loco- that replacing an engine in one loco-
motive engine in that condition. motive with an unremanufactured used
Manufacture means the physical and engine from a different locomotive
engineering process of designing, con- does not make a locomotive new.
structing, and assembling a locomotive (2) The provisions of paragraph (1) of
or locomotive engine. this definition do not apply for the fol-
Manufacturer has the meaning given lowing cases:
in section 216(1) of the Clean Air Act (i) Locomotives and engines that
with respect to freshly manufactured were originally manufactured before
locomotives or engines. In general, this January 1, 1973 are not considered to
term includes any person who manu- become new when remanufactured un-
factures a locomotive or engine for sale less they have been upgraded (as de-
in the United States or otherwise in- fined in this section). The provisions of
troduces a new locomotive or engine paragraph (1) of this definition apply
92
for locomotives that have been up- Opacity means the fraction of a beam
graded. of light, expressed in percent, which
(ii) Locomotives that are owned and fails to penetrate a plume of smoke, as
operated by a small railroad and that measured by the procedure specified in
have never been certified (i.e., manu- § 1033.525.
factured or remanufactured into a cer- Original manufacture means the event
tified configuration) are not considered of freshly manufacturing a locomotive
to become new when remanufactured. or locomotive engine. The date of
The provisions of paragraph (1) of this original manufacture is the date of
definition apply for locomotives that final assembly, except as provided in
have previously been remanufactured § 1033.640. Where a locomotive is manu-
into a certified configuration. factured under § 1033.620(b), the date of
(iii) Locomotives originally certified original manufacture is the date on
under § 1033.150(e) do not become new which the final assembly of locomotive
when remanufactured, except as speci- was originally scheduled.
fied in § 1033.615. Original remanufacture means the
(iv) Locomotives that operate only first remanufacturing of a locomotive
on non-standard gauge rails do not be- at which the locomotive is subject to
come new when remanufactured if no the emission standards of this part.
certified remanufacturing system is Owner/operator means the owner and/
available for them. or operator of a locomotive.
Nonconforming means relating to a lo- Owners manual means a written or
comotive that is not covered by a cer- electronic collection of instructions
tificate of conformity prior to importa- provided to ultimate purchasers to de-
tion or being offered for importation scribe the basic operation of the loco-
(or for which such coverage has not motive.
been adequately demonstrated to Oxides of nitrogen has the meaning
EPA); or a locomotive which was origi- given in 40 CFR part 1065.
nally covered by a certificate of con- Particulate trap means a filtering de-
formity, but which is not in a certified vice that is designed to physically trap
configuration, or otherwise does not all particulate matter above a certain
comply with the conditions of that cer-
size.
tificate of conformity. (NOTE: Domestic
Passenger locomotive means a loco-
locomotives and locomotive engines
not covered by a certificate of con- motive designed and constructed for
formity prior to their introduction into the primary purpose of propelling pas-
U.S. commerce are considered to be senger trains, and providing power to
noncomplying locomotives and loco- the passenger cars of the train for such
motive engines.) functions as heating, lighting and air
Non-locomotive-specific engine means conditioning.
an engine that is sold for and used in Petroleum fuel means gasoline or die-
non-locomotive applications much sel fuel or another liquid fuel primarily
more than for locomotive applications. derived from crude oil.
Nonmethane hydrocarbon has the Placed into service means put into ini-
meaning given in 40 CFR 1065.1001. This tial use for its intended purpose after
generally means the difference between becoming new.
the emitted mass of total hydrocarbons Power assembly means the compo-
and the emitted mass of methane. nents of an engine in which combustion
Nonroad means relating to nonroad of fuel occurs, and consists of the cyl-
engines as defined in 40 CFR 1068.30. inder, piston and piston rings, valves
Official emission result means the and ports for admission of charge air
measured emission rate for an emis- and discharge of exhaust gases, fuel in-
sion-data locomotive on a given duty jection components and controls, cyl-
cycle before the application of any de- inder head and associated components.
terioration factor, but after the appli- Primary fuel means the type of fuel
cation of regeneration adjustment fac- (e.g., diesel fuel) that is consumed in
tors, Green Engine Factors, and/or hu- the greatest quantity (mass basis)
midity correction factors. when the locomotive is operated in use.
93
§ 1033.901 40 CFR Ch. I (7–1–21 Edition)
Produce means to manufacture or re- Remanufacturer has the meaning

manufacture. Where a certificate hold- given to ‘‘manufacturer’’ in section
er does not actually assemble the loco- 216(1) of the Clean Air Act with respect
motives or locomotive engines that it to remanufactured locomotives. (See
manufactures or remanufactures, §§ 1033.1 and 1033.601 for applicability of
produce means to allow other entities this term.) This term includes:
to assemble locomotives under the cer- (1) Any person that is engaged in the
tificate holder’s certificate. manufacture or assembly of remanu-
Railroad means a commercial entity factured locomotives or locomotive en-
that operates locomotives to transport gines, such as persons who:
passengers or freight. (i) Design or produce the emission-re-
Ramped-modal means relating to the lated parts used in remanufacturing.
ramped-modal type of testing in sub- (ii) Install parts in an existing loco-
part F of this part. motive or locomotive engine to re-
Rated power has the meaning given in manufacture it.
§ 1033.140. (iii) Own or operate the locomotive
Refurbish has the meaning given in or locomotive engine and provide speci-
§ 1033.640. fications as to how an engine is to be
Remanufacture means one of the fol- remanufactured (i.e., specifying who
lowing: will perform the work, when the work
(1)(i) To replace, or inspect and qual- is to be performed, what parts are to be
ify, each and every power assembly of a used, or how to calibrate the adjustable
locomotive or locomotive engine, parameters of the engine).
whether during a single maintenance (2) Any person who imports remanu-
event or cumulatively within a five- factured locomotives or remanufac-
year period. tured locomotive engines.
(ii) To upgrade a locomotive or loco-
Repower means replacement of the
motive engine.
engine in a previously used locomotive
(iii) To convert a locomotive or loco- with a freshly manufactured loco-
motive engine to enable it to operate
motive engine. See § 1033.640.
using a fuel other than it was origi-
Repowered locomotive means a loco-
nally manufactured to use.
motive that has been repowered with a
(iv) To install a remanufactured en-
freshly manufactured engine.
gine or a freshly manufactured engine
into a previously used locomotive. Revoke has the meaning given in 40
CFR 1068.30. In general this means to
(v) To repair a locomotive engine
that does not contain power assemblies terminate the certificate or an exemp-
to a condition that is equivalent to or tion for an engine family.
better than its original condition with Round means to round numbers as
respect to reliability and fuel consump- specified in 40 CFR 1065.1001.
tion. Service life means the total life of a
(2) Remanufacture also means the act locomotive. Service life begins when
of remanufacturing. the locomotive is originally manufac-
Remanufacture system or remanufactured and continues until the loco-
turing system means all components (or motive is permanently removed from
specifications for components) and in- service.
structions necessary to remanufacture Small manufacturer/remanufacturer
a locomotive or locomotive engine in means a manufacturer/remanufacturer
accordance with applicable require- with 1,000 or fewer employees. For pur-
ments of this part. poses of this part, the number of em-
Remanufactured locomotive means ei- ployees includes all employees of the
ther a locomotive powered by a remanufacturer/remanufacturer’s parent
manufactured locomotive engine, a re- company, if applicable.
powered locomotive, or a refurbished Small railroad means a railroad meet-
locomotive. ing the criterion of paragraph (1) of
Remanufactured locomotive engine this definition, but not either of the
means a locomotive engine that has criteria of paragraphs (2) and (3) of this
been remanufactured. definition.
94
(1) To be considered a small railroad, testing for certification, production-

a railroad must qualify as a small busi- line testing, or in-use testing.
ness under the Small Business Admin- Tier 0 or Tier 0 + means relating to
istration’s regulations in 13 CFR part the Tier 0 emission standards, as shown
121. in § 1033.101.
(2) Class I and Class II railroads (and Tier 1 or Tier 1 + means relating to
their subsidiaries) are not small rail- the Tier 1 emission standards, as shown
roads. in § 1033.101.
(3) Intercity passenger and commuter Tier 2 or Tier 2 + means relating to
railroads are excluded from this defini- the Tier 2 emission standards, as shown
tion of small railroad. Note that this in § 1033.101.
paragraph (3) does not exclude tourist Tier 3 means relating to the Tier 3
railroads. emission standards, as shown in
Specified adjustable range means the § 1033.101.
range of allowable settings for an ad- Tier 4 means relating to the Tier 4
justable component specified by a cer- emission standards, as shown in
tificate of conformity. § 1033.101.
Total hydrocarbon has the meaning
Specified by a certificate of conformity
given in 40 CFR 1065.1001. This gen-
or specified in a certificate of conformity
erally means the combined mass of or-
means stated or otherwise specified in
ganic compounds measured by the
a certificate of conformity or an ap-
specified procedure for measuring total
proved application for certification.
hydrocarbon, expressed as a hydro-
Sulfur-sensitive technology means an carbon with an atomic hydrogen-to-
emission control technology that carbon ratio of 1.85:1.
would experience a significant drop in Total hydrocarbon equivalent has the
emission control performance or emis- meaning given in 40 CFR 1065.1001. This
sion-system durability when a loco- generally means the sum of the carbon
motive is operated on low-sulfur diesel mass contributions of non-oxygenated
fuel with a sulfur concentration of 300 hydrocarbon, alcohols and aldehydes,
to 500 ppm as compared to when it is or other organic compounds that are
operated on ultra low-sulfur diesel fuel measured separately as contained in a
(i.e., fuel with a sulfur concentration gas sample, expressed as exhaust hy-
less than 15 ppm). Exhaust gas recir- drocarbon from petroleum-fueled loco-
culation is not a sulfur-sensitive tech- motives. The atomic hydrogen-to-car-
nology. bon ratio of the equivalent hydro-
Suspend has the meaning given in 40 carbon is 1.85:1.
CFR 1068.30. In general this means to Ultimate purchaser means the first
temporarily discontinue the certificate person who in good faith purchases a
or an exemption for an engine family. new locomotive for purposes other than
Switch locomotive means a locomotive resale.
that is powered by an engine with a Ultra low-sulfur diesel fuel means one
maximum rated power (or a combina- of the following:
tion of engines having a total rated (1) For in-use fuels, ultra low-sulfur
power) of 2300 hp or less. Include auxil- diesel fuel means a diesel fuel marketed
iary engines in your calculation of as ultra low-sulfur diesel fuel having a
total power if the engines are perma- maximum sulfur concentration of 15
nently installed on the locomotive and parts per million.
can be operated while the main propul- (2) For testing, ultra low-sulfur diesel
sion engine is operating. Do not count fuel has the meaning given in 40 CFR
the power of auxiliary engines that op- part 1065.
erate only to reduce idling time of the Upcoming model year means for an en-
propulsion engine. gine family the model year after the
Test locomotive means a locomotive or one currently in production.
engine in a test sample. Upgrade means one of the following
Test sample means the collection of types of remanufacturing.
locomotives or engines selected from (1) Repowering a locomotive that was
the population of an engine family for originally manufactured prior to Janu-

emission testing. This may include ary 1, 1973.
95
§ 1033.905 40 CFR Ch. I (7–1–21 Edition)
(2) Refurbishing a locomotive that hp horsepower.

was originally manufactured prior to LPG liquefied petroleum gas.
January 1, 1973 in a manner that is not LSD low sulfur diesel.
MW megawatt.
freshly manufacturing. N2O nitrous oxide.
(3) Modifying a locomotive that was NIST National Institute of Standards and
originally manufactured prior to Janu- Technology.
ary 1, 1973 (or a locomotive that was NMHC nonmethane hydrocarbons.
originally manufactured on or after NOX oxides of nitrogen.
January 1, 1973, and that is not subject PM particulate matter.
to the emission standards of this part), rpm revolutions per minute.
SAE Society of Automotive Engineers.
such that it is intended to comply with SCR selective catalytic reduction.
the Tier 0 standards. See § 1033.615. SEA Selective Enforcement Audit.
Useful life means the period during THC total hydrocarbon.
which the locomotive engine is de- THCE total hydrocarbon equivalent.
signed to properly function in terms of UL useful life.
reliability and fuel consumption, with- ULSD ultra low sulfur diesel.
out being remanufactured, specified as U.S. United States.
U.S.C. United States Code.
work output or miles. It is the period
during which a locomotive is required [73 FR 37197, June 30, 2008, as amended at 74
to comply with all applicable emission FR 56508, Oct. 30, 2008; 75 FR 22987, Apr. 30,
2010]
standards. See § 1033.101(g).
Void has the meaning given in 40 CFR § 1033.915 Confidential information.
1068.30. In general this means to invali-
date a certificate or an exemption both The provisions of 40 CFR 1068.10 apply
retroactively and prospectively. for information you consider confiden-
Volatile fuel means a volatile liquid tial.
fuel or any fuel that is a gas at atmos- [81 FR 74010, Oct. 25, 2016]
pheric pressure. Gasoline, natural gas,
and LPG are volatile fuels. § 1033.920 How to request a hearing.
Volatile liquid fuel means any liquid (a) You may request a hearing under
fuel other than diesel or biodiesel that certain circumstances, as described
is a liquid at atmospheric pressure and elsewhere in this part. To do this, you
has a Reid Vapor Pressure higher than must file a written request, including a
2.0 pounds per square inch. description of your objection and any
We (us, our) means the Administrator supporting data, within 30 days after
of the Environmental Protection Agen- we make a decision.
cy and any authorized representatives. (b) For a hearing you request under
[73 FR 37197, June 30, 2008, as amended at 73 the provisions of this part, we will ap-
FR 59191, Oct. 8, 2008; 75 FR 22987, Apr. 30, prove your request if we find that your
2010; 81 FR 74010, Oct. 25, 2016] request raises a substantial factual
EFFECTIVE DATE NOTE: At 86 FR 34376, June issue.
29, 2021, § 1033.901 was amended, effective July (c) If we agree to hold a hearing, we
29, 2021. will use the procedures specified in 40
CFR part 1068, subpart G.
§ 1033.905 Symbols, acronyms, and ab-
breviations. § 1033.925 Reporting and record-
The following symbols, acronyms, keeping requirements.
and abbreviations apply to this part: (a) This part includes various re-
quirements to submit and record data
ABT averaging, banking, and trading.
AECD auxiliary emission control device. or other information. Unless we specify
AESS automatic engine stop/start otherwise, store required records in
AF adjustment factor (see § 1033.530). any format and on any media and keep
CFR Code of Federal Regulations. them readily available for eight years
CH4 methane. after you send an associated applica-
CO carbon monoxide. tion for certification, or eight years
CO2 carbon dioxide.
EPA Environmental Protection Agency.
after you generate the data if they do
not support an application for certifi-
FEL Family Emission Limit.

g/bhp-hr grams per brake horsepower-hour. cation. You are expected to keep your
HC hydrocarbon. own copy of required records rather
96
than relying on someone else to keep (v) In §§ 1033.725, 1033.730, and 1033.735
records on your behalf. We may review we specify certain records related to
these records at any time. You must averaging, banking, and trading.
promptly send us organized, written (vi) In subpart I of this part we speci-
records in English if we ask for them. fy certain records related to meeting
We may require you to submit written requirements for remanufactured en-
records in an electronic format. gines.
(b) The regulations in § 1033.255, 40 (2) We specify the following require-
CFR 1068.25, and 40 CFR 1068.101 de- ments related to testing in 40 CFR part
scribe your obligation to report truth- 1065:
ful and complete information. This in- (i) In 40 CFR 1065.2 we give an over-
cludes information not related to cer- view of principles for reporting infor-
tification. Failing to properly report mation.
information and keep the records we (ii) In 40 CFR 1065.10 and 1065.12 we
specify violates 40 CFR 1068.101(a)(2), specify information needs for estab-
which may involve civil or criminal lishing various changes to published
penalties. test procedures.
(c) Send all reports and requests for (iii) In 40 CFR 1065.25 we establish
approval to the Designated Compliance basic guidelines for storing test infor-
Officer (see § 1033.801). mation.
(d) Any written information we re- (iv) In 40 CFR 1065.695 we identify the
quire you to send to or receive from an- specific information and data items to
other company is deemed to be a re- record when measuring emissions.
quired record under this section. Such
(3) We specify the following require-
records are also deemed to be submis-
ments related to the general compli-
sions to EPA. We may require you to
ance provisions in 40 CFR part 1068:
send us these records whether or not
you are a certificate holder. (i) In 40 CFR 1068.5 we establish a
(e) Under the Paperwork Reduction process for evaluating good engineer-
Act (44 U.S.C. 3501 et seq.), the Office of ing judgment related to testing and
Management and Budget approves the certification.
reporting and recordkeeping specified (ii) In 40 CFR 1068.25 we describe gen-
in the applicable regulations. Failing eral provisions related to sending and
to properly report information and keeping information.
keep the records we specify violates 40 (iii) In 40 CFR 1068.27 we require man-
CFR 1068.101(a)(2), which may involve ufacturers to make locomotives avail-
civil or criminal penalties. The fol- able for our testing or inspection if we
lowing items illustrate the kind of re- make such a request.
porting and recordkeeping we require (iv) In 40 CFR part 1068, subpart C, we
for locomotives regulated under this identify several reporting and record-
part: keeping items for making demonstra-
(1) We specify the following require- tions and getting approval related to
ments related to locomotive certifi- various exemptions.
cation in this part 1033: (v) In 40 CFR part 1068, subpart D, we
(i) In § 1033.150 we include various re- identify several reporting and record-
porting and recordkeeping require- keeping items for making demonstra-
ments related to interim provisions. tions and getting approval related to
(ii) In subpart C of this part we iden- importing locomotives and engines.
tify a wide range of information re- (vi) In 40 CFR 1068.450 and 1068.455 we
quired to certify engines. specify certain records related to test-
(iii) In § 1033.325 we specify certain ing production-line locomotives in a
records related to production-line test- selective enforcement audit.
ing. (vii) In 40 CFR 1068.501 we specify cer-
(iv) In subpart G of this part we iden- tain records related to investigating
tify several reporting and record- and reporting emission-related defects.
keeping items for making demonstra- (viii) In 40 CFR 1068.525 and 1068.530
tions and getting approval related to we specify certain records related to

various special compliance provisions. recalling nonconforming locomotives.
97
Pt. 1033, App. I 40 CFR Ch. I (7–1–21 Edition)
(ix) In 40 CFR part 1068, subpart G, APPENDIX I TO PART 1033—ORIGINAL

we specify certain records for request- STANDARDS FOR TIER 0, TIER 1 AND
ing a hearing. TIER 2 LOCOMOTIVES
[81 FR 74010, Oct. 25, 2016] (a) The following emission standards ap-
EFFECTIVE DATE NOTE: At 86 FR 34376, June plied for new locomotives not yet subject to
29, 2021, § 1033.925 was amended, effective July this part 1033:
29, 2021.
Standards
Year of (g/bhp-hr)
Type of standard original Tier
manufacture NOX PM–primary PM–alternate 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 1036.210 Preliminary approval before certifi-
standards for HC and CO emissions and cation.
smoke are the same standards identified in 1036.225 Amending my application for cer-
§ 1033.101. tification.
[81 FR 74011, Oct. 25, 2016] 1036.230 Selecting engine families.
1036.235 Testing requirements for certifi-
cation.
PART 1036—CONTROL OF EMIS- 1036.241 Demonstrating compliance with
greenhouse gas emission standards.
SIONS FROM NEW AND IN-USE 1036.250 Reporting and recordkeeping for
HEAVY-DUTY HIGHWAY EN- certification.
GINES 1036.255 What decisions may EPA make re-
garding my certificate of conformity?
Subpart A—Overview and Applicability
Subpart D—Testing Production Engines
Sec.
1036.1 Does this part apply for my engines? 1036.301 Measurements related to GEM in-
1036.2 Who is responsible for compliance? puts in a selective enforcement audit.
1036.5 Which engines are excluded from this
part’s requirements?
Subpart E—In-use Testing
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply 1036.401 In-use testing.
to me?
Subpart F—Test Procedures
Subpart B—Emission Standards and 1036.501 How do I run a valid emission test?
Related Requirements 1036.503 Engine data and information for ve-
1036.100 Overview of exhaust emission hicle certification.
standards. 1036.505 Ramped-modal testing procedures.
1036.108 Greenhouse gas emission standards. 1036.510 Engine data and information for ve-
1036.115 Other requirements. hicle certification.
1036.130 Installation instructions for vehicle 1036.525 Hybrid engines.
manufacturers. 1036.527 Powertrain system rated power de-
1036.135 Labeling. termination.
1036.140 Primary intended service class and 1036.530 Calculating greenhouse gas emis-
engine cycle. sion rates.
1036.150 Interim provisions.
1036.535 Determining steady-state engine
fuel maps and fuel consumption at idle.
Subpart C—Certifying Engine Families
1036.540 Determining cycle-average engine

1036.205 What must I include in my applica- fuel maps.
tion? 1036.543 Carbon balance error verification.
98
Subpart G—Special Compliance Provisions duty vehicles (including glider vehi-

cles) above 14,000 pounds GVWR for
1036.601 What compliance provisions apply?
1036.605 GHG exemption for engines used in
propulsion. These provisions also apply
specialty vehicles. for engines that will be installed in in-
1036.610 Off-cycle technology credits and ad- complete heavy-duty vehicles at or
justments for reducing greenhouse gas below 14,000 pounds GVWR unless the
emissions. engine is installed in a vehicle that is
1036.615 Engines with Rankine cycle waste covered by a certificate of conformity
heat recovery and hybrid powertrains. under 40 CFR part 86, subpart S.
1036.620 Alternate CO2 standards based on (b) This part does not apply with re-
model year 2011 compression-ignition en-
gines.
spect to exhaust emission standards for
1036.625 In-use compliance with family HC, CO, NOX, or PM except as follows:
emission limits (FELs). (1) The provisions of § 1036.601 apply.
1036.630 Certification of engine GHG emis- (2) 40 CFR parts 85 and/or 86 may
sions for powertrain testing. specify that certain provisions apply.
(c) The provisions of this part also
Subpart H—Averaging, Banking, and apply for fuel conversions of all en-
Trading for Certification gines described in paragraph (a) of this
1036.701 General provisions. section as described in 40 CFR 85.502.
1036.705 Generating and calculating emis- (d) Gas turbine heavy-duty engines
sion credits. and other heavy-duty engines not
1036.710 Averaging. meeting the definition compression-igni-
1036.715 Banking. tion or spark-ignition are deemed to be
1036.720 Trading. compression-ignition engines for pur-
1036.725 What must I include in my applica- poses of this part.
tion for certification?
1036.730 ABT reports. EFFECTIVE DATE NOTE: At 86 FR 34376, June
1036.735 Recordkeeping. 29, 2021, § 1036.1 was amended, effective July
1036.740 Restrictions for using emission 29, 2021.
credits.
1036.745 End-of-year CO2 credit deficits. § 1036.2 Who is responsible for compli-
1036.750 What can happen if I do not comply ance?
with the provisions of this subpart?
1036.755 Information provided to the Depart-
The regulations in this part 1036 con-
ment of Transportation. tain provisions that affect both engine
manufacturers and others. However,
Subpart I—Definitions and Other Reference the requirements of this part are gen-
Information erally addressed to the engine manu-
facturer(s). The term ‘‘you’’ generally
1036.801 Definitions. means the engine manufacturer(s), es-
1036.805 Symbols, abbreviations, and acro-
nyms.
pecially for issues related to certifi-
1036.810 Incorporation by reference. cation. Additional requirements and
1036.815 Confidential information. prohibitions apply to other persons as
1036.820 Requesting a hearing. specified in subpart G of this part and
1036.825 Reporting and recordkeeping re- 40 CFR part 1068.
quirements.
APPENDIX A TO PART 1036—SUMMARY OF PRE- § 1036.5 Which engines are excluded
VIOUS EMISSION STANDARDS from this part’s requirements?
APPENDIX B TO PART 1036—TRANSIENT DUTY (a) The provisions of this part do not
CYCLES apply to engines used in medium-duty
APPENDIX C TO PART 1036—DEFAULT ENGINE
FUEL MAPS FOR § 1036.540
passenger vehicles or other heavy-duty
vehicles that are subject to regulation
AUTHORITY: 42 U.S.C. 7401—7671q. under 40 CFR part 86, subpart S, except
SOURCE: 81 FR 74011, Oct. 25, 2016, unless as specified in 40 CFR part 86, subpart
otherwise noted. S, and § 1036.150(j). For example, this
exclusion applies for engines used in
§ 1036.1 Does this part apply for my vehicles certified to the standards of 40
engines? CFR 86.1819.
(a) Except as specified in § 1036.5, the (b) An engine installed in a heavy-
provisions of this part apply for en- duty vehicle that is not used to propel
gines that will be installed in heavy- the vehicle is not a heavy-duty engine.
99
§ 1036.10 40 CFR Ch. I (7–1–21 Edition)
The provisions of this part therefore do facturers, vehicle manufacturers, own-

not apply to these engines. Note that ers, operators, rebuilders, and all oth-
engines used to indirectly propel the ers.
vehicle (such as electrical generator (h) Subpart H of this part describes
engines that provide power to batteries how you may generate and use emis-
for propulsion) are subject to this part. sion credits to certify your engines.
See 40 CFR part 1039, 1048, or 1054 for (i) Subpart I of this part contains
other requirements that apply for definitions and other reference infor-
these auxiliary engines. See 40 CFR mation.
part 1037 for requirements that may
apply for vehicles using these engines, § 1036.15 Do any other regulation
such as the evaporative emission re- parts apply to me?
quirements of 40 CFR 1037.103. (a) Part 86 of this chapter describes
(c) The provisions of this part do not
additional requirements that apply to
apply to aircraft or aircraft engines.
engines that are subject to this part
Standards apply separately to certain
1036. This part extensively references
aircraft engines, as described in 40 CFR
portions of 40 CFR part 86. For exam-
part 87.
ple, the regulations of part 86 specify
(d) The provisions of this part do not
emission standards and certification
apply to engines that are not internal
procedures related to criteria pollut-
combustion engines. For example, the
ants.
provisions of this part do not apply to
fuel cells. Note that gas turbine en- (b) Part 1037 of this chapter describes
gines are internal combustion engines. requirements for controlling evapo-
(e) The provisions of this part do not rative emissions and greenhouse gas
apply for model year 2013 and earlier emissions from heavy-duty vehicles,
heavy-duty engines unless they were: whether or not they use engines cer-
(1) Voluntarily certified to this part. tified under this part. It also includes
(2) Installed in a glider vehicle sub- standards and requirements that apply
ject to 40 CFR part 1037. instead of the standards and require-
ments of this part in some cases.
§ 1036.10 How is this part organized? (c) Part 1065 of this chapter describes
This part 1036 is divided into the fol- procedures and equipment specifica-
lowing subparts: tions for testing engines to measure ex-
(a) Subpart A of this part defines the haust emissions. Subpart F of this part
applicability of this part 1036 and gives 1036 describes how to apply the provi-
an overview of regulatory require- sions of part 1065 of this chapter to de-
ments. termine whether engines meet the ex-
(b) Subpart B of this part describes haust emission standards in this part.
the emission standards and other re- (d) Certain provisions of part 1068 of
quirements that must be met to certify this chapter apply as specified in
engines under this part. Note that § 1036.601 to everyone, including anyone
§ 1036.150 describes certain interim re- who manufactures, imports, installs,
quirements and compliance provisions owns, operates, or rebuilds any of the
that apply only for a limited time. engines subject to this part 1036, or ve-
(c) Subpart C of this part describes hicles containing these engines. Part
how to apply for a certificate of con- 1068 of this chapter describes general
formity. provisions that apply broadly, but do
(d) Subpart D of this part addresses not necessarily apply for all engines or
testing of production engines. all persons. See § 1036.601 to determine
(e) Subpart E of this part describes how to apply the part 1068 regulations
provisions for testing in-use engines. for heavy-duty engines. The issues ad-
(f) Subpart F of this part describes dressed by these provisions include
how to test your engines (including ref- these seven areas:
erences to other parts of the Code of (1) Prohibited acts and penalties for
Federal Regulations). engine manufacturers, vehicle manu-
(g) Subpart G of this part describes facturers, and others.
requirements, prohibitions, and other (2) Rebuilding and other aftermarket

provisions that apply to engine manu- changes.
100
(3) Exclusions and exemptions for using the test procedures specified in
certain engines. subpart F of this part as follows:
(4) Importing engines. (1) CO2 emission standards in this
(5) Selective enforcement audits of paragraph (a)(1) apply based on testing
your production. as specified in subpart F of this part.
(6) Recall. The applicable test cycle for measuring
(7) Procedures for hearings. CO2 emissions differs depending on the
(e) Other parts of this chapter apply engine family’s primary intended serv-
if referenced in this part. ice class and the extent to which the
engines will be (or were designed to be)
§ 1036.30 Submission of information. used in tractors. For medium and
Unless we specify otherwise, send all heavy heavy-duty engines certified as
reports and requests for approval to tractor engines, measure CO2 emissions
the Designated Compliance Officer (see using the steady-state duty cycle speci-
§ 1036.801). See § 1036.825 for additional fied in 40 CFR 86.1362 (referred to as the
reporting and recordkeeping provi- ramped-modal cycle, or RMC, even
sions. though emission sampling involves
measurements from discrete modes).
This is intended for engines designed to
Subpart B—Emission Standards be used primarily in tractors and other
and Related Requirements line-haul applications. Note that the
use of some RMC-certified tractor en-
§ 1036.100 Overview of exhaust emis- gines in vocational applications does
sion standards.
not affect your certification obligation
Engines used in vehicles certified to under this paragraph (a)(1); see other
the applicable chassis standards for provisions of this part and 40 CFR part
greenhouse gases described in 40 CFR 1037 for limits on using engines cer-
86.1819 are not subject to the standards tified to only one cycle. For medium
specified in this part. All other engines and heavy heavy-duty engines certified
subject to this part must meet the as both tractor and vocational engines,
greenhouse gas standards in § 1036.108 in measure CO2 emissions using the
addition to the criteria pollutant steady-state duty cycle and the tran-
standards of 40 CFR part 86. sient duty cycle (sometimes referred to
as the FTP engine cycle), both of which
§ 1036.108 Greenhouse gas emission are specified in 40 CFR part 86, subpart
standards. N. This is intended for engines that are
This section contains standards and designed for use in both tractor and vo-
other regulations applicable to the cational applications. For all other en-
emission of the air pollutant defined as gines (including engines meeting
the aggregate group of six greenhouse spark-ignition standards), measure CO2
gases: Carbon dioxide, nitrous oxide, emissions using the appropriate tran-
methane, hydrofluorocarbons, sient duty cycle specified in 40 CFR
perfluorocarbons, and sulfur part 86, subpart N.
hexafluoride. This section describes the (i) The CO2 standard is 627 g/hp-hr for
applicable CO2, N2O, and CH4 standards all spark-ignition engines for model
for engines. These standards do not years 2016 through 2020. This standard
apply for engines used in vehicles sub- continues to apply in later model years
ject to (or voluntarily certified to) the for all spark-ignition engines that are
CO2, N2O, and CH4 standards for vehi- not heavy heavy-duty engines.
cles specified in 40 CFR 86.1819. (ii) The following CO2 standards
(a) Emission standards. Emission apply for compression-ignition engines
standards apply for engines measured (in g/hp-hr):
Medium Heavy Medium Heavy
Light
Model years heavy-duty— heavy-duty— heavy-duty— heavy-duty—
heavy-duty vocational vocational tractor tractor
2014–2016 ................................................ 600 600 567 502 475

2017–2020 ................................................ 576 576 555 487 460
101
§ 1036.108 40 CFR Ch. I (7–1–21 Edition)
(iii) The following CO2 standards and all heavy heavy-duty engines (in g/
apply for compression-ignition engines hp-hr):
Light
heavy-duty vocational vocational tractor 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 generate or use credits for N2O or CH4
engines to the compression-ignition emissions.
standards for the appropriate model (d) Useful life. The exhaust emission
year under this paragraph (a). If you do standards of this section apply for the
this, those engines are treated as com- full useful life, expressed in service
pression-ignition engines for all the miles, operating hours, or calendar
provisions of this part. years, whichever comes first. The use-
(2) The CH4 emission standard is 0.10 ful life values applicable to the criteria
g/hp-hr when measured over the appli- pollutant standards of 40 CFR part 86
cable transient duty cycle specified in apply for the standards of this section,
40 CFR part 86, subpart N. This stand- except that the spark-ignition stand-
ard begins in model year 2014 for com- ards and the standards for model year
pression-ignition engines and in model 2021 and later light heavy-duty com-
year 2016 for spark-ignition engines. pression-ignition engines apply over a
Note that this standard applies for all useful life of 15 years or 150,000 miles,
fuel types just like the other standards whichever comes first.
of this section. (e) Applicability for testing. The emis-
(3) The N2O emission standard is 0.10 sion standards in this subpart apply as
g/hp-hr when measured over the tran- specified in this paragraph (e) to all
sient duty cycle specified in 40 CFR duty-cycle testing (according to the ap-
part 86, subpart N. This standard be- plicable test cycles) of testable con-
gins in model year 2014 for compres- figurations, including certification, se-
sion-ignition engines and in model year
lective enforcement audits, and in-use
2016 for spark-ignition engines.
testing. The CO2 FCLs serve as the CO2
(b) Family Certification Levels. You emission standards for the engine fam-
must specify a CO2 Family Certifi- ily with respect to certification and
cation Level (FCL) for each engine
confirmatory testing instead of the
family. The FCL may not be less than
standards specified in paragraph (a)(1)
the certified emission level for the en-
of this section. The FELs serve as the
gine family. The CO2 Family Emission
emission standards for the engine fam-
Limit (FEL) for the engine family is
ily with respect to all other duty-cycle
equal to the FCL multiplied by 1.03.
testing. See §§ 1036.235 and 1036.241 to
(c) Averaging, banking, and trading.
determine which engine configurations
You may generate or use emission
within the engine family are subject to
credits under the averaging, banking,
and trading (ABT) program described testing. Note that engine fuel maps and
in subpart H of this part for dem- powertrain test results also serve as
onstrating compliance with CO2 emis- standards as described in § 1036.535,
sion standards. Credits (positive and § 1036.540, § 1036.630 and 40 CFR 1037.550.
negative) are calculated from the dif- (f) Multi-fuel engines. For dual-fuel,
ference between the FCL and the appli- multi-fuel, and flexible-fuel engines,
cable emission standard. As described perform exhaust testing on each fuel
in § 1036.705, you may use CO2 credits to type (for example, gasoline and E85).
certify your engine families to FELs (1) This paragraph (f)(1) applies where
for N2O and/or CH4, instead of the N2O/ you demonstrate the relative amount
CH4 standards of this section that oth- of each fuel type that your engines
erwise apply. Except as specified in consume in actual use. Based on your

§§ 1036.150 and 1036.705, you may not demonstration, we will specify a
102
weighting factor and allow you to sub- be installed in its certified configura-
mit the weighted average of your emis- tion.
sion results. For example, if you cer- (b) Make sure these instructions have
tify an E85 flexible-fuel engine and we the following information:
determine the engine will produce one- (1) Include the heading: ‘‘Emission-
half of its work from E85 and one-half related installation instructions’’.
of its work from gasoline, you may (2) State: ‘‘Failing to follow these in-
apply a 50 percent weighting factor to
structions when installing a certified
each of your E85 and gasoline emission
engine in a heavy-duty motor vehicle
results.
violates federal law, subject to fines or
(2) If you certify your engine family
other penalties as described in the
to N2O and/or CH4 FELs the FELs apply
for testing on all fuel types for which Clean Air Act.’’
your engine is designed, to the same (3) Provide all instructions needed to
extent as criteria emission standards properly install the exhaust system
apply. and any other components.
(4) Describe any necessary steps for
EFFECTIVE DATE NOTE: At 86 FR 34376, June installing any diagnostic system re-
29, 2021. quired under 40 CFR part 86.
(5) Describe how your certification is
§ 1036.115 Other requirements. limited for any type of application. For
(a) The warranty and maintenance example, if you certify heavy heavy-
requirements, adjustable parameter duty engines to the CO2 standards
provisions, and defeat device prohibi- using only transient FTP testing, you
tion of 40 CFR part 86 apply with re- must make clear that the engine may
spect to the standards of this part. not be installed in tractors.
(b) You must perform fuel mapping (6) Describe any other instructions to
for your engine as described in make sure the installed engine will op-
§ 1036.510(b). erate according to design specifications
(c) You must design and produce your in your application for certification.
engines to comply with evaporative This may include, for example, instruc-
emission standards as follows: tions for installing aftertreatment de-
(1) For complete heavy-duty vehicles vices when installing the engines.
you produce, you must certify the vehi- (7) State: ‘‘If you install the engine
cles to emission standards as specified in a way that makes the engine’s emis-
in 40 CFR 1037.103. sion control information label hard to
(2) For incomplete heavy-duty vehi- read during normal engine mainte-
cles, and for engines used in vehicles nance, you must place a duplicate label
you do not produce, you do not need to on the vehicle, as described in 40 CFR
certify your engines to evaporative 1068.105.’’
emission standards or otherwise meet (c) Give the vehicle manufacturer
those standards. However, vehicle man- fuel map results as described in
ufacturers certifying their vehicles § 1036.510(b).
with your engines may depend on you
(d) You do not need installation in-
to produce your engines according to
structions for engines that you install
their specifications. Also, your engines
in your own vehicles.
must meet applicable exhaust emission
standards in the installed configura- (e) Provide instructions in writing or
tion. in an equivalent format. For example,
you may post instructions on a pub-
§ 1036.130 Installation instructions for licly available Web site for
vehicle manufacturers. downloading or printing. If you do not
(a) If you sell an engine for someone provide the instructions in writing, ex-
else to install in a vehicle, give the en- plain in your application for certifi-
gine installer instructions for install- cation how you will ensure that each
ing it consistent with the requirements installer is informed of the installation
of this part. Include all information requirements.

necessary to ensure that an engine will
103
§ 1036.135 40 CFR Ch. I (7–1–21 Edition)
§ 1036.135 Labeling. commercial short haul and intra-city

Label your engines as described in 40 delivery and pickup. Engines in this
CFR 86.007–35(a)(3), with the following group are normally used in vehicles
additional information: whose GVWR ranges from 19,501 to
(a) [Reserved] 33,000 pounds.
(b) Identify the emission control sys- (3) Heavy heavy-duty engines are de-
tem. Use terms and abbreviations as signed for multiple rebuilds and have
described in 40 CFR 1068.45 or other ap- cylinder liners. Vehicles in this group
plicable conventions. are normally tractors, trucks, straight
(c) Identify any limitations on your trucks with dual rear axles, and buses
certification. For example, if you cer- used in inter-city, long-haul applica-
tify heavy heavy-duty engines to the tions. These vehicles normally exceed
CO2 standards using only transient 33,000 pounds GVWR.
cycle testing, include the statement (b) Divide spark-ignition engines into
‘‘VOCATIONAL VEHICLES ONLY’’. primary intended service classes as fol-
(d) You may ask us to approve modi- lows:
fied labeling requirements in this part (1) Spark-ignition engines that are
1036 if you show that it is necessary or best characterized by paragraph (a)(1)
appropriate. We will approve your re- or (2) of this section are in a separate
quest if your alternate label is con- ‘‘spark-ignition’’ primary intended
sistent with the requirements of this service class.
part. We may also specify modified la- (2) Spark-ignition engines that are
beling requirement to be consistent best characterized by paragraph (a)(3)
with the intent of 40 CFR part 1037. of this section share a primary in-
tended service class with compression-
§ 1036.140 Primary intended service
class and engine cycle. ignition heavy heavy-duty engines.
Gasoline-fueled engines are presumed
You must identify a single primary not to be characterized by paragraph
intended service class for each engine (a)(3) of this section; for example, vehi-
family that best describes vehicles for cle manufacturers may install some
which you design and market the en- number of gasoline-fueled engines in
gine, as follows: Class 8 trucks without causing the en-
(a) Divide compression-ignition engine manufacturer to consider those to
gines into primary intended service be heavy heavy-duty engines.
classes based on the following engine
(c) References to ‘‘spark-ignition
and vehicle characteristics:
standards’’ in this part relate only to
(1) Light heavy-duty engines usually
the spark-ignition engines identified in
are not designed for rebuild and do not
paragraph (b)(1) of this section. Ref-
have cylinder liners. Vehicle body
erences to ‘‘compression-ignition
types in this group might include any
standards’’ in this part relate to com-
heavy-duty vehicle built from a light-
pression-ignition engines, to spark-ig-
duty truck chassis, van trucks, multi-
nition engines optionally certified to
stop vans, and some straight trucks
standards that apply to compression-
with a single rear axle. Typical appli-
ignition engines, and to all engines
cations would include personal trans-
identified under paragraph (b)(2) of this
portation, light-load commercial deliv-
section as heavy heavy-duty engines.
ery, passenger service, agriculture, and
construction. The GVWR of these vehi- § 1036.150 Interim provisions.
cles is normally at or below 19,500
pounds. The provisions in this section apply
(2) Medium heavy-duty engines may instead of other provisions in this part.
be designed for rebuild and may have (a) Early banking of greenhouse gas
cylinder liners. Vehicle body types in emissions. You may generate CO2 emis-
this group would typically include sion credits for engines you certify in
school buses, straight trucks with sin- model year 2013 (2015 for spark-ignition
gle rear axles, city tractors, and a vari- engines) to the standards of § 1036.108.
ety of special purpose vehicles such as (1) Except as specified in paragraph
small dump trucks, and refuse trucks. (a)(2) of this section, to generate early
Typical applications would include credits, you must certify your entire
104
U.S.-directed production volume with- ignition engines under this part. Such
in that averaging set to these stand- engines are deemed to be compression-
ards. This means that you may not ignition engines for purposes of this
generate early credits while you part. Similarly, through model year
produce engines in the averaging set 2020, engines meeting the definition of
that are certified to the criteria pollut- compression-ignition, but regulated as
ant standards but not to the green- Otto-cycle under 40 CFR part 86 must
house gas standards. Calculate emis- be certified to the requirements appli-
sion credits as described in subpart H cable to spark-ignition engines under
of this part relative to the standard this part. Such engines are deemed to
that would apply for model year 2014 be spark-ignition engines for purposes
(2016 for spark-ignition engines). of this part. See § 1036.140 for provisions
(2) You may generate early credits that apply for model year 2021 and
for an individual compression-ignition later.
engine family where you demonstrate (d) Small manufacturers. The stand-
that you have improved a model year ards of this part apply on a delayed
2013 engine model’s CO2 emissions rel- schedule for manufacturers meeting
ative to its 2012 baseline level and cer- the small business criteria specified in
tify it to an FCL below the applicable 13 CFR 121.201. Apply the small busi-
standard. Calculate emission credits as ness criteria for NAICS code 336310 for
described in subpart H of this part rel- engine manufacturers with respect to
ative to the lesser of the standard that gasoline-fueled engines and 333618 for
would apply for model year 2014 en- engine manufacturers with respect to
gines or the baseline engine’s CO2 emis- other engines; the employee limits
sion rate. Use the smaller U.S.-directed apply to the total number employees
production volume of the 2013 engine together for affiliated companies.
family or the 2012 baseline engine fam- Qualifying small manufacturers are
ily. We will not allow you to generate not subject to the greenhouse gas emis-
emission credits under this paragraph sion standards in § 1036.108 for engines
(a)(2) unless we determine that your with a date of manufacture on or after
2013 engine is the same engine as the November 14, 2011 but before January 1,
2012 baseline or that it replaces it. 2022. In addition, qualifying small man-
(3) You may bank credits equal to the ufacturers producing engines that run
surplus credits you generate under this on any fuel other than gasoline, E85, or
paragraph (a) multiplied by 1.50. For diesel fuel may delay complying with
example, if you have 10 Mg of surplus every later standard under this part by
credits for model year 2013, you may one model year. Small manufacturers
bank 15 Mg of credits. Credit deficits may certify their engines and generate
for an averaging set prior to model emission credits under this part 1036
year 2014 (2016 for spark-ignition en- before standards start to apply, but
gines) do not carry over to model year only if they certify their entire U.S.-di-
2014 (2016 for spark-ignition engines). rected production volume within that
We recommend that you notify us of averaging set for that model year. Note
your intent to use this provision before that engines not yet subject to stand-
submitting your applications. ards must nevertheless supply fuel
(b) Model year 2014 N2O standards. In maps to vehicle manufacturers as de-
model year 2014 and earlier, manufac- scribed in paragraph (n) of this section.
turers may show compliance with the Note also that engines produced by
N2O standards using an engineering small manufacturers are subject to cri-
analysis. This allowance also applies teria pollutant standards.
for later families certified using carry- (e) Alternate phase-in standards.
over CO2 data from model 2014 con- Where a manufacturer certifies all of
sistent with § 1036.235(d). its model year 2013 compression-igni-
(c) Engine cycle classification. Through tion engines within a given primary in-
model year 2020, engines meeting the tended service class to the applicable
definition of spark-ignition, but regu- alternate standards of this paragraph
lated as diesel engines under 40 CFR (e), its compression-ignition engines
part 86, must be certified to the re- within that primary intended service
quirements applicable to compression- class are subject to the standards of
105
§ 1036.150 40 CFR Ch. I (7–1–21 Edition)
this paragraph (e) for model years 2013 not allowed to opt out of these stand-
through 2016. This means that once a ards. Engines certified to these stand-
manufacturer chooses to certify a pri- ards are not eligible for early credits
mary intended service class to the under paragraph (a) of this section.
standards of this paragraph (e), it is
Tractors LHD Engines MHD Engines HHD Engines
Model Years 2013–2015 .......................................................... NA .......................... 512 g/hp-hr ............ 485 g/hp-hr.
Model Years 2016 and later 1 .................................................. NA .......................... 487 g/hp-hr ............ 460 g/hp-hr.
Vocational ................................................................................. LHD Engines MHD Engines HHD Engines
Model Years 2013–2015 .......................................................... 618 g/hp-hr ............ 618 g/hp-hr ............ 577 g/hp-hr.
Model Years 2016 through 2020 a ........................................... 576 g/hp-hr ............ 576 g/hp-hr ............ 555 g/hp-hr.
1 Note: these alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 through
2020.
(f) Separate OBD families. This para- from any engine through model year
graph (f) applies where you separately 2020, and 0.010 g/hp-hr for later model
certify engines for the purpose of ap- years.
plying OBD requirements (for engines (3) You may use an assigned additive
used in vehicles under 14,000 pounds DF of 0.020 g/hp-hr for CH4 emissions
GVWR) from non-OBD engines that from any engine.
could be certified as a single engine (h) Advanced-technology credits. If you
family. You may treat the two engine generate credits from model year 2020
families as a single engine family in and earlier engines certified for ad-
certain respects for the purpose of this vanced technology, you may multiply
part, as follows: these credits by 1.5, except that you
(1) This paragraph (f) applies only may not apply this multiplier and the
where the two families are identical in early-credit multiplier of paragraph (a)
all respects except for the engine rat- of this section.
ings offered and the inclusion of OBD. (i) CO2 credits for low N2O emissions. If
(2) For purposes of this part and 40 you certify your model year 2014, 2015,
CFR part 86, the two families remain or 2016 engines to an N2O FEL less than
two separate families except for the 0.04 g/hp-hr (provided you measure N2O
following: emissions from your emission-data en-
(i) Specify the testable configura- gines), you may generate additional
tions of the non-OBD engine family as CO2 credits under this paragraph (i).
the testable configurations for the OBD Calculate the additional CO2 credits
family. from the following equation instead of
(ii) Submit the same CO2, N2O, and the equation in § 1036.705:
CH4 emission data for both engine fam-
ilies. CO2 Credits (Mg) = (0.04¥FELN2O) · (CF)
(g) Assigned deterioration factors. You · (Volume) · (UL) · (10¥6) · (298)
may use assigned deterioration factors (j) Alternate standards under 40 CFR
(DFs) without performing your own du- part 86. This paragraph (j) describes al-
rability emission tests or engineering ternate emission standards for loose
analysis as follows: engines certified under 40 CFR 86.1819–
(1) You may use an assigned additive 14(k)(8). The standards of § 1036.108 do
DF of 0.0 g/hp-hr for CO2 emissions not apply for these engines. The stand-
from engines that do not use advanced ards in this paragraph (j) apply for
or off-cycle technologies. If we deter- emissions measured with the engine in-
mine it to be consistent with good en- stalled in a complete vehicle consistent
gineering judgment, we may allow you with the provisions of 40 CFR 86.1819–
to use an assigned additive DF of 0.0 g/ 14(k)(8)(vi). The only requirements of
hp-hr for CO2 emissions from your en- this part that apply to these engines
gines with advanced or off-cycle tech- are those in this paragraph (j),
nologies. §§ 1036.115 through 1036.135, 1036.535, and
(2) You may use an assigned additive 1036.540.

DF of 0.020 g/hp-hr for N2O emissions (k) [Reserved]
106
(l) Credit adjustment for spark-ignition certified engine family those engines
engines and light heavy-duty compres- you modify (or otherwise demonstrate)
sion-ignition engines. For emission cred- to be identical to engines already cov-
its generated from model year 2020 and ered by the certificate. We would base
earlier engines subject to spark-igni- such an approval on our review of any
tion standards and light heavy-duty appropriate documentation. These en-
compression-ignition engines, multiply gines must have emission control infor-
any banked credits that you carry formation labels that accurately describe
ward to demonstrate compliance with their status.
model year 2021 and later standards by (p) Transition to Phase 2 CO2 stand-
1.36. ards. If you certify all your model year
(m) Infrequent regeneration. For model 2020 engines within an averaging set to
year 2020 and earlier, you may invali-
the model year 2021 FTP and SET
date any test interval with respect to
standards and requirements, you may
CO2 measurements if an infrequent re-
apply the provisions of this paragraph
generation event occurs during the test
interval. Note that § 1036.530 specifies (p) for enhanced generation and use of
how to apply infrequent regeneration emission credits. These provisions
adjustment factors for later model apply separately for medium heavy-
years. duty engines and heavy heavy-duty en-
(n) Supplying fuel maps. Engine manu- gines.
facturers not yet subject to standards (1) GHG emission credits you gen-
under § 1036.108 in model year 2021 must erate with model year 2018 through 2024
supply vehicle manufacturers with fuel engines may be used through model
maps (or powertrain test results) as de- year 2030, instead of being limited to a
scribed in § 1036.130 for those engines. five-year credit life as specified in
(o) Engines used in glider vehicles. For § 1036.740(d).
purposes of recertifying a used engine (2) You may certify your model year
for installation in a glider vehicle, we 2024 through 2026 engines to the fol-
may allow you to include in an existing lowing alternative standards:
vocational vocational tractor tractor
2024–2026 ............................................................................ 538 506 467 442
EFFECTIVE DATE NOTE: At 86 FR 34377, June system components you will install on
29, 2021, § 1036.150 was amended, effective July any production or test engine. Identify
29, 2021. the part number of each component
you describe. For this paragraph (a),
Subpart C—Certifying Engine treat as separate AECDs any devices
Families that modulate or activate differently
from each other.
§ 1036.205 What must I include in my (b) Describe any test equipment and
application?
procedures that you used if you per-
Submit an application for certifi- formed any tests that did not also in-
cation as described in 40 CFR 86.007–21, volve measurement of criteria pollut-
with the following additional informa- ants. Describe any special or alternate
tion: test procedures you used (see 40 CFR
(a) Describe the engine family’s spec- 1065.10(c)).
ifications and other basic parameters (c) Include the emission-related in-
of the engine’s design and emission stallation instructions you will provide
controls with respect to compliance if someone else installs your engines in
with the requirements of this part. De- their vehicles (see § 1036.130).
scribe in detail all system components (d) Describe the label information
for controlling greenhouse gas emis-
specified in § 1036.135. We may require

sions, including all auxiliary emission
you to include a copy of the label.
control devices (AECDs) and all fuel-
107
§ 1036.210 40 CFR Ch. I (7–1–21 Edition)
(e) Identify the CO2 FCLs with which (i) Unconditionally certify that all
you are certifying engines in the en- the engines in the engine family com-
gine family; also identify any FELs ply with the requirements of this part,
that apply for CH4 and N2O. The actual other referenced parts of the CFR, and
U.S.-directed production volume of the Clean Air Act. Note that § 1036.235
configurations that have CO2 emission specifies which engines to test to show
rates at or below the FCL and CH4 and that engines in the entire family com-
N2O emission rates at or below the apply with the requirements of this part.
plicable standards or FELs must be at (j) Include the information required
least one percent of your actual (not by other subparts of this part. For ex-
projected) U.S.-directed production ample, include the information re-
volume for the engine family. Identify quired by § 1036.725 if you participate in
configurations within the family that the ABT program.
have emission rates at or below the (k) Include the warranty statement
FCL and meet the one percent require- and maintenance instructions if we re-
ment. For example, if your U.S.-di- quest them.
rected production volume for the en- (l) Include other applicable informa-
gine family is 10,583 and the U.S.-dition, such as information specified in
rected production volume for the test- this part or 40 CFR part 1068 related to
ed rating is 75 engines, then you can requests for exemptions.
comply with this provision by setting (m) For imported engines or equip-
your FCL so that one more rating with ment, identify the following:
a U.S.-directed production volume of at (1) Describe your normal practice for
least 31 engines meets the FCL. Where importing engines. For example, this
applicable, also identify other testable may include identifying the names and
configurations required under addresses of any agents you have au-
§ 1036.230(b)(2). thorized to import your engines. En-
(f) Identify the engine family’s dete- gines imported by nonauthorized
rioration factors and describe how you agents are not covered by your certifi-
developed them (see § 1036.241). Present cate.
any test data you used for this. (2) The location of a test facility in
(g) Present emission data to show the United States where you can test
that you meet emission standards, as your engines if we select them for test-
follows: ing under a selective enforcement
(1) Present exhaust emission data for audit, as specified in 40 CFR part 1068,
CO2, CH4, and N2O on an emission-data subpart E.
engine to show that your engines meet (n) Include information needed to
the applicable emission standards we certify vehicles to GHG standards
specify in § 1036.108. Show emission fig- under 40 CFR part 1037 as described in
ures before and after applying deterio- § 1036.510.
ration factors for each engine. In addi-
tion to the composite results, show in- § 1036.210 Preliminary approval before
dividual measurements for cold-start certification.
testing and hot-start testing over the If you send us information before you
transient test cycle. For each of these finish the application, we may review
tests, also include the corresponding it and make any appropriate deter-
exhaust emission data for criteria minations, especially for questions re-
emissions. Note that § 1036.235 allows lated to engine family definitions, aux-
you to submit an application in certain iliary emission control devices, adjust-
cases without new emission data. able parameters, deterioration factors,
(2) [Reserved] testing for service accumulation, and
(h) State whether your certification maintenance. Decisions made under
is limited for certain engines. For ex- this section are considered to be pre-
ample, if you certify heavy heavy-duty liminary approval, subject to final re-
engines to the CO2 standards using view and approval. We will generally
only transient testing, the engines may not reverse a decision where we have
be installed only in vocational vehi- given you preliminary approval, unless

cles. we find new information supporting a
108
different decision. If you request pre- ing that the original emission-data en-
liminary approval related to the up- gine is still appropriate for showing
coming model year or the model year that the amended family complies with
after that, we will make best-efforts to all applicable requirements.
make the appropriate determinations (3) If the original emission-data en-
as soon as practicable. We will gen- gine for the engine family is not appro-
erally not provide preliminary ap- priate to show compliance for the new
proval related to a future model year or modified engine configuration, in-
more than two years ahead of time. clude new test data showing that the
new or modified engine configuration
§ 1036.225 Amending my application meets the requirements of this part.
for certification. (4) Include any other information
Before we issue you a certificate of needed to make your application cor-
conformity, you may amend your ap- rect and complete.
plication to include new or modified (c) We may ask for more test data or
engine configurations, subject to the engineering evaluations. You must give
provisions of this section. After we us these within 30 days after we request
have issued your certificate of con- them.
formity, you may send us an amended (d) For engine families already cov-
application requesting that we include ered by a certificate of conformity, we
new or modified engine configurations will determine whether the existing
within the scope of the certificate, sub- certificate of conformity covers your
ject to the provisions of this section. newly added or modified engine. You
You must also amend your application may ask for a hearing if we deny your
if any changes occur with respect to request (see § 1036.820).
any information that is included or (e) For engine families already cov-
should be included in your application. ered by a certificate of conformity, you
(a) You must amend your application may start producing the new or modi-
before you take any of the following fied engine configuration any time
actions: after you send us your amended appli-
(1) Add an engine configuration to an cation and before we make a decision
engine family. In this case, the engine under paragraph (d) of this section.
configuration added must be consistent However, if we determine that the af-
with other engine configurations in the fected engines do not meet applicable
engine family with respect to the cri- requirements, we will notify you to
teria listed in § 1036.230. cease production of the engines and
(2) Change an engine configuration may require you to recall the engines
already included in an engine family in at no expense to the owner. Choosing
a way that may affect emissions, or to produce engines under this para-
change any of the components you de- graph (e) is deemed to be consent to re-
scribed in your application for certifi- call all engines that we determine do
cation. This includes production and not meet applicable emission standards
design changes that may affect emis- or other requirements and to remedy
sions any time during the engine’s life- the nonconformity at no expense to the
time. owner. If you do not provide informa-
(3) Modify an FEL and FCL for an en- tion required under paragraph (c) of
gine family as described in paragraph this section within 30 days after we re-
(f) of this section. quest it, you must stop producing the
(b) To amend your application for new or modified engines.
certification, send the relevant infor- (f) You may ask us to approve a
mation to the Designated Compliance change to your FEL in certain cases
Officer. after the start of production, but be-
(1) Describe in detail the addition or fore the end of the model year. If you
change in the engine model or configu- change an FEL for CO2, your FCL for
ration you intend to make. CO2 is automatically set to your new
(2) Include engineering evaluations or FEL divided by 1.03. The changed FEL
data showing that the amended engine may not apply to engines you have al-
family complies with all applicable re- ready introduced into U.S. commerce,
quirements. You may do this by show- except as described in this paragraph
109
§ 1036.230 40 CFR Ch. I (7–1–21 Edition)
(f). You may ask us to approve a lies you use for criteria pollutants
change to your FEL in the following under 40 CFR part 86. The following
cases: provisions also apply:
(1) You may ask to raise your FEL (a) Engines certified as hybrid en-
for your engine family at any time. In gines may not be included in an engine
your request, you must show that you family with engines with conventional
will still be able to meet the emission powertrains. Note that this does not
standards as specified in subparts B prevent you from including engines in
and H of this part. Use the appropriate a conventional family if they are used
FELs/FCLs with corresponding produc- in hybrid vehicles, as long as you cer-
tion volumes to calculate emission tify them conventionally.
credits for the model year, as described (b) If you certify engines in the fam-
in subpart H of this part. ily for use as both vocational and trac-
(2) You may ask to lower the FEL for tor engines, you must split your family
your engine family only if you have into two separate subfamilies. Indicate
test data from production engines in the application for certification that
showing that emissions are below the the engine family is to be split.
proposed lower FEL (or below the pro- (1) Calculate emission credits rel-
posed FCL for CO2). The lower FEL/ ative to the vocational engine standard
FCL applies only to engines you for the number of engines sold into vo-
produce after we approve the new FEL/ cational applications and relative to
FCL. Use the appropriate FELs/FCLs the tractor engine standard for the
with corresponding production volumes number of engines sold into non-voca-
to calculate emission credits for the tional tractor applications. You may
model year, as described in subpart H assign the numbers and configurations
of this part. of engines within the respective sub-
(g) You may produce engines as de- families at any time before submitting
scribed in your amended application the end-of-year report required by
for certification and consider those en- § 1036.730. If the family participates in
gines to be in a certified configuration averaging, banking, or trading, you
if we approve a new or modified engine must identify the type of vehicle in
configuration during the model year which each engine is installed; we may
under paragraph (d) of this section. alternatively allow you to use statis-
Similarly, you may modify in-use en- tical methods to determine this for a
gines as described in your amended ap- fraction of your engines. Keep records
plication for certification and consider to document this determination.
those engines to be in a certified con- (2) If you restrict use of the test con-
figuration if we approve a new or modi- figuration for your split family to only
fied engine configuration at any time tractors, or only vocational vehicles,
under paragraph (d) of this section. you must identify a second testable
Modifying a new or in-use engine to be configuration for the other type of ve-
in a certified configuration does not hicle (or an unrestricted configura-
violate the tampering prohibition of 40 tion). Identify this configuration in
CFR 1068.101(b)(1), as long as this does your application for certification. The
not involve changing to a certified con- FCL for the engine family applies for
figuration with a higher family emis- this configuration as well as the pri-
sion limit. mary test configuration.
EFFECTIVE DATE NOTE: At 86 FR 34378, June (c) If you certify in separate engine
29, 2021, § 1036.225 was amended, effective July families engines that could have been
29, 2021. certified in vocational and tractor en-
gine subfamilies in the same engine
§ 1036.230 Selecting engine families. family, count the two families as one
See 40 CFR 86.001–24 for instructions family for purposes of determining
on how to divide your product line into your obligations with respect to the
families of engines that are expected to OBD requirements and in-use testing
have similar emission characteristics requirements of 40 CFR part 86. Indi-
throughout the useful life. You must cate in the applications for certifi-
certify your engines to the standards of cation that the two engine families are
§ 1036.108 using the same engine fami- covered by this paragraph (c).
110
(d) Engine configurations within an measurement of criteria emissions

engine family must use equivalent from flexible-fuel engines generally in-
greenhouse gas emission controls. Un- volves operation with the fuel mixture
less we approve it, you may not that best represents in-use operation,
produce nontested configurations with- or with the fuel mixture with the high-
out the same emission control hard- est emissions.) Measure CO2, CH4, and
ware included on the tested configura- N2O emissions using the specified duty
tion. We will only approve it if you cycle(s), including cold-start and hot-
demonstrate that the exclusion of the start testing as specified in 40 CFR
hardware does not increase greenhouse part 86, subpart N. The following provi-
gas emissions. sions apply regarding test cycles for
(e) If you certify both engine fuel
demonstrating compliance with tractor
maps and powertrain fuel maps for an
and vocational standards:
engine family, you may split the en-
gine family into two separate subfami- (1) If you are certifying the engine
lies. Indicate this in your application for use in tractors, you must measure
for certification, and identify whether CO2 emissions using the applicable
one or both of these sets of fuel maps ramped-modal cycle specified in
applies for each group of engines. If § 1036.505, and measure CH4, and N2O
you do not split your family, all en- emissions using the specified transient
gines within the family must conform cycle.
to the engine fuel maps, including any (2) If you are certifying the engine
engines for with the powertrain maps for use in vocational applications, you
also apply. must measure CO2, CH4, and N2O emis-
sions using the specified transient duty
29, 2021, § 1036.230 was amended, effective July cycle, including cold-start and hot-
29, 2021. start testing as specified in 40 CFR
part 86, subpart N.
§ 1036.235 Testing requirements for (3) You may certify your engine fam-
certification. ily for both tractor and vocational use
This section describes the emission by submitting CO2 emission data from
testing you must perform to show com- both ramped-modal and transient cycle
pliance with the greenhouse gas emis- testing and specifying FCLs for both.
sion standards in § 1036.108. (4) Some of your engines certified for
(a) Select a single emission-data en- use in tractors may also be used in vo-
gine from each engine family as speci- cational vehicles, and some of your en-
fied in 40 CFR part 86. The standards of gines certified for use in vocational
this part apply only with respect to may be used in tractors. However, you
emissions measured from this tested may not knowingly circumvent the in-
configuration and other configurations
tent of this part (to reduce in-use emis-
identified in § 1036.205(e). Note that con-
sions of CO2) by certifying engines de-
figurations identified in § 1036.205(e) are
signed for tractors or vocational vehi-
considered to be ‘‘tested configura-
cles (and rarely used in the other appli-
tions’’. Whether or not you actually
cation) to the wrong cycle. For exam-
tested them for certification. However,
you must apply the same (or equiva- ple, we would generally not allow you
lent) emission controls to all other en- to certify all your engines to the
gine configurations in the engine fam- ramped-modal cycle without certifying
ily. In other contexts, the tested con- any to the transient cycle.
figuration is sometimes referred to as (c) We may perform confirmatory
the ‘‘parent configuration’’, although testing by measuring emissions from
the terms are not synonymous. any of your emission-data engines. If
(b) Test your emission-data engines your certification includes powertrain
using the procedures and equipment testing as specified in 40 CFR 1036.630,
specified in subpart F of this part. In this paragraph (c) also applies for the
the case of dual-fuel and flexible-fuel powertrain test results.
engines, measure emissions when oper- (1) We may decide to do the testing
ating with each type of fuel for which at your plant or any other facility. If
you intend to certify the engine. (Note: we do this, you must deliver the engine
111
§ 1036.241 40 CFR Ch. I (7–1–21 Edition)
to a test facility we designate. The en- instead of generating a steady-state

gine you provide must include appro- fuel map for these cycles, we may per-
priate manifolds, aftertreatment de- form a confirmatory test of your en-
vices, electronic control units, and gine fuel maps for the highway cruise
other emission-related components not cycles by either of the following meth-
normally attached directly to the en- ods:
gine block. If we do the testing at your (i) Directly measuring the highway
plant, you must schedule it as soon as cruise cycle-average fuel maps.
possible and make available the instru- (ii) Measuring a steady-state fuel
ments, personnel, and equipment we map as described in paragraph (c)(5) of
need. this section and using it in GEM to cre-
(2) If we measure emissions on your ate our own cycle-average engine fuel
engine, the results of that testing be- maps for the highway cruise cycles.
come the official emission results for (d) You may ask to use carryover
the engine as specified in this para- emission data from a previous model
graph (c). Unless we later invalidate year instead of doing new tests, but
these data, we may decide not to con- only if all the following are true:
sider your data in determining if your (1) The engine family from the pre-
engine family meets applicable require- vious model year differs from the cur-
ments. rent engine family only with respect to
(3) Before we test one of your en- model year, items identified in
gines, we may set its adjustable param- § 1036.225(a), or other characteristics
eters to any point within the phys- unrelated to emissions. We may waive
ically adjustable ranges. this criterion for differences we deter-
(4) Before we test one of your en- mine not to be relevant.
gines, we may calibrate it within nor- (2) The emission-data engine from
mal production tolerances for anything the previous model year remains the
we do not consider an adjustable pa- appropriate emission-data engine
rameter. For example, this would apply under paragraph (b) of this section.
for an engine parameter that is subject (3) The data show that the emission-
to production variability because it is data engine would meet all the require-
adjustable during production, but is ments that apply to the engine family
not considered an adjustable parameter covered by the application for certifi-
(as defined in § 1036.801) because it is cation.
permanently sealed. For parameters (e) We may require you to test a sec-
that relate to a level of performance ond engine of the same configuration
that is itself subject to a specified in addition to the engine tested under
range (such as maximum power out- paragraph (a) of this section.
put), we will generally perform any (f) If you use an alternate test proce-
calibration under this paragraph (c)(4) dure under 40 CFR 1065.10 and later
in a way that keeps performance with- testing shows that such testing does
in the specified range. not produce results that are equivalent
(5) We may use our emission test re- to the procedures specified in subpart F
sults for steady-state, idle, cycle-aver- of this part, we may reject data you
age and powertrain fuel maps, as long generated using the alternate proce-
as we perform at least three valid dure.
tests. We will use mean values for each EFFECTIVE DATE NOTE: At 86 FR 34378, June
point to specify our fuel maps and may 29, 2021, § 1036.235 was amended, effective July
use the resulting fuel maps as the offi- 29, 2021.
cial emission results. We may also con-
sider how the different fuel maps affect § 1036.241 Demonstrating compliance
GEM emission results as part of our de- with greenhouse gas emission
cision. We will not replace individual standards.
points from your fuel map, but we may (a) For purposes of certification, your
make separate determinations for engine family is considered in compli-
steady-state, idle, cycle-average and ance with the emission standards in
powertrain fuel maps. § 1036.108 if all emission-data engines
(6) If you supply cycle-average engine representing the tested configuration

fuel maps for the highway cruise cycles of that engine family have test results
112
showing official emission results and testing variability is significantly

deteriorated emission levels at or greater than engine-to-engine varia-
below the standards. Note that your bility. Multiplicative deterioration fac-
FCLs are considered to be the applica- tors must be specified to one more sig-
ble emission standards with which you nificant figure than the applicable
must comply for certification. standard.
(b) Your engine family is deemed not (3) Sawtooth and other nonlinear dete-
to comply if any emission-data engine rioration patterns. The deterioration
representing the tested configuration factors described in paragraphs (c)(1)
of that engine family has test results and (2) of this section assume that the
showing an official emission result or a highest useful life emissions occur ei-
deteriorated emission level for any pol- ther at the end of useful life or at the
lutant that is above an applicable low-hour test point. The provisions of
emission standard (generally the FCL). this paragraph (c)(3) apply where good
Note that you may increase your FCL engineering judgment indicates that
if any certification test results exceed the highest useful life emissions will
your initial FCL. occur between these two points. For
(c) Apply deterioration factors to the example, emissions may increase with
measured emission levels for each pol- service accumulation until a certain
lutant to show compliance with the ap- maintenance step is performed, then
plicable emission standards. Your dete- return to the low-hour emission levels
rioration factors must take into ac- and begin increasing again. Such a pat-
count any available data from in-use tern may occur with battery-based
testing with similar engines. Apply de- electric hybrid engines. Base deteriora-
terioration factors as follows: tion factors for engines with such emis-
(1) Additive deterioration factor for sion patterns on the difference between
greenhouse gas emissions. Except as (or ratio of) the point at which the
specified in paragraphs (c)(2) and (3) of highest emissions occur and the low-
this section, use an additive deteriora- hour test point. Note that this applies
tion factor for exhaust emissions. An for maintenance-related deterioration
additive deterioration factor is the dif- only where we allow such critical emis-
ference between the highest exhaust sion-related maintenance.
emissions (typically at the end of the (4) [Reserved]
useful life) and exhaust emissions at (5) Dual-fuel and flexible-fuel engines.
the low-hour test point. In these cases, In the case of dual-fuel and flexible-
adjust the official emission results for fuel engines, apply deterioration fac-
each tested engine at the selected test tors separately for each fuel type by
point by adding the factor to the meas- measuring emissions with each fuel
ured emissions. If the factor is less type at each test point. You may accu-
than zero, use zero. Additive deteriora- mulate service hours on a single emis-
tion factors must be specified to one sion-data engine using the type of fuel
more decimal place than the applicable or the fuel mixture expected to have
standard. the highest combustion and exhaust
(2) Multiplicative deterioration factor temperatures; you may ask us to ap-
for greenhouse gas emissions. Use a mul- prove a different fuel mixture if you
tiplicative deterioration factor for a demonstrate that a different criterion
pollutant if good engineering judgment is more appropriate.
calls for the deterioration factor for (d) Calculate emission data using
that pollutant to be the ratio of the measurements to at least one more
highest exhaust emissions (typically at decimal place than the applicable
the end of the useful life) to exhaust standard. Apply the deterioration fac-
emissions at the low-hour test point. tor to the official emission result, as
Adjust the official emission results for described in paragraph (c) of this sec-
each tested engine at the selected test tion, then round the adjusted figure to
point by multiplying the measured the same number of decimal places as
emissions by the deterioration factor. the emission standard. Compare the
If the factor is less than one, use one. rounded emission levels to the emis-
A multiplicative deterioration factor sion standard for each emission-data

may not be appropriate in cases where engine.
113
§ 1036.250 40 CFR Ch. I (7–1–21 Edition)
(e) If you identify more than one con- (b) We may deny your application for
figuration in § 1036.205(e), we may test certification if we determine that your
(or require you to test) any of the iden- engine family fails to comply with
tified configurations. We may also re- emission standards or other require-
quire you to provide an engineering ments of this part or the Clean Air Act.
analysis that demonstrates that un- We will base our decision on all avail-
tested configurations listed in able information. If we deny your ap-
§ 1036.205(e) comply with their FCL. plication, we will explain why in writ-
ing.
§ 1036.250 Reporting and record- (c) In addition, we may deny your ap-
keeping for certification. plication or suspend or revoke your
(a) Within 90 days after the end of the certificate if you do any of the fol-
model year, send the Designated Com- lowing:
pliance Officer a report including the (1) Refuse to comply with any testing
total U.S.-directed production volume or reporting requirements.
of engines you produced in each engine (2) Submit false or incomplete infor-
family during the model year (based on mation (paragraph (e) of this section
information available at the time of applies if this is fraudulent). This in-
the report). Report the production by cludes doing anything after submission
serial number and engine configura- of your application to render any of the
tion. Small manufacturers may omit submitted information false or incom-
this requirement. You may combine plete.
this report with reports required under (3) Render inaccurate any test data.
subpart H of this part. (4) Deny us from completing author-
(b) Organize and maintain the fol- ized activities (see 40 CFR 1068.20). This
lowing records: includes a failure to provide reasonable
(1) A copy of all applications and any assistance.
summary information you send us. (5) Produce engines for importation
(2) Any of the information we specify into the United States at a location
in § 1036.205 that you were not required where local law prohibits us from car-
to include in your application. rying out authorized activities.
(c) Keep routine data from emission (6) Fail to supply requested informa-
tests required by this part (such as test tion or amend your application to in-
cell temperatures and relative humid- clude all engines being produced.
ity readings) for one year after we (7) Take any action that otherwise
issue the associated certificate of con- circumvents the intent of the Act or
formity. Keep all other information this part, with respect to your engine
specified in this section for eight years family.
after we issue your certificate. (d) We may void the certificate of
(d) Store these records in any format conformity for an engine family if you
and on any media, as long as you can fail to keep records, send reports, or
promptly send us organized, written give us information as required under
records in English if we ask for them. this part or the Act. Note that these
You must keep these records readily are also violations of 40 CFR
available. We may review them at any 1068.101(a)(2).
time. (e) We may void your certificate if we
find that you intentionally submitted
§ 1036.255 What decisions may EPA false or incomplete information. This
make regarding my certificate of includes rendering submitted informa-
conformity? tion false or incomplete after submis-
(a) If we determine your application sion.
is complete and shows that the engine (f) If we deny your application or sus-
family meets all the requirements of pend, revoke, or void your certificate,
this part and the Act, we will issue a you may ask for a hearing (see
certificate of conformity for your en- § 1036.820).
gine family for that model year. We

may make the approval subject to ad- 29, 2021, § 1036.255 was revised, effective July
ditional conditions. 29, 2021.
114
Subpart D—Testing Production tire size (see § 1036.540(c)(3)(iii)). The ve-

Engines hicle configuration from the upper-left
quadrant is defined by values for Tests
1, 2, 4, and 5 from Table 3 of § 1036.540.
29, 2021, the heading for subpart D was re- Calculate vehicle mass as the average
vised, effective July 29, 2021. of the values from the four tests. De-
termine the weight reduction needed
§ 1036.301 Measurements related to for GEM to simulate this calculated ve-
GEM inputs in a selective enforce- hicle mass by comparing the average
ment audit. vehicle mass to the default vehicle
(a) Selective enforcement audits mass for the vehicle subcategory from
apply for engines as specified in 40 CFR the four points that has the greatest
part 1068, subpart E. This section de- mass, with the understanding that two-
scribes how this applies uniquely in thirds of weight reduction for tractors
certain circumstances. is applied to vehicle weight and one-
(b) Selective enforcement audit pro- third is understood to represent in-
visions apply with respect to your fuel creased payload. This is expressed
maps as follows: mathematically as Mavg = Msubcategory ¥
(1) A selective enforcement audit for 2⁄3 · M
reduction, which can be solved for
an engine with respect to fuel maps Mreduction. For vocational vehicles, half
would consist of performing measure- of weight reduction is applied to vehi-
ments with production engines to de- cle weight and half is understood to
termine fuel-consumption rates as de- represent increased payload. Use the
clared for GEM simulations, and run- following values for default vehicle
ning GEM for the vehicle configura- masses by vehicle subcategory:
tions specified in paragraph (b)(2) of
this section based on those measured TABLE 1 OF § 1036.301—DEFAULT VEHICLE
values. The engine is considered pass- MASS BY VEHICLE SUBCATEGORY
ing for a given configuration if the new
Default
modeled emission result for each appli- Vehicle subcategory vehicle mass
cable duty cycle is at or below the (kg)
modeled emission result corresponding
Vocational Light HDV .................................... 7,257
to the declared GEM inputs. The en- Vocational Medium HDV ............................... 11,408
gine is considered failing for a given Class 7 Mid-Roof Day Cab ........................... 20,910
configuration if the new modeled emis- Class 8 Mid-Roof Day Cab ........................... 29,529
sion result for any applicable duty Class 8 High-Roof Sleeper Cab .................... 31,978
cycle is above the modeled emission re- Heavy-Haul Tractor ....................................... 53,750
sult corresponding to the declared
GEM inputs. (3) This paragraph (b)(3) provides an
(2) Evaluate cycle-average fuel maps example to illustrate how to determine
by running GEM based on simulated GEM input values for the four vehicle
vehicle configurations representing the configurations identified in paragraph
interpolated center of every group of (b)(2) of this section. If axle ratio is 2.5
four test points that define a boundary for Tests 1 and 2, and 3.5 for Tests 4 and
of cycle work and average engine speed 5, the average value is 3.0. A tire size of
divided by average vehicle speed. These 500 revolutions per mile would apply
simulated vehicle configurations are for all four tests, so the average tire
defined from the four surrounding size would be that same value. Simi-
points based on averaging values for larly, Crr is 6.9 kg/tonne since that
vehicle mass, drag area (if applicable), value applies for all four points. The
tire rolling resistance, tire size, and calculated average value of CdA is 6.9
axle ratio. The regulatory subcategory m2. The calculated average vehicle
is defined by the regulatory sub- mass is 28,746.5 kg. Weight reduction is
category of the vehicle configuration 4,847 kg or 10,686 pounds (3⁄2 · (31,978 ¥
with the greatest mass from those four 28,746.5)).
test points. Figure 1 of this section il- (4) Because your cycle-average map
lustrates a determination of vehicle may have more or fewer test points,
configurations for engines used in trac- you may have more than or fewer than
tors and Vocational HDV using a fixed the number of audit points shown in
115
§ 1036.401 40 CFR Ch. I (7–1–21 Edition)
Figure 1 of this section. If the audit in- If the audit includes only fuel-map
cludes fuel-map testing in conjunction testing, determine emission results
with engine testing relative to exhaust from at least three different engine
emission standards, the fuel-map sim- configurations simulated with each ap-
ulations for the whole set of vehicles plicable vehicle configuration identi-
and duty cycles counts as a single test fied in § 1036.540; the fuel-map simula-
result for purposes of evaluating tion for each vehicle configuration
whether the engine family meets the counts as a separate test for the en-
pass-fail criteria under 40 CFR 1068.420. gine.
(c) If your certification includes Subpart E—In-Use Testing

powertrain testing as specified in 40
CFR 1036.630, these selective enforce- § 1036.401 In-use testing.
ment audit provisions apply with re- We may perform in-use testing of any
spect to powertrain test results as engine family subject to the standards
specified in 40 CFR part 1037, subpart of this part, consistent with the Clean
D, and 40 CFR 1037.550. We may allow Air Act and the provisions of § 1036.235.
manufacturers to instead perform the Note that this provision does not affect
engine-based testing to simulate the your obligation to test your in-use en-
powertrain test as specified in 40 CFR gines as described in 40 CFR part 86,
1037.551. subpart T.
(d) We may suspend or revoke certifi-
cates for any appropriate configura-
tions within one or more engine fami-
Subpart F—Test Procedures
lies based on the outcome of a selective § 1036.501 How do I run a valid emis-
enforcement audit. sion test?
EFFECTIVE DATE NOTE: At 86 FR 34379, June (a) Use the equipment and procedures
29, 2021, § 1036.301 was amended, effective July specified in this subpart and 40 CFR
29, 2021. 86.1305 to determine whether engines
116
ER25OC16.048</GPH>
meet the emission standards in § 1036.503 Engine data and informa-

§ 1036.108. tion for vehicle certification.
(b) You may use special or alternate You must give vehicle manufacturers
procedures to the extent we allow them information as follows so they can cer-
under 40 CFR 1065.10. tify model year 2021 and later vehicles:
(c) This subpart is addressed to you (a) Identify engine make, model, fuel
as a manufacturer, but it applies equal- type, combustion type, engine family
ly to anyone who does testing for you, name, calibration identification, and
and to us when we perform testing to engine displacement. Also identify
determine if your engines meet emis-
which standards the engines meet.
sion standards.
(b) This paragraph (b) describes four
(d) For engines that use
different methods to generate engine
aftertreatment technology with infre-
fuel maps. For engines without hybrid
quent regeneration events, apply infre-
components or mild hybrid where you
quent regeneration adjustment factors
choose not to include hybrid compo-
as described in § 1036.530.
nents in the test, you must generate
(e) Test hybrid engines as described
fuel maps using either paragraph (b)(1)
in § 1036.525 and 40 CFR part 1065.
or (2) of this section. For mild hybrid
(f) Determine engine fuel maps as de- engines where you choose to include
scribed in § 1036.510(b). the hybrid components in the test and
(g) The following additional provi- for hybrid engines, you must generate
sions apply for testing to demonstrate fuel maps using paragraph (b)(4) of this
compliance with the emission stand- section. For all other hybrids,
ards in § 1036.108 for model year 2021 and powertrains, and for vehicles where the
later engines: transmission is not automatic, auto-
(1) If your engine is intended for in- mated manual, manual, or dual-clutch
stallation in a vehicle equipped with you must use paragraph (b)(3) of this
stop-start technology, you may use section.
good engineering judgment to turn the (1) Combined steady-state and cycle-av-
engine off during the idle portions of erage. Determine steady-state engine
the duty cycle to represent in-use oper- fuel maps and fuel consumption at idle
ation, consistent with good engineering as described in § 1036.535(b) and (c) re-
judgment. spectively, and determine cycle-aver-
(2) Use one of the following methods age engine fuel maps as described in
to measure CO2 emissions: § 1036.540, excluding cycle-average fuel
(i) Use the ramped-modal cycle speci- maps for highway cruise cycles.
fied in § 1036.505 using either contin- (2) Cycle-average. Determine fuel con-
uous or batch sampling. sumption at idle as described in
(ii) Measure CO2 emissions over the § 1036.535(c) and (d), and determine
ramped-modal cycle specified in 40 CFR cycle-average engine fuel maps as de-
86.1362 using continuous sampling. In- scribed in § 1036.540, including cycle-av-
tegrate the test results by mode to es- erage engine fuel maps for highway
tablish separate emission rates for cruise cycles. In this case, you do not
each mode (including the transition need to determine steady-state engine
following each mode, as applicable). fuel maps under § 1036.535(b). Fuel map-
Apply the weighting factors specified ping for highway cruise cycles using
in 40 CFR 86.1362 to calculate a com- cycle-average testing is an alternate
posite emission result. method, which means that we may do
(3) Measure or calculate emissions of confirmatory testing based on steady-
criteria pollutants corresponding to state fuel mapping for highway cruise
your measurements to demonstrate cycles even if you do not; however, we
compliance with CO2 standards. These will use the steady-state fuel maps to
test results are not subject to the duty- create cycle-average fuel maps. In
cycle standards of 40 CFR part 86, § 1036.540 we define the vehicle configu-
subart A. rations for testing; we may add more
vehicle configurations to better rep-

29, 2021, § 1036.501 was amended, effective July resent your engine’s operation for the
29, 2021. range of vehicles in which your engines
117
§ 1036.505 40 CFR Ch. I (7–1–21 Edition)
will be installed (see 40 CFR governor, remove data points where

1065.10(c)(1)). the low speed governor is active. If you
(3) Powertrain. Generate a powertrain don’t know when the low-speed gov-
fuel map as described in 40 CFR ernor is active, we recommend remov-
1037.550. In this case, you do not need ing all points below 40 r/min above the
to perform fuel mapping under § 1036.535 low warm idle speed.
or § 1036.540. The option in 40 CFR (3) Declared engine idle speed. For
1037.550(b)(2) is only allowed for hybrid vehicles with manual transmissions,
powertrain testing. this is the engine speed with the trans-
(4) Hybrid engine. Determine fuel con- mission in neutral. For all other vehi-
sumption at idle as described in cles, this is the engine’s idle speed
§ 1036.535(c) and (d), and determine when the transmission is in drive.
cycle-average engine fuel maps as de- (4) The engine idle speed during the
scribed in § 1037.550, including cycle-av- transient cycle-average fuel map.
erage engine fuel maps for highway (5) The engine idle torque during the
cruise cycles. transient cycle-average fuel map.
(c) Provide the following information (d) If you generate powertrain fuel
if you generate engine fuel maps using maps using paragraph (b)(3) of this sec-
either paragraph (b)(1), (2), or (4) of this tion, determine the system continuous
section: rated power according to § 1036.527.
(1) Full-load torque curve for in-
stalled engines, and the full-load [86 FR 34380, June 29, 2021]
torque curve of the engine (parent en- EFFECTIVE DATE NOTE: At 86 FR 34380, June
gine) with the highest fueling rate that 29, 2021, § 1036.503 was added, effective July 29,
shares the same engine hardware, in- 2021.
cluding the turbocharger, as described
in 40 CFR 1065.510. You may use 40 CFR § 1036.505 Ramped-modal testing pro-
1065.510(b)(5)(i) for engines subject to cedures.
spark-ignition standards. Measure the (a) Starting in model year 2021, you
torque curve for hybrid engines that must measure CO2 emissions using the
have an RESS as described in 40 CFR ramped-modal cycle in 40 CFR 86.1362
1065.510(g)(2) with the hybrid system as described in § 1036.501, or using the
active. For hybrid engines that do not ramped-modal cycle in this section.
include an RESS follow 40 CFR (b) Measure emissions using the
1065.510(b)(5)(ii). ramped-modal duty cycle shown in the
(2) Motoring torque map as described following table to determine whether
in 40 CFR 1065.510(c)(2) and (5) for con- engines meet the steady-state compres-
ventional and hybrid engines, respec- sion-ignition standards specified in
tively. For engines with a low-speed subpart B of this part:
TABLE 1 OF § 1036.505—RAMPED-MODAL DUTY CYCLE
Time in mode Engine Torque
RMC mode (seconds) speed 1 2 (percent) 2 3
1a Steady-state ............................. 124 Warm Idle ....................................... 0.

1b Transition ................................. 20 Linear Transition ............................. Linear Transition.
2a Steady-state ............................. 196 A ..................................................... 100.
3a Steady-state ............................. 220 B ..................................................... 50.
3b Transition ................................. 20 B ..................................................... Linear Transition.
4a Steady-state ............................. 220 B ..................................................... 75.
5a Steady-state ............................. 268 A ..................................................... 50.
5b Transition ................................. 20 A ..................................................... Linear Transition.
6a Steady-state ............................. 268 A ..................................................... 75.
6b Transition ................................. 20 A ..................................................... Linear Transition.
7a Steady-state ............................. 268 A ..................................................... 25.
8a Steady-state ............................. 196 B ..................................................... 100.
8b Transition ................................. 20 B ..................................................... Linear Transition.
9a Steady-state ............................. 196 B ..................................................... 25.

10a Steady-state ........................... 28 C ..................................................... 100.
10b Transition ............................... 20 C ..................................................... Linear Transition.
118
TABLE 1 OF § 1036.505—RAMPED-MODAL DUTY CYCLE—Continued

Time in mode Engine Torque
RMC mode (seconds) speed 1 2 (percent) 2 3
11a Steady-state ........................... 4 C ..................................................... 25.

12a Steady-state ........................... 4 C ..................................................... 75.
13a Steady-state ........................... 4 C ..................................................... 50.
13b Transition ............................... 20 Linear Transition ............................. Linear Transition.
14 Steady-state ............................. 144 Warm Idle ....................................... 0.
1 Speed terms are defined in 40 CFR part 1065.
2 Advance from one mode to the next within a 20 second transition phase. During the transition phase, command a linear pro-
gression from the speed or torque setting of the current mode to the speed or torque setting of the next mode.
3 The percent torque is relative to maximum torque at the commanded engine speed.
EFFECTIVE DATE NOTE: At 86 FR 34381, June highway cruise cycles using cycle-aver-
29, 2021, § 1036.505 was revised, effective July age testing is an alternate method,
29, 2021. which means that we may do confirm-
§ 1036.510 Engine data and informa- atory testing based on steady-state
tion for vehicle certification. fuel mapping for highway cruise cycles
even if you do not; however, we will use
You must give vehicle manufacturers the steady-state fuel maps to create
information as follows so they can cer- cycle-average fuel maps. In § 1036.540 we
tify model year 2021 and later vehicles: define the vehicle configurations for
(a) Identify engine make, model, fuel testing; we may add more vehicle con-
type, engine family name, calibration figurations to better represent your en-
identification, and engine displace- gine’s operation for the range of vehi-
ment. Also identify which standards cles in which your engines will be in-
the engines meet. stalled (see 40 1065.10(c)(1)).
(b) This paragraph (b) describes three (3) Powertrain. Generate a powertrain
different methods to generate engine fuel map as described in 40 CFR
fuel maps. Manufacturers may gen- 1037.550. In this case, you do not need
erally rely on any of the three mapping to perform fuel mapping under § 1036.535
methods. However, manufacturers or § 1036.540.
must generate fuel maps using either (d) Provide the following information
cycle-average or powertrain testing as if you generate engine fuel maps using
described in paragraphs (b)(2) and (3) of either paragraph (b)(1) or (2) of this
this section for hybrid engines and hy- section:
brid vehicles. Also, vehicle manufac- (1) Full-load torque curve for in-
turers must use the powertrain method stalled engines, and the full-load
for any vehicle with a transmission torque curve of the engine with the
that is not automatic, automated man- highest fueling rate that shares the
ual, manual, or dual-clutch. same engine hardware, including the
(1) Combined steady-state and cycle-av- turbocharger, as described in 40 CFR
erage. Determine steady-state engine 1065.510. You may use 40 CFR
fuel maps and fuel consumption at idle 1065.510(b)(5)(i) for engines subject to
as described in § 1036.535, and determine spark-ignition standards. Measure the
cycle-average engine fuel maps as de- torque curve for hybrid engines as de-
scribed in § 1036.540, excluding cycle-av- scribed in 40 CFR 1065.510(g) with the
erage fuel maps for highway cruise cy- hybrid system active.
cles. (2) Motoring torque map as described
(2) Cycle-average. Determine fuel con- in 40 CFR 1065.510(c)(2) and (4) for con-
sumption at idle as described in ventional and hybrid engines, respec-
§ 1036.535, and determine cycle-average tively.
engine fuel maps as described in (3) Declared engine idle speed. For
§ 1036.540, including cycle-average en- vehicles with manual transmissions,
gine fuel maps for highway cruise cy- this is the engine speed with the trans-
cles. In this case, you do not need to mission in neutral. For all other vehi-
determine steady-state engine fuel cles, this is the engine’s idle speed
maps under § 1036.535. Fuel mapping for when the transmission is in drive.
119
§ 1036.525 40 CFR Ch. I (7–1–21 Edition)
EFFECTIVE DATE NOTE: At 86 FR 34385, June quires separate torque maps for the en-
29, 2021, § 1036.510 was revised, effective July gine with and without the hybrid fea-
29, 2021.
tures active. For transient testing,
§ 1036.525 Hybrid engines. denormalize the duty cycle using the
map generated with the hybrid feature
(a) If your engine system includes active. For steady-state testing,
features that recover and store energy denormalize the duty cycle using the
during engine motoring operation, test
map generated without the hybrid fea-
the engine as described in paragraph
ture.
(d) of this section. For purposes of this
section, features that recover energy (2) Engine shutdown during testing. If
between the engine and transmission you will configure production engines
are considered related to engine motor- to shut down automatically during idle
ing. operation, you may let the engine shut
(b) If you produce a hybrid engine de- down during the idle portions of the
signed with power take-off capability duty cycle.
and sell the engine coupled with a (3) Work calculation. Calculate posi-
transmission, you may calculate a re- tive and negative work done over the
duction in CO2 emissions resulting cycle according to 40 CFR 1065.650(d),
from the power take-off operation as except that you must set power to zero
described in 40 CFR 1037.540. Quantify to calculate negative work done for
the CO2 reduction for your engines any period over the cycle where the en-
using the vehicle-based procedures, gine produces net positive power or
consistent with good engineering judg- where the negative power is solely
ment. from the engine and not the hybrid sys-
(c) For engines that include electric tem.
hybrid systems, test the engine with (4) Limits on braking energy. Calculate
the hybrid electric motor, the re- brake energy fraction, xb, as follows:
chargeable energy storage system (i) Calculate xb as the integrated neg-
(RESS), and the power electronics be-
ative work over the cycle divided by
tween the hybrid electric motor and
the integrated positive work over the
the RESS. You may ask us to modify
cycle according to Eq. 1036.525–1. Cal-
the provisions of this section for test-
ing engines with other kinds of hybrid culate the brake energy limit for the
systems. engine, xbl, according to Eq. 1036.525–2.
(d) Measure emissions using the same If xb is less than or equal to xbl, use the
procedures that apply for testing non- integrated positive work for your emis-
hybrid engines under this part, except sion calculations. If xb is greater than
as specified in this part and 40 CFR xbl use Eq. 1036.525–3 to calculate an ad-
part 1065. For ramped-modal testing, justed value for cycle work, Wcycle, and
deactivate the hybrid features unless use Wcycle as the work value for calcu-
we specify otherwise. The following lating emission results. You may set
provisions apply for testing hybrid en- an instantaneous brake target that
gines: will prevent xb from being larger than
(1) Engine mapping. Map the engine as xbl to avoid the need to subtract extra
specified in 40 CFR 1065.510. This re- brake work from positive work.
Where: Wneg = the negative work over the cycle.
120
ER25OC16.049</GPH>
Wpos = the positive work over the cycle.
Where: Where:
Pmax = the maximum power of the engine Wcycle = cycle work when xb is greater than xbl.
with the hybrid system engaged.
Example:
Wneg = 4.69 kW-hr
Wpos = 14.67 kW-hr
Pmax = 223 kW
xbl = 4.158.10¥4·.223 + 0.2247 = 0.317 kW described in paragraph (f)(4) of this sec-

since xb > xbl; tion, use the measured system peak
Wcycle = 14.67 ¥ (|4.59| ¥ 0.317·14.67) = 14.63 kW- power in place of Pcontrated.
hr
(b) Prior to the start of each test in-
(ii) Convert from g/kW-hr to g/hp-hr terval verify the following:
as the final step in calculating emis- (1) The state-of-charge of the re-
sion results. chargeable energy storage system
(5) State of charge. Correct for the net (RESS) is ≥90% of the operating range
energy change of the energy storage between the minimum and maximum
device as described in 40 CFR 1066.501. RESS energy levels specified by the
EFFECTIVE DATE NOTE: At 86 FR 34386, June manufacturer.
29, 2021, § 1036.525 was amended, effective July (2) The conditions of all hybrid sys-
29, 2021. tem components are within their nor-
mal operating range as declared by the
§ 1036.527 Powertrain system rated
power determination. manufacturer.
(3) RESS restrictions (e.g., power
This section describes how to deter-
limiting, thermal limits, etc.) are not
mine the peak and continuous rated
active.
power of conventional and hybrid
powertrain systems and the vehicle (c) Carry out the test as follows:
speed for carrying out testing accord- (1) Warm up the powertrain by oper-
ing to §§ 1036.505 and 1036.510 and 40 CFR ating it. We recommend operating the
1037.550. powertrain at any vehicle speed and
(a) Set up the powertrain according road grade that achieves approxi-
ER25OC16.051</GPH> ER25OC16.052</GPH>
to 40 CFR 1037.550, but use the vehicle mately 75% of its expected maximum
parameters in § 1036.505(b)(2), except repower. Continue the warm-up until the
place Pcontrated with the manufacturer de- engine coolant, block, or head absolute
clared system peak power and use ap- temperature is within ±2% of its mean
plicable automatic transmission for value for at least 2 min or until the en-
the engine. Note that if you repeat the gine thermostat controls engine tem-
system rated power determination as perature.
121
ER25OC16.050</GPH>
§ 1036.527 40 CFR Ch. I (7–1–21 Edition)
(2) Start the test by keying on the ured at the dynamometer at 100 Hz and
powertrain and letting it sit at 0 mi/hr use these in conjunction with the vehi-
for 50 seconds. cle model to calculate Psys,vehicle.
(3) Set maximum driver demand for a (e) Calculate the system power, Psys,
full load acceleration at 6% road grade for each data point as follows:
starting at an initial vehicle speed of 0 (1) For testing with the speed and
mi/hr. torque measurements at the trans-
(4) 268 seconds after the initiation of
mission input shaft, Psys is equal to the
paragraph (c)(3) of this section, lin-
calculated vehicle system peak power,
early ramp the grade from 6% to 0%
over 300 seconds. Stop the test after Psys,vehicle, determined in paragraphs (c)
the vehicle speed has stopped increas- through (d) of this section.
ing above the maximum value observed (2) For testing with the speed and
during the test. torque measurements at the axle input
(d) Record the powertrain system an- shaft or the wheel hubs, determine Psys
gular speed and torque values meas- using the following equation:
Where: ment at the axle input shaft or = 0.955 at

Psys,vehicle = the calculated vehicle system the wheel hubs.
peak power.
etrans = the default transmission efficiency = Example:
0.95.
eaxle = the default axle efficiency. Set this Psys,vehicle = 317.6 kW
value = 1 for speed and torque measure-
(f) The system peak rated power, (COV) <2%. The COV is determined as
Prated, is the highest calculated Psys follows:
where the coefficient of variation (1) Calculate the standard deviation,
s(t).
ER29JN21.030</GPH>
ER29JN21.029</GPH>
Where: N = the number of measurement intervals =

20.
122
ER29JN21.028</GPH>
Psysi = the N samples in the 100 Hz signal pre- (2) The resulting 5 Hz power and co-
viously used to calculate the respective variance signals are used to determine
Pμ(t) values at the time step t. system rated power.
P̄μ(t) = the power vector from the results of (3) The coefficient of variation
each test run that is determined by a COV(t) shall be calculated as the ratio
moving averaging of 20 consecutive sam-
of the standard deviation, s(t), to the
ples of Pσυσ in the 100 Hz that converts
mean value of power, P̄μ(t), for each
Pμ(t) to a 5 Hz signal.
time step t.
(4) If the determined system peak collected in paragraph (c)(4) of this sec-
rated power is not within ±3% of the tion that meets the requirements in
system peak rated power as declared by paragraph (f) of this section where Psys
the manufacturer, you must repeat the is great than 0.98 · Pcontrated.
procedure in paragraphs (a) through
(f)(3) of this section using the measured [86 FR 34386, June 29, 2021]
system peak rated power determined in EFFECTIVE DATE NOTE: At 86 FR 34386, June
paragraph (f) of this section instead of 29, 2021, § 1036.527 was added, effective July 29,
the manufacturer declared value. The 2021.
result from this repeat is the final de-
termined system peak rated power. § 1036.530 Calculating greenhouse gas
(5) If the determined system peak emission rates.
rated power is within ±3% of the sys- This section describes how to cal-
tem peak rated power as declared by culate official emission results for CO2,
the manufacturer, the declared system CH4, and N2O.
peak rated power shall be used. (a) Calculate brake-specific emission
(g) Determine continuous rated
rates for each applicable duty cycle as
power as follows:
(1) For conventional powertrains, specified in 40 CFR 1065.650. Apply in-
Pcontrated equals Prated. frequent regeneration adjustment fac-
(2) For hybrid powertrains, contin- tors to your cycle-average results as
uous rated power, Pcontrated, is the max- described in 40 CFR 86.004–28 for CO2
imum measured power from the data starting in model year 2021. You may
collected in paragraph (c)(3) of this sec- optionally apply infrequent regenera-
tion that meets the requirements in tion adjustment factors for CH4 and
paragraph (f) of this section. N2O.
(h) Vehicle C speed, nrefC, is deter- (b) Adjust CO2 emission rates cal-
mined as follows: culated under paragraph (a) of this sec-
(1) For powertrains where Psys is tion for measured test fuel properties
greater than 0.98 · Pcontrated in top gear at as specified in this paragraph (b). This
more than one vehicle speed, nrefC is the adjustment is intended to make official
average of the minimum and maximum emission results independent of dif-
vehicle speeds from the data collected ferences in test fuels within a fuel
in paragraph (c)(4) of this section that type. Use good engineering judgment
meets the requirements in paragraph to develop and apply testing protocols
(f) of this section.
to minimize the impact of variations in
(2) For powertrains where Psys is not
test fuels.
greater than 0.98 · Pcontrated in top gear at
more than one vehicle speed, nrefC is the (1) Determine mass-specific net en-
maximum vehicle speed from the data ergy content, Emfuelmeas, also known as
123
ER29JN21.031</GPH>
§ 1036.530 40 CFR Ch. I (7–1–21 Edition)
lower heating value, in MJ/kg, ex- sample analyzed by three different labs
pressed to at least three decimal and use the arithmetic mean of the re-
places, as follows: sults as your test fuel’s wC.
(i) For liquid fuels, determine (3) If, over a period of time, you re-
Emfuelmeas according to ASTM D4809 (in- ceive multiple fuel deliveries from a
corporated by reference in § 1036.810). single stock batch of test fuel, you may
(ii) For gaseous fuels, determine use constant values for mass-specific
Emfuelmeas using good engineering judg- energy content and carbon mass frac-
ment. tion, consistent with good engineering
(2) Determine your test fuel’s carbon judgment. To use this provision, you
mass fraction, wC, as described in 40 must demonstrate that every subse-
CFR 1065.655(d), expressed to at least quent delivery comes from the same
three decimal places; however, you stock batch and that the fuel has not
must measure fuel properties rather been contaminated.
than using the default values specified (4) Correct measured CO2 emission
in Table 1 of 40 CFR 1065.655. Have the rates as follows:
Where: appropriate fuel type, as determined in

eCO2 = the calculated CO2 emission result. Table 1 of this section.
Emfuelmeas = the mass-specific net energy con- wCmeas = carbon mass fraction of the test fuel
tent of the test fuel as determined in (or mixture of test fuels) as determined
paragraph (b)(1) of this section. Note in paragraph (b)(2) of this section.
that dividing this value by wCmeas (as is Example:
done in this equation) equates to a car-
eCO2 = 630.0 g/hp·hr
bon-specific net energy content having
the same units as EmfuelCref. Emfuelmeas = 42.528 MJ/kg
EmfuelCref = the reference value of carbon- EmfuelCref = 49.3112 MJ/kgC
mass-specific net energy content for the wCmeas = 0.870
eCO2cor = 624.5 g/hp·hr TABLE 1 OF § 1036.530—REFERENCE FUEL

PROPERTIES—Continued
TABLE 1 OF § 1036.530—REFERENCE FUEL
PROPERTIES Reference fuel
carbon-mass- Reference fuel
specific net
Reference fuel Fuel type1 carbon mass
energy content,
carbon-mass- fraction, wCref 2
Reference fuel EmfuelCref,
specific net (MJ/kgC) 2
Fuel type1 carbon mass
energy content, fraction, wCref 2
EmfuelCref,
(MJ/kgC) 2 High-level ethanol-
gasoline blends ...... 50.3211 0.576
Diesel fuel .................. 49.3112 0.874 1 Forfuels that are not listed, you must ask us to approve
Gasoline .................... 50.4742 0.846 reference fuel properties.
2 For multi-fuel streams, such as natural gas with diesel fuel
Natural Gas ............... 66.2910 0.750
ER25OC16.054</GPH>
LPG ........................... 56.5218 0.820 pilot injection, use good engineering judgment to determine
blended values for EmfuelCref and wCref using the values in this
Dimethyl Ether ........... 55.3886 0.521 table.
124
ER25OC16.053</GPH>
(c) Your official emission result for consider this a valid test and omit the
each pollutant equals your calculated NOX emission measurements; however,
brake-specific emission rate multiplied we may require you to repeat the test
by all applicable adjustment factors, if we determine that you inappropri-
other than the deterioration factor. ately voided the test with respect to
NOX emission measurement.
29, 2021, § 1036.530 was revised, effective July (b) Steady-state fuel mapping. Deter-
29, 2021. mine fuel-consumption rates for each
engine configuration over a series of
§ 1036.535 Determining steady-state steady-state engine operating points as
engine fuel maps and fuel consump- described in this paragraph (b). You
tion at idle. may use shared data across an engine
This section describes how to deter- platform to the extent that the fuel-
mine an engine’s steady-state fuel map consumption rates remain valid. For
and fuel consumption at idle for model example, if you test a high-output con-
year 2021 and later vehicles. Vehicle figuration and create a different con-
manufacturers may need these values figuration that uses the same fueling
to demonstrate compliance with emis- strategy but limits the engine oper-
sion standards under 40 CFR part 1037 ation to be a subset of that from the
as described in § 1036.510. high-output configuration, you may
(a) General test provisions. Perform use the fuel-consumption rates for the
fuel mapping using the procedure de- reduced number of mapped points for
scribed in paragraph (b) of this section the low-output configuration, as long
to establish measured fuel-consump- as the narrower map includes at least
tion rates at a range of engine speed 70 points. Perform fuel mapping as fol-
and load settings. Measure fuel con- lows:
sumption at idle using the procedure (1) Select ten speed points that in-
described in paragraph (c) of this sec- clude warm idle speed, fnidle, the highest
tion. If you perform cycle-average speed above maximum power at which
mapping for highway cruise cycles as 70% of maximum power occurs, nhi, and
described in § 1037.540, omit mapping eight equally spaced points between
under paragraph (b) of the section and fnidle and nhi. Control speed to within
instead perform mapping as described ±1% of nhi (see 40 CFR 1065.610(c)).
in paragraph (c) and (d) of this section. (2) Select ten torque values, includ-
Use these measured fuel-consumption ing T = 0, maximum mapped torque,
values to declare fuel-consumption Tmax mapped, and eight equally spaced
rates for certification as described in points between T = 0 and Tmax mapped. Re-
paragraph (e) of this section. place any torque setpoints that are
(1) Map the engine as described in above the mapped torque at a given
§ 1036.510(a)(2) and (3), and perform speed, Tmax, minus 5 percent of Tmax
emission measurements as described in mapped. with one test point at Tmax. Con-
40 CFR 1065.501 and 1065.530 for discrete- trol engine torque to within ±5% of Tmax
mode steady-state testing. This section mapped.
uses engine parameters and variables (3) You may need to adjust dyna-
that are consistent with 40 CFR part mometer settings any time the engine
1065. is operating on the low-speed or high-
(2) Measure NOX emissions for each speed governor to maintain stable en-
specified sampling period in g/s. You gine operation. You may change the
may perform these measurements dynamometer’s speed setpoint as need-
using a NOX emission-measurement ed to avoid activating the engine’s gov-
system that meets the requirements of ernor. You may alternatively set the
40 CFR part 1065, subpart J. Include dynamometer mode to torque-control,
these measured NOX values any time in which case speed can fall outside of
you report to us your fuel consumption ±1% of nhi.
values from testing under this section. (4) Precondition the engine as de-
If a system malfunction prevents you scribed in 40 CFR 1065.510(b)(2).
from measuring NOX emissions during (5) Within 60 seconds after concluding
a test under this section but the test the preconditioning procedure, operate
otherwise gives valid results, you may the engine at nhi and Tmax.
125
§ 1036.535 40 CFR Ch. I (7–1–21 Edition)
(6) After the engine operates at the as described in paragraphs (b)(6) and (7)
set speed and torque for 60 seconds, of this section. Repeat this sequence
start recording measurements using for all remaining speed values down to
one of the following methods: fnidle to complete the fuel-mapping pro-
(i) Carbon mass balance. Record speed cedure. You may interrupt the map-
and torque and measure emissions and ping sequence to calibrate emission-
other inputs needed to run the chem- measurement instrumentation only
ical balance in 40 CFR 1065.655(c) for (29 during stabilization at Tmax for a given
to 31) seconds; determine the cor- speed. If you use batch sampling to
responding mean values for the sam- measure background emissions, you
pling period. We will use carbon mass may sample periodically into the bag
balance. over the course of multiple test inter-
(ii) Direct measurement of fuel flow. vals defined by the period between cali-
Record speed and torque and measure brations of emission-measurement in-
fuel consumption with a fuel flow strumentation. The background sample
meter for (29 to 31) seconds; determine
must be applied to correct emissions
the corresponding mean values for the
sampled over the test interval(s) be-
sampling period.
tween calibrations.
(7) After completing the sampling pe-
riod described in paragraph (b)(6) of (ii) If an infrequent regeneration
this section, linearly ramp the engine event occurs during fuel mapping, in-
over 15 seconds to the next lowest validate all the measurements made at
torque value while holding speed con- that engine speed. Allow the regenera-
stant. Perform the measurements de- tion event to finish, then restart en-
scribed at the new torque setting and gine stabilization at Tmax at the same
repeat this sequence for all remaining engine speed and continue with meas-
torque values down to T = 0. urements from that point in the fuel-
(8) Continue testing to complete fuel mapping sequence.
mapping as follows: (9) If you determine fuel-consump-
(i) At T = 0, linearly ramp the engine tion rates using emission measure-
over 15 seconds to operate at the next ments from the raw or diluted exhaust,
lowest speed value and increase torque calculate the mean fuel mass flow rate,
Ô
to Tmax. Perform measurements for all mfuel, for each point in the fuel map
the torque values at the selected speed using the following equation:
Where: x̄Ccombdry= the mean concentration of carbon

Ô from fuel and any injected fluids in the
mfuel = mean fuel mass flow rate for a given
exhaust per mole of dry exhaust as deter-
fuel map setpoint, expressed to at least mined in 40 CFR 1065.655(c).
the nearest 0.001 g/s.
x̄H2Oexhdry= the mean concentration of H2O in
MC = molar mass of carbon. exhaust per mole of dry exhaust as deter-
wCmeas = carbon mass fraction of fuel (or mix- mined in 40 CFR 1065.655(c).
ture of test fuels) as determined in 40 Ô
mCO2DEF= the mean CO2 mass emission rate
CFR 1065.655(d), except that you may not resulting from diesel exhaust fluid de-
use the default properties in Table 1 of 40 composition as determined in paragraph
CFR 1065.655 to determine α, β, and wC for (b)(10) of this section. If your engine does
liquid fuels. not use diesel exhaust fluid, or if you
Ô
nexh= the mean raw exhaust molar flow rate
choose not to perform this correction,

from which you measured emissions ac- Ô
set mCO2DEF equal to 0.
cording to 40 CFR 1065.655. MCO2 = molar mass of carbon dioxide.
126
ER25OC16.055</GPH>
Example: x̄Ccombdry= 0.002805 mol/mol
MC = 12.0107 g/mol x̄ = 0.0353 mol/mol
ÔH2Oexhdry
w = 0.869 mCO2DEF= 0.0726 g/s
Ô Cmeas
nexh= 25.534 mol/s MCO2 = 44.0095 g/mol
(10) If you determine fuel-consump- for the mean CO2 mass emissions re-
tion rates using emission measure- sulting from diesel exhaust fluid de-
ments with engines that utilize diesel composition at each fuel map setpoint
exhaust fluid for NOX control, correct using the following equation:
Where: a pure compound and the subscript

Ô ‘‘DEF’’ refers to the aqueous 32.5% urea
mDEF= the mean mass flow rate of injected
urea solution diesel exhaust fluid for a diesel exhaust fluid as a solution of urea
given sampling period, determined di- in water with a nominal urea concentra-
rectly from the engine control module, tion of 32.5%.
or measured separately, consistent with MCH4N2O = molar mass of urea.
good engineering judgment. Example:
Ô
MCO2 = molar mass of carbon dioxide. mDEF= 0. 304 g/s
wCH4N2O = mass fraction of urea in diesel ex- MCO2 = 44.0095 g/mol
haust fluid aqueous solution. Note that wCH4N2O = 32.5% = 0.325
the subscript ‘‘CH4N2O’’ refers to urea as MCH4N2O = 60.05526 g/mol
ER25OC16.059</GPH>
(11) Correct the measured or cal- mass-specific net energy content of a
Ô
culated mean fuel mass flow rate, mfuel reference fuel using the following equa-
at each engine operating condition to a tion:
ER25OC16.058</GPH>
ER25OC16.057</GPH>
ER25OC16.056</GPH></EXAMPLE>
127
§ 1036.535 40 CFR Ch. I (7–1–21 Edition)
Where: Table 1 of § 1036.530 for the designated
Emfuelmeas = the mass-specific net energy con- fuels. For other fuels, use the reference
tent of the test fuel as determined in carbon mass fraction of diesel fuel for en-
§ 1036.530(b)(1). gines subject to compression-ignition
EmfuelCref = the reference value of carbon- standards, and use the reference carbon
mass-specific net energy content for the mass fraction of gasoline for engines sub-
appropriate fuel. Use the values shown in ject to spark-ignition standards.
Table 1 of § 1036.530 for the designated Example:
Ô
fuel types, or values we approve for other mfuel= 0.933 g/s
fuel types. Emfuelmeas = 42.7984 MJ/kgC
wCref = the reference value of carbon mass EmfuelCref = 49.3112 MJ/kgC
fraction for the test fuel as shown in wCref = 0.874
(c) Fuel consumption at idle. Deter- validate any measurements made at

mine values for fuel-consumption rate that idle condition. Allow the regen-
at idle for each engine configuration as eration event to finish, then repeat the
described in this paragraph (c). You measurement and continue with the
may use shared data across engine con- test sequence.
figurations, consistent with good engi- (6) Correct the measured or cal-
neering judgment. Perform measure- Ô
culated mean fuel mass flow rate, mfuel
ments as follows: at each of the four idle settings to ac-
(1) Precondition the engine as de- count for mass-specific net energy con-
scribed in 40 CFR 1065.510(b)(2). tent as described in paragraph (b)(11) of
(2) Within 60 seconds after concluding this section.
the preconditioning procedure, operate
(d) Steady-state fuel maps used for
the engine at its minimum declared
cycle-average fuel mapping of the cruise
warm idle speed, fnidlemin, as described in
40 CFR 1065.510(b)(3), set zero torque, cycles. Use the appropriate default
and start the sampling period. Con- steady-state engine fuel map as speci-
tinue sampling for (595 to 605) seconds. fied in Appendix I to this part to gen-
Perform measurements using carbon erate cycle-average fuel maps under
mass balance. Record speed and torque § 1036.540, as amended based on the
and measure emissions and other in- measurements specified in this para-
puts as described in 40 CFR 1065.655(c); graph (d). Measure fuel consumption at
determine the corresponding mean val- idle at the four specified engine oper-
ues for the sampling period. Calculate ating conditions. For any values from
Ô the default map that lie within the
the mean fuel mass flow rate, mfuel, dur-
ing the sampling period as described in boundaries of the engine speed and
paragraph (b)(9) of this section. torque values represented by these
Manufacturers may instead measure idle-operating points, use the measured
fuel consumption with a fuel flow values instead of the default values.
meter and determine the corresponding You may use shared data across engine
mean values for the sampling period. configurations, consistent with good
(3) Repeat the steps in paragraphs engineering judgment. Determine val-
(c)(1) and (2) of this section with the ues for fuel-consumption rate at idle
engine set to operate at a torque set- for each engine configuration as fol-
ting of 100 N·m. lows:
(4) Repeat the steps in paragraphs (1) Determine idle torque, Tidle, at the
(c)(1) through (3) of this section with engine’s maximum warm idle speed
the engine operated at its declared
using the following equation:
maximum warm idle speed, fnidlemax.
(5) If an infrequent regeneration

event occurs during this procedure, in-
128
ER25OC16.060</GPH>
Where: for Vocational Medium HDV, and 3500 W for

Tfnstall = the maximum engine torque at fnstall. Tractors and Vocational Heavy HDV.
fnidle[speed] = the applicable engine idle speed as Example:
described in this paragraph (d). Tfnstall = 1870 N·m
fnstall = the stall speed of the torque converter; fntest = 1740.8 r/min = 182.30 rad/s
use fntest or 2250 rpm, whichever is lower. fnstall = 1740.8 r/min = 182.30 rad/s
Pacc = accessory power for the vehicle class; fnidlemax = 700 r/min = 73.30 rad/s
use 1500 W for Vocational Light HDV, 2500 W Pacc = 1500 W
(2) Precondition the engine as de- validate any measurements made at

scribed in 40 CFR 1065.510(b)(2). that idle condition. Allow the regen-
(3) Within 60 seconds after concluding eration event to finish, then repeat the
the preconditioning procedure, operate measurement and continue with the
the engine at its maximum declared test sequence.
warm idle speed, fnidlemax, as described in (7) Correct the measured or cal-
40 CFR 1065.510(b)(3), set torque to the Ô
culated mean fuel mass flow rate, mfuel
value determined in paragraph (d)(1) of at each of the four idle settings to ac-
this section, after the engine operates count for mass-specific net energy con-
at the set speed and torque for 60 sec-
tent as described in paragraph (b)(11) of
onds, start the sampling period. Con-
this section.
tinue sampling for (29 to 31) seconds.
Perform measurements using carbon (e) Measured vs. declared fuel-consump-
mass balance. Record speed and torque tion rates. Select fuel-consumption
and measure emissions and other in- rates in g/s to characterize the engine’s
puts as described in 40 CFR 1065.655(c); fuel maps. These declared values may
determine the corresponding mean val- not be lower than any corresponding
ues for the sampling period. Calculate measured values determined in para-
Ô graphs (b) through (d) of this section.
the mean fuel mass flow rate, mfuel, dur-
ing the sampling period as described in You may select any value that is at or
paragraph (b)(9) of this section. Manu- above the corresponding measured
facturers may instead measure fuel value. These declared fuel-consumption
consumption with a fuel flow meter rates, which serve as emission stand-
and determine the corresponding mean ards under § 1036.108, are the values
values for the sampling period. that vehicle manufacturers will use for
(4) Repeat the steps in paragraphs certification under 40 CFR part 1037.
(d)(2) and (3) of this section with the Note that production engines are sub-
engine set to operate at zero torque. ject to GEM cycle-weighted limits as
(5) Repeat the steps in paragraphs described in § 1036.301.
(d)(1) through (4) of this section with
the engine operated at its declared EFFECTIVE DATE NOTE: At 86 FR 34388, June
minimum warm idle speed, fnidlemin. 29, 2021, § 1036.535 was revised, effective July
ER25OC16.062</GPH>
(6) If an infrequent regeneration 29, 2021.

event occurs during this procedure, in-
129
ER25OC16.061</GPH>
§ 1036.540 40 CFR Ch. I (7–1–21 Edition)
§ 1036.540 Determining cycle-average are appropriately configured to rep-

engine fuel maps. resent the hybrid features in your test-
(a) Overview. This section describes ing.
how to determine an engine’s cycle-av- (2) Measure NOX emissions for each
erage fuel maps for model year 2021 and specified sampling period in grams.
later vehicles with transient cycles. You may perform these measurements
This may also apply for highway cruise using a NOX emission-measurement
cycles as described in § 1036.510. Vehicle system that meets the requirements of
manufacturers may need one or both of 40 CFR part 1065, subpart J. Include
these to demonstrate compliance with these measured NOX values any time
emission standards under 40 CFR part you report to us your fuel consumption
1037. Generating cycle-average engine values from testing under this section.
fuel maps consists of the following If a system malfunction prevents you
steps: from measuring NOX emissions during
(1) Determine the engine’s torque a test under this section but the test
maps as described in § 1036.510(a). otherwise gives valid results, you may
(2) Determine the engine’s steady- consider this a valid test and omit the
state fuel map and fuel consumption at NOX emission measurements; however,
idle as described in § 1036.535. we may require you to repeat the test
(3) Simulate several different vehicle if we determine that you inappropri-
configurations using GEM (see 40 CFR ately voided the test with respect to
1037.520) to create new engine duty cy- NOX emission measurement.
cles, as described in paragraph (c) of (3) This section uses engine param-
this section. The transient vehicle duty eters and variables that are consistent
cycles for this simulation are in 40 CFR with 40 CFR part 1065.
part 1037, Appendix I; the highway (c) Create engine cycles. Use GEM to
cruise cycles with grade are in 40 CFR simulate several different vehicle con-
part 1037, Appendix IV. Note that GEM figurations to create transient and
simulation relies on vehicle service highway cruise engine cycles cor-
classes as described in 40 CFR 1037.140. responding to each vehicle configura-
(4) Test the engines using the new tion, as follows:
duty cycles to determine fuel consump- (1) Set up GEM to simulate vehicle
tion, cycle work, and average vehicle operation based on your engine’s
speed as described in paragraph (d) of torque maps, steady-state fuel maps,
this section and establish GEM inputs and fuel consumption at idle as de-
for those parameters for further vehi- scribed in paragraph (a)(1) and (2) of
cle simulations as described in para- this section.
graph (e) of this section. (2) Set up GEM with transmission
(b) General test provisions. The fol- gear ratios for different vehicle service
lowing provisions apply for testing classes and vehicle duty cycles as de-
under this section: scribed in Table 1 of this section. These
(1) To perform fuel mapping under values are based on automatic or auto-
this section for hybrid engines, make mated manual transmissions, but they
sure the engine and its hybrid features apply for all transmission types.
TABLE 1 OF § 1036.540—ASSIGNED TRANSMISSION GEAR RATIOS
Tractors and
Tractors and
Light HDV and heavy HDV,
Gear number heavy HDV,
medium HDV highway cruise
transient cycle cycle
1 ....................................................................................................... 3.10 3.51 12.8

2 ....................................................................................................... 1.81 1.91 9.25
3 ....................................................................................................... 1.41 1.43 6.76
4 ....................................................................................................... 1.00 1.00 4.90
5 ....................................................................................................... 0.71 0.74 3.58
6 ....................................................................................................... 0.61 0.64 2.61
7 ....................................................................................................... .............................. .............................. 1.89
8 ....................................................................................................... .............................. .............................. 1.38
9 ....................................................................................................... .............................. .............................. 1.00

10 ..................................................................................................... .............................. .............................. 0.73
130
(3) Run GEM for each simulated vehi-

cle configuration as follows:
Where: section (for powertrain testing use actual

top gear ratio).
fn[speed] = engine’s angular speed as deter vref = reference speed. Use 65 mi/hr for the
mined in paragraph (c)(3)(ii) or (iii) of transient cycle and the 65 mi/hr highway
this section. cruise cycle, and use 55 mi/hr for the 55
ktopgear = transmission gear ratio in the high- mi/hr highway cruise cycle.
est available gear from Table 4 of this
ER25OC16.066</GPH>
ER25OC16.064</GPH> ER25OC16.065</GPH>
Example: speed automatic transmission at B speed

This example is for a vocational Light (Test 3 or 4 in Table 2 of this section).

HDV or vocational Medium HDV with a 6- fnrefB = 1870 r/min = 31.17 r/s
131
ER25OC16.063</GPH>
§ 1036.540 40 CFR Ch. I (7–1–21 Edition)
kaB = 4.0 vref = 65 mi/hr = 29.06 m/s
ktopgear = 0.61
(ii) Test at least eight different vehi- 6 of Table 2 of this section to represent
cle configurations for engines that will Class 7 vehicles and Tests 3, 6, and 9 of
be installed in vocational Light HDV Table 3 of this section to represent
or vocational Medium HDV. If the en- Class 8 vehicles. You may test your en-
gine will also be installed in vocational gine using additional vehicle configu-
Heavy HDV, use good engineering judg- rations with different ka and Crr values
ment to select at least nine test con- to represent a wider range of in-use ve-
figurations that best represent the hicle configurations. Set CdA to 5.4 for
range of vehicles. For example, if your all test configurations.For powertrain
engines will be installed in vocational
testing, set Mrotating to 340 kg and Effaxle
Medium HDV and vocational Heavy
to 0.955 for all test configurations.
HDV, you might select Tests 1 through
corresponding designated engine speed These engine speeds apply equally for
(A, B, C, or fntest) at 65 mi/hr for the engines subject to spark-ignition
transient cycle and the 65 mi/hr high- standards. Use the following settings
way cruise cycle, and at 55 mi/hr for specific to each vehicle configuration:
the 55 mi/hr highway cruise cycle.
ER25OC16.068</GPH> ER25OC16.069</GPH>
132
ER25OC16.067</GPH>
(iii) Test nine different vehicle con- tional configurations with different ka,
figurations for engines that will be in- CdA, and Crr values to represent a wider
stalled in vocational Heavy HDV and range of in-use vehicle configurations.
for tractors that are not heavy-haul Set Crr to 6.9 for all nine defined test
tractors. Test over six different test configurations. For powertrain testing,
configurations for heavy-haul tractors. set Effaxle to 0.955 for all test configura-
You may test your engines for additions. Set the axle ratio, ka,
engine speed (B, fntest, or the minimum peat overlapping test configurations,
NTE exclusion speed as determined in so complete fuel mapping requires test-
40 CFR 86.1370(b)(1)) at 65 mi/hr. Use the ing 12 (not 15) test configurations for
settings specific to each test configura- those engines. Note that Mrotating is
tion as shown in Table 3 or Table 4 of needed for powertrain testing but not
this section, as appropriate. Engines for engine testing. Tables 3 and 4 fol-
subject to testing under both Table 3 low:
and Table 4 of this section need not re-
ER25OC16.071</GPH> ER25OC16.072</GPH>
(iv) Use the defined values in Tables category and vehicle weight reduction,
1 through 4 of this section to set up if applicable, to achieve the target ve-

GEM with the correct regulatory sub- hicle mass, M, for each test.
133
ER25OC16.070</GPH>
§ 1036.540 40 CFR Ch. I (7–1–21 Edition)
(4) Use the GEM output of instanta- (2) If an infrequent regeneration

neous engine speed and engine flywheel event occurs during a mapping test in-
torque for each of the vehicle configu- terval, invalidate that test interval.
rations to generate a 10 Hz transient Continue operating the vehicle to allow
duty cycle corresponding to each vehi- the regeneration event to finish, then
cle configuration operating over each repeat engine preconditioning and re-
vehicle duty cycle. sume testing at the start of the invali-
(d) Test the engine with GEM cycles. dated test cycle.
Test the engine over each of the tran- (3) For each test, record measure-
sient duty cycles generated in para- ments needed to determine fuel mass
graph (c) of this section as follows: using carbon mass balance. Record
(1) Precondition the engine either as speed and torque and measure emis-
described in 40 CFR 1037.510(a)(2)(i) for sions and other inputs as described in
the transient duty-cycle and 40 CFR 40 CFR 1065.655(c). Manufacturers may
instead measure fuel consumption with
1037.510(a)(2)(ii) for the highway cruise
a fuel flow meter. For hybrid
duty cycles using the Test 1 vehicle
powertrains with no plug-in capability,
configuration, and then continue test-
correct for the net energy change of
ing the different configurations in the
the energy storage device as described
order presented in this section. Meas-
in 40 CFR 1066.501. For plug-in hybrid
ure emissions as described in 40 CFR engines, follow 40 CFR 1066.501 to deter-
part 1065; perform cycle validation ac- mine End-of-Test for charge-depleting
cording to 40 CFR part 1065, subpart F, operation; to do this, you must get our
except as noted in this paragraph (d)(1). advance approval for a utility factor
If the range of reference speeds is less curve. We will approve your utility fac-
than 10 percent of the mean reference tor curve if you can show that you cre-
speed, you need to meet only the stand- ated it from sufficient in-use data of
ard error of estimate in Table 2 of 40 vehicles in the same application as the
CFR 1065.514. For purposes of cycle val- vehicles in which the PHEV engine will
idation, treat points as being at idle if be installed.
reference speed is at or below declared (4) Calculate the fuel mass flow rate,
idle speed. For plug-in hybrid engines, mfuel, for each duty cycle using one of
precondition the battery and then com- the following equations:
plete all back-to-back tests for each (i) Determine fuel-consumption rates
test configuration according to 40 CFR using emission measurements from the
1066.501 before moving to the next test raw or diluted exhaust, calculate the
configuration. You may send signals to mass of fuel for each duty cycle,
the engine controller during the test, mfuel[cycle], as follows:
such as current transmission gear and (A) For calculations that use contin-
vehicle speed, if that allows engine op- uous measurement of emissions and
eration during the test to better rep- continuous CO2 from urea, calculate
resent in-use operation. mfuel[cycle] using the following equation:
Where: use the default properties in Table 1 of 40

MC = molar mass of carbon. CFR 1065.655 to determine α, β, and wC for
wCmeas = carbon mass fraction of fuel (or mix- liquid fuels.
ture of test fuels) as determined in 40 i = an indexing variable that represents one

CFR 1065.655(d), except that you may not recorded emission value.
134
ER25OC16.073</GPH>
N = total number of measurements over the control, or if you choose not to perform
duty cycle. this correction, set ṁCO2DEF equal to 0.
ṅexh = exhaust molar flow rate from which Example:
you measured emissions. MC = 12.0107 g/mol
xCcombdry = amount of carbon from fuel and wCmeas = 0.867
any injected fluids in the exhaust per
N = 6680
mole of dry exhaust as determined in 40
ṅexh1= 2.876 mol/s
CFR 1065.655(c).
xH2Oexhdry = amount of H2O in exhaust per ṅexh2= 2.224 mol/s
mole of exhaust as determined in 40 CFR xCcombdry1= 2.61·10¥3 mol/mol
1065.655(c). xCcombdry2= 1.91·10¥3 mol/mol
Dt = 1/frecord. xH2Oexhdry1= 3.53·10¥2 mol/mol
MCO2 = molar mass of carbon dioxide. xH2Oexhdry2= 3.13·10¥2 mol/mol
ṁCO2DEF = mass emission rate of CO2 resulting frecord = 10 Hz
from diesel exhaust fluid decomposition Dt = 1/10 = 0.1 s
over the duty cycle as determined from MCO2 = 44.0095 g/mol
§ 1036.535(b)(10). If your engine does not ṁCO2DEF1 = 0.0726 g/s
utilize diesel exhaust fluid for emission ṁCO2DEF2 = 0.0751 g/s
Mfueltransient = 1619.6 g culate mfuel[cycle] using the following

(B) If you measure batch emissions equation:
and continuous CO2 from urea, cal-
(C) If you measure continuous emis- culate mfuel[cycle] using the following
sions and batch CO2 from urea, cal- equation:
ER25OC16.075</GPH>
135
ER25OC16.074</GPH>
§ 1036.540 40 CFR Ch. I (7–1–21 Edition)
(D) If you measure batch emissions

and batch CO2 from urea, calculate
mfuel[cycle] using the following equation:
(ii) Manufacturers may choose to the mass of fuel for each duty cycle,
measure fuel mass flow rate. Calculate mfuel[cycle], as follows:
Where: mfueltransient = 111.95 g

i = an indexing variable that represents one (5) Correct the measured or cal-
recorded value.
N = total number of measurements over the
culated fuel mass flow rate, mfuel, for
duty cycle. For batch fuel mass measure- each test result to a mass-specific net
ments, set N = 1. energy content of a reference fuel as
ṁfueli = the fuel mass flow rate, for each point, described in § 1036.535(b)(11), replacing
Ô
i, starting from i = 1. with mfuel with mfuel in Eq. 1036.535–3.
Δt = 1/frecord (6) For engines designed for plug-in
frecord = the data recording frequency. hybrid electric vehicles, the mass of
Example: fuel for each cycle, mfuel[cycle], is the util-
N = 6680 ity factor-weighted fuel mass. This is
ṁfuel1 = 1.856 g/s done by calculating mfuel for the full
ṁfuel2 = 1.962 g/s charge-depleting and charge-sustaining
ER25OC16.077</GPH> ER25OC16.078</GPH>
frecord = 10 Hz
portions of the test and weighting the
Δt = 1/10 = 0.1 s
mfueltransient = (1.856 + 1.962 + . . . + ṁfuel6680)·0.1
results, using the following equation:
136
ER25OC16.076</GPH>
Where: UFDCD = utility factor fraction at distance

mfuel[cycle],CD = total mass of fuel for all the DCD as determined by interpolating the
tests in the charge-depleting portion of approved utility factor curve.
mfuel[cycle],CS = total mass of fuel for all the
the test.
tests in the charge-sustaining portion of
the test.
Where: inputs for the transient duty cycle and

v = vehicle velocity at each time step. For optionally for each of the highway
tests completed under this section, v is cruise cycles corresponding to each
the vehicle velocity in the GEM duty- simulated vehicle configuration as fol-
cycle file. For tests under 40 CFR lows:
1037.550, v is the vehicle velocity as deter- (1) Your declared fuel mass consump-
mined by Eq. 1037.550–1. Note that this tion, mfueltransient. The declared values
should include complete and incomplete
may be at or above the values cal-
charge-depleting tests.
culated in paragraph (d) of this section,
(e) Determine GEM inputs. Use the re- as described in § 1036.535(e).
sults of engine testing in paragraph (d) (2) Engine output speed per unit vehi-
of this section to determine the GEM cle speed,
by taking the average engine speed (3) Positive work determined

measured during the engine test while accordering to 40 CFR 1065, Wtransient.
the vehicle is moving and dividing it by (4) The following table illustrates the
the average vehicle speed provided by GEM data inputs corresponding to the
GEM. Note that the engine cycle cre- different vehicle configurations:
ated by GEM has a flag to indicate
ER25OC16.080</GPH> ER25OC16.081</GPH>
when the vehicle is moving.

137
ER25OC16.079</GPH>
§ 1036.543 40 CFR Ch. I (7–1–21 Edition)
EFFECTIVE DATE NOTE: At 86 FR 34394, June native fuel conversions as specified in

29, 2021, § 1036.540 was revised, effective July 40 CFR part 85, subpart F.
29, 2021.
(3) The warranty-related prohibitions
§ 1036.543 Carbon balance error in section 203(a)(4) of the Act (42 U.S.C.
verification. 7522(a)(4)) apply to manufacturers of
new heavy-duty highway engines in ad-
A carbon balance error verification dition to the prohibitions described in
compares independent assessments of 40 CFR 1068.101(b)(6). We may assess a
the flow of carbon through the system civil penalty up to $44,539 for each en-
(engine plus aftertreatment). We will, gine or vehicle in violation.
and you may optionally, verify carbon
(b) Engines exempted from the appli-
balance error according to 40 CFR
cable standards of 40 CFR part 86 under
1065.543. This section applies to all test
intervals in §§ 1036.535(b), (c), and (d) the provisions of 40 CFR part 1068 are
and 1036.540 and 40 CFR 1037.550. exempt from the standards of this part
without request.
[86 FR 34403, June 29, 2021] (c) The emergency vehicle field modi-
EFFECTIVE DATE NOTE: At 86 FR 34403, June fication provisions of 40 CFR 85.1716
29, 2021, § 1036.543 was added, effective July 29, apply with respect to the standards of
2021. this part.
(d) Subpart C of this part describes
Subpart G—Special Compliance how to test and certify dual-fuel and
Provisions flexible-fuel engines. Some multi-fuel
engines may not fit either of those de-
§ 1036.601 What compliance provisions fined terms. For such engines, we will
apply? determine whether it is most appro-
(a) Engine and vehicle manufactur- priate to treat them as single-fuel en-
ers, as well as owners, operators, and gines, dual-fuel engines, or flexible-fuel
rebuilders of engines subject to the re- engines based on the range of possible
quirements of this part, and all other and expected fuel mixtures. For exam-
persons, must observe the provisions of ple, an engine might burn natural gas
this part, the provisions of 40 CFR part but initiate combustion with a pilot in-
1068, and the provisions of the Clean jection of diesel fuel. If the engine is
Air Act. The provisions of 40 CFR part designed to operate with a single fuel-
1068 apply for heavy-duty highway ening algorithm (i.e., fueling rates are
gines as specified in that part, subject fixed at a given engine speed and load
to the following provisions: condition), we would generally treat it
(1) The exemption provisions of 40 as a single-fuel engine. In this context,
CFR 1068.201 through 1068.230, 1068.240, the combination of diesel fuel and nat-
and 1068.260 through 265 apply for ural gas would be its own fuel type. If
heavy-duty motor vehicle engines. The the engine is designed to also operate
other exemption provisions, which are on diesel fuel alone, we would generally
specific to nonroad engines, do not treat it as a dual-fuel engine. If the en-
apply for heavy-duty vehicles or heavy- gine is designed to operate on varying
duty engines. mixtures of the two fuels, we would
(2) The tampering prohibition in 40 generally treat it as a flexible-fuel en-

CFR 1068.101(b)(1) applies for alter- gine. To the extent that requirements
138
ER25OC16.082</GPH>
vary for the different fuels or fuel mix- to emissions measured over the test
tures, we may apply the more stringent procedures specified in this part. For
requirements. example, the benefits from tech-
nologies that reduce engine operation
§ 1036.605 GHG exemption for engines would generally be proportional to the
used in specialty vehicles. engine’s emission rate.
Engines certified to the alternative (2) Calculate separate credits based
standards specified in 40 CFR 86.007–11 on the difference between the in-use
and 86.008–10 for use in specialty vehi- emission rate (g/ton-mile) with the
cles as described in 40 CFR 1037.605 are technology and the in-use emission
exempt from the standards of this part. rate without the technology. Subtract
See 40 CFR part 1037 for provisions that this value from your measured emis-
apply to the vehicle. sion result and use this adjusted value
to determine your FEL. We may also
§ 1036.610 Off-cycle technology credits allow you to calculate the credits
and adjustments for reducing based on g/hp-hr emission rates. Use
greenhouse gas emissions. the separate-credit approach where
(a) You may ask us to apply the pro- good engineering judgment indicates
visions of this section for CO2 emission that the actual benefit will not be pro-
reductions resulting from powertrain portional to emissions measured over
technologies that were not in common the test procedures specified in this
use with heavy-duty vehicles before part.
model year 2010 that are not reflected (3) We may require you to discount or
in the specified test procedure. While otherwise adjust your improvement
you are not required to prove that such factor or credit to account for uncer-
technologies were not in common use tainty or other relevant factors.
with heavy-duty vehicles before model (c) Send your request to the Des-
year 2010, we will not approve your re- ignated Compliance Officer. We rec-
quest if we determine that they do not ommend that you do not begin col-
qualify. We will apply these provisions lecting test data (for submission to
only for technologies that will result in EPA) before contacting us. For tech-
a measurable, demonstrable, and nologies for which the vehicle manu-
verifiable real-world CO2 reduction. facturer could also claim credits (such
Note that prior to model year 2016, as transmissions in certain cir-
these technologies were referred to as cumstances), we may require you to in-
‘‘innovative technologies’’. clude a letter from the vehicle manu-
(b) The provisions of this section may facturer stating that it will not seek
be applied as either an improvement credits for the same technology. Your
factor (used to adjust emission results) request must contain the following
or as a separate credit, consistent with items:
good engineering judgment. Note that (1) A detailed description of the off-
the term ‘‘credit’’ in this section de- cycle technology and how it functions
scribes an additive adjustment to emis- to reduce CO2 emissions under condi-
sion rates and is not equivalent to an tions not represented on the duty cy-
emission credit in the ABT program of cles required for certification.
subpart H of this part. We recommend (2) A list of the engine configurations
that you base your credit/adjustment that will be equipped with the tech-
on A to B testing of pairs of engines/ve- nology.
hicles differing only with respect to the (3) A detailed description and jus-
technology in question. tification of the selected test engines.
(1) Calculate improvement factors as (4) All testing and simulation data
the ratio of in-use emissions with the required under this section, plus any
technology divided by the in-use emis- other data you have considered in your
sions without the technology. Adjust analysis. You may ask for our prelimi-
the emission results by multiplying by nary approval of your test plan under
the improvement factor. Use the im- § 1036.210.
provement-factor approach where good (5) A complete description of the
engineering judgment indicates that methodology used to estimate the off-

the actual benefit will be proportional cycle benefit of the technology and all
139
§ 1036.615 40 CFR Ch. I (7–1–21 Edition)
supporting data, including engine test- ery systems. This section applies only
ing and in-use activity data. Also infor model year 2020 and earlier engines.
clude a statement regarding your rec- (a) Pre-transmission hybrid
ommendation for applying the provi- powertrains. Test pre-transmission hy-
sions of this section for the given tech- brid powertrains with the hybrid en-
nology as an improvement factor or a gine test procedures of 40 CFR part 1065
credit. or with the post-transmission test pro-
(6) An estimate of the off-cycle ben- cedures in 40 CFR 1037.550. Pre-trans-
efit by engine model, and the fleetwide mission hybrid powertrains are those
benefit based on projected sales of en- engine systems that include features to
gine models equipped with the tech- recover and store energy during engine
nology. motoring operation but not from the
(7) A demonstration of the in-use du- vehicle’s wheels. Engines certified with
rability of the off-cycle technology, pre-transmission hybrid powertrains
based on any available engineering must be certified to meet the diag-
analysis or durability testing data (ei- nostic requirements of 40 CFR 86.018–10
ther by testing components or whole with respect to powertrain components
engines). and systems; if different manufacturers
(d) We may seek public comment on produce the engine and the hybrid
your request, consistent with the pro- powertrain, the hybrid powertrain
visions of 40 CFR 86.1869–12(d). How- manufacturer may separately certify
ever, we will generally not seek public its powertrain relative to diagnostic
requirements.
comment on credits/adjustments based
on A to B engine dynamometer testing, (b) Rankine engines. Test engines that
include Rankine-cycle exhaust energy
chassis testing, or in-use testing.
recovery systems according to the test
(e) We may approve an improvement
procedures specified in subpart F of
factor or credit for any configuration
this part unless we approve alternate
that is properly represented by your procedures.
testing.
(c) Calculating credits. Calculate cred-
(1) For model years before 2021, you its as specified in subpart H of this
may continue to use an approved im- part. Credits generated from engines
provement factor or credit for any ap- and powertrains certified under this
propriate engine families in future section may be used in other averaging
model years through 2020. sets as described in § 1036.740(c).
(2) For model years 2021 and later, (d) Off-cycle technologies. You may
you may not rely on an approval for certify using both the provisions of
model years before 2021. You must sep- this section and the off-cycle tech-
arately request our approval before ap- nology provisions of § 1036.610, provided
plying an improvement factor or credit you do not double-count emission bene-
under this section for 2021 and later en- fits.
gines, even if we approved an improve-
ment factor or credit for similar engine § 1036.620 Alternate CO2 standards
models before model year 2021. Note based on model year 2011 compres-
that approvals for model year 2021 and sion-ignition engines.
later may carry over for multiple For model years 2014 through 2016,
years. you may certify your compression-igni-
tion engines to the CO2 standards of
§ 1036.615 Engines with Rankine cycle this section instead of the CO2 stand-
waste heat recovery and hybrid ards in § 1036.108. However, you may not
powertrains. certify engines to these alternate
This section specifies how to gen- standards if they are part of an aver-
erate advanced-technology emission aging set in which you carry a balance
credits for hybrid powertrains that in- of banked credits. You may submit ap-
clude energy storage systems and re- plications for certifications before
generative braking (including regen- using up banked credits in the aver-
erative engine braking) and for engines aging set, but such certificates will not
that include Rankine-cycle (or other become effective until you have used
bottoming cycle) exhaust energy recov- up (or retired) your banked credits in
140
the averaging set. For purposes of this (ii) For model year 2014–2016 engines
section, you are deemed to carry cred- certified to NOX FELs above 0.20 g/hp-
its in an averaging set if you carry hr, correct the baseline CO2 emissions
credits from advanced technology that to the actual NOX FELs of the 2014–2016
are allowed to be used in that aver- engines.
aging set. (iii) Calculate separate adjustments
(a) The standards of this section are for emissions over the ramped-modal
determined from the measured emis- cycle and the transient cycle.
sion rate of the test engine of the ap- (2) The baseline configuration tested
plicable baseline 2011 engine family or for certification must have the same
families as described in paragraphs (b) engine displacement as the engines in
and (c) of this section. Calculate the the engine family being certified to the
CO2 emission rate of the baseline test alternate standards, and its rated
engine using the same equations used power must be within five percent of
for showing compliance with the other- the highest rated power in the engine
wise applicable standard. The alternate family being certified to the alternate
CO2 standard for light and medium standards.
heavy-duty vocational-certified en- (3) The model year 2011 U.S.-directed
gines (certified for CO2 using the tran- production volume of the configuration
sient cycle) is equal to the baseline tested must be at least one percent of
emission rate multiplied by 0.975. The the total 2011 U.S.-directed production
alternate CO2 standard for tractor-cer- volume for the engine family.
tified engines (certified for CO2 using (4) The tested configuration must
the ramped-modal cycle) and all other have cycle-weighted BSFC equivalent
heavy heavy-duty engines is equal to to or better than all other configura-
the baseline emission rate multiplied tions in the engine family.
by 0.970. The in-use FEL for these en- (c) This paragraph (c) applies if you
gines is equal to the alternate standard certify all your engine families in the
multiplied by 1.03. primary intended service class to the
alternate standards of this section. For
(b) This paragraph (b) applies if you
purposes of this section, you may com-
do not certify all your engine families
bine light heavy-duty and medium
in the averaging set to the alternate
heavy-duty engines into a single aver-
standards of this section. Identify sepa- aging set. Determine your baseline CO2
rate baseline engine families for each emission rate as the production-
engine family that you are certifying weighted emission rate of the certified
to the alternate standards of this sec- engine families you produced in the
tion. For an engine family to be consid- 2011 model year. If you produce engines
ered the baseline engine family, it for both tractors and vocational vehi-
must meet the following criteria: cles, treat them as separate averaging
(1) It must have been certified to all sets. Adjust the CO2 emission rates to
applicable emission standards in model be equivalent to an engine meeting the
year 2011. If the baseline engine was average NOX FEL of new engines (as-
certified to a NOX FEL above the suming engines certified to the 0.20 g/
standard and incorporated the same hp-hr NOX standard have a NOX FEL
emission control technologies as the equal to 0.20 g/hp-hr), as described in
new engine family, you may adjust the paragraph (b)(1) of this section.
baseline CO2 emission rate to be equiv- (d) Include the following statement
alent to an engine meeting the 0.20 g/ on the emission control information
hp-hr NOX standard (or your higher label: ‘‘THIS ENGINE WAS CER-
FEL as specified in this paragraph TIFIED TO AN ALTERNATE CO2
(b)(1)), using certification results from STANDARD UNDER § 1036.620.’’
model years 2009 through 2011, con- (e) You may not bank CO2 emission
sistent with good engineering judg- credits for any engine family in the
ment. same averaging set and model year in
(i) Use the following equation to re- which you certify engines to the stand-
late model year 2009–2011 NOX and CO2 ards of this section. You may not bank
emission rates (g/hp-hr): CO2 = a × any advanced-technology credits in

log(NOX)+b. any averaging set for the model year
141
§ 1036.625 40 CFR Ch. I (7–1–21 Edition)
you certify under this section (since sion credits as part of your credit dem-
such credits would be available for use onstration for the current production
in this averaging set). Note that the year. Include the appropriate calcula-
provisions of § 1036.745 apply for deficits tions in your final report under
generated with respect to the stand- § 1036.730.
ards of this section. (c) Submit your request to the Des-
(f) You need our approval before you ignated Compliance Officer. Include
may certify engines under this section, the following in your request:
especially with respect to the numer- (1) Identify the names of each engine
ical value of the alternate standards. family that is the subject of your re-
We will not approve your request if we quest. Include separate family names
determine that you manipulated your for different model years.
engine families or test engine configu- (2) Describe why your request does
rations to certify to less stringent not apply for similar engine models or
standards, or that you otherwise have additional model years, as applicable.
not acted in good faith. You must keep (3) Identify the FEL(s) that applied
and provide to us any information we during the model year and recommend
need to determine that your engine a replacement FEL for in-use engines;
families meet the requirements of this include a supporting rationale to de-
section. Keep these records for at least scribe how you determined the rec-
five years after you stop producing en- ommended replacement FEL.
gines certified under this section. (4) Describe whether the needed emis-
EFFECTIVE DATE NOTE: At 86 FR 34403, June sion credits will come from averaging,
29, 2021, § 1036.620 was amended, effective July banking, or trading.
29, 2021. (d) If we approve your request, we
will identify the replacement FEL. The
§ 1036.625 In-use compliance with fam- value we select will reflect our best
ily emission limits (FELs). judgment to accurately reflect the ac-
Section 1036.225 describes how to tual in-use performance of your en-
change the FEL for an engine family gines, consistent with the testing pro-
during the model year. This section, visions specified in this part. We may
which describes how you may ask us to apply the higher FELs to other engine
increase an engine family’s FEL after families from the same or different
the end of the model year, is intended model years to the extent they used
to address circumstances in which it is equivalent emission controls. We may
in the public interest to apply a higher include any appropriate conditions
in-use FEL based on forfeiting an ap- with our approval.
propriate number of emission credits. (e) If we order a recall for an engine
For example, this may be appropriate family under 40 CFR 1068.505, we will no
where we determine that recalling ve- longer approve a replacement FEL
hicles would not significantly reduce under this section for any of your en-
in-use emissions. We will generally not gines from that engine family, or from
allow this option where we determine any other engine family that relies on
the credits being forfeited would likely equivalent emission controls.
have expired.
(a) You may ask us to increase an en- § 1036.630 Certification of engine GHG
gine family’s FEL after the end of the emissions for powertrain testing.
model year if you believe some of your For engines included in powertrain
in-use engines exceed the CO2 FEL that families under 40 CFR part 1037, you
applied during the model year (or the may choose to include the cor-
CO2 emission standard if the family did responding engine emissions in your
not generate or use emission credits). engine families under this part 1036 in-
We may consider any available infor- stead of (or in addition to) the other-
mation in making our decision to ap- wise applicable engine fuel maps.
prove or deny your request. (a) If you choose to certify
(b) If we approve your request under powertrain fuel maps in an engine fam-
this section, you must apply emission ily, the declared powertrain emission
credits to cover the increased FEL for levels become standards that apply for
all affected engines. Apply the emis- selective enforcement audits and in-use
142
testing. We may require that you pro- (5) Reserved emission credits means
vide to us the engine test cycle (not emission credits you have generated
normalized) corresponding to a given that we have not yet verified by re-
powertrain for each of the specified viewing your final report.
duty cycles. (6) Seller means the entity that pro-
(b) If you choose to certify only fuel vides emission credits during a trade.
map emissions for an engine family and (7) Standard means the emission
to not certify emissions over standard that applies under subpart B
powertrain test cycles under 40 CFR of this part for engines not partici-
1037.550, we will not presume you are pating in the ABT program of this sub-
responsible for emissions over the part.
powertrain cycles. However, where we (8) Trade means to exchange emission
determine that you are responsible in credits, either as a buyer or seller.
whole or in part for the emission ex- (c) Emission credits may be ex-
ceedance in such cases, we may require changed only within an averaging set,
that you participate in any recall of except as specified in § 1036.740.
the affected vehicles. Note that this (d) You may not use emission credits
provision to limit your responsibility generated under this subpart to offset
does not apply if you also hold the cer- any emissions that exceed an FCL or
tificate of conformity for the vehicle. standard. This applies for all testing,
(c) If you split an engine family into including certification testing, in-use
subfamilies based on different fuel- testing, selective enforcement audits,
mapping procedures as described in and other production-line testing. How-
§ 1036.230(e), the fuel-mapping proce- ever, if emissions from an engine ex-
dures you identify for certifying each ceed an FCL or standard (for example,
subfamily also apply for selective en- during a selective enforcement audit),
forcement audits and in-use testing. you may use emission credits to recer-
tify the engine family with a higher
Subpart H—Averaging, Banking, FCL that applies only to future produc-
and Trading for Certification tion.
(e) You may use either of the fol-
§ 1036.701 General provisions. lowing approaches to retire or forego
(a) You may average, bank, and trade emission credits:
(ABT) emission credits for purposes of (1) You may retire emission credits
certification as described in this sub- generated from any number of your en-
part and in subpart B of this part to gines. This may be considered donating
show compliance with the standards of emission credits to the environment.
§ 1036.108. Participation in this program Identify any such credits in the reports
is voluntary. (Note: As described in described in § 1036.730. Engines must
subpart B of this part, you must assign comply with the applicable FELs even
an FCL to all engine families, whether if you donate or sell the corresponding
or not they participate in the ABT pro- emission credits under this paragraph
visions of this subpart.) (h). Those credits may no longer be
(b) The definitions of subpart I of this used by anyone to demonstrate compli-
part apply to this subpart in addition ance with any EPA emission standards.
to the following definitions: (2) You may certify an engine family
(1) Actual emission credits means emis- using an FEL (FCL for CO2) below the
sion credits you have generated that emission standard as described in this
we have verified by reviewing your part and choose not to generate emis-
final report. sion credits for that family. If you do
(2) Averaging set means a set of en- this, you do not need to calculate emis-
gines in which emission credits may be sion credits for those engine families
exchanged. See § 1036.740. and you do not need to submit or keep
(3) Broker means any entity that fa- the associated records described in this
cilitates a trade of emission credits be- subpart for that family.
tween a buyer and seller. (f) Emission credits may be used in
(4) Buyer means the entity that re- the model year they are generated.
ceives emission credits as a result of a Surplus emission credits may be

trade. banked for future model years. Surplus
143
§ 1036.705 40 CFR Ch. I (7–1–21 Edition)
emission credits may sometimes be gine standards, calculate credits sepa-

used for past model years, as described rately for the vocational engines and
in § 1036.745. the tractor engines (as specified in
(g) You may increase or decrease an paragraph (b)(3) of this section). Cal-
FCL during the model year by amend- culate positive emission credits for a
ing your application for certification family that has an FCL below the
under § 1036.225. The new FCL may standard. Calculate negative emission
apply only to engines you have not al- credits for a family that has an FCL
ready introduced into commerce. above the standard. Sum your positive
(h) See § 1036.740 for special credit and negative credits for the model year
provisions that apply for greenhouse before rounding. Round the sum of
gas credits generated under 40 CFR emission credits to the nearest
86.1819–14(k)(7) or § 1036.615 or 40 CFR megagram (Mg), using consistent units
1037.615. throughout the following equations:
(i) Unless the regulations explicitly (1) For vocational engines:
allow it, you may not calculate credits Emission credits (Mg) = (Std¥FCL) ·
more than once for any emission reduc- (CF) · (Volume) · (UL) · (10¥6)
tion. For example, if you generate CO2
emission credits for a hybrid engine Where:
under this part for a given vehicle, no Std = the emission standard, in g/hp-hr, that
one may generate CO2 emission credits applies under subpart B of this part for
for that same hybrid engine and vehi- engines not participating in the ABT
program of this subpart (the ‘‘otherwise
cle under 40 CFR part 1037. However,
applicable standard’’).
credits could be generated for identical FCL = the Family Certification Level for the
vehicles using engines that did not gen- engine family, in g/hp-hr, measured over
erate credits under this part. the transient duty cycle, rounded to the
(j) Credits you generate with com- same number of decimal places as the
pression-ignition engines in 2020 and emission standard.
earlier model years may be used in CF = a transient cycle conversion factor (hp-
model year 2021 and later only if the hr/mile), calculated by dividing the total
credit-generating engines were cer- (integrated) horsepower-hour over the
duty cycle (average of vocational engine
tified to the tractor engine standards configurations weighted by their produc-
in § 1036.108 and credits were calculated tion volumes) by 6.3 miles for engines
relative to the tractor engine stand- subject to spark-ignition standards and
ards. You may otherwise use emission 6.5 miles for engines subject to compres-
credits generated in one model year sion-ignition. This represents the aver-
without adjustment for certifying vehi- age work performed by vocational en-
cles in a later model year, even if emis- gines in the family over the mileage rep-
sion standards are different. resented by operation over the duty
cycle.
(k) Engine families you certify with a Volume = the number of vocational engines
nonconformance penalty under 40 CFR eligible to participate in the averaging,
part 86, subpart L, may not generate banking, and trading program within the
emission credits. given engine family during the model
year, as described in paragraph (c) of this
section.
UL = the useful life for the given engine fam-
29, 2021.
ily, in miles.
§ 1036.705 Generating and calculating (2) For tractor engines:
emission credits.
Emission credits (Mg) = (Std¥FCL) ·
(a) The provisions of this section (CF) · (Volume) · (UL) · (10¥6)
apply separately for calculating emis-
sion credits for each pollutant. Where:
(b) For each participating family, Std = the emission standard, in g/hp-hr, that
calculate positive or negative emission applies under subpart B of this part for
engines not participating in the ABT
credits relative to the otherwise appli-
program of this subpart (the ‘‘otherwise
cable emission standard based on the applicable standard’’).
engine family’s FCL for greenhouse
FCL = the Family Certification Level for the

gases. If your engine family is certified engine family, in g/hp-hr, measured over
to both the vocational and tractor en- the ramped-modal cycle rounded to the
144
same number of decimal places as the family as described in paragraph (d) of
emission standard. this section.
CF = a transient cycle conversion factor (hp- (c) As described in § 1036.730, compli-
hr/mile), calculated by dividing the total
(integrated) horsepower-hour over the ance with the requirements of this sub-
duty cycle (average of tractor-engine part is determined at the end of the
configurations weighted by their produc- model year based on actual U.S.-di-
tion volumes) by 6.3 miles for engines rected production volumes. Keep appro-
subject to spark-ignition standards and priate records to document these pro-
6.5 miles for engines subject to compres-
duction volumes. Do not include any of
sion-ignition standards. This represents
the average work performed by tractor the following engines to calculate
engines in the family over the mileage emission credits:
represented by operation over the duty (1) Engines that you do not certify to
cycle. Note that this calculation requires the CO2 standards of this part because
you to use the transient cycle conversion they are permanently exempted under
factor even for engines certified to stand-
ards based on the ramped-modal cycle. subpart G of this part or under 40 CFR
Volume = the number of tractor engines eli- part 1068.
gible to participate in the averaging, (2) Exported engines.
banking, and trading program within the (3) Engines not subject to the re-
given engine family during the model quirements of this part, such as those
year, as described in paragraph (c) of this
excluded under § 1036.5. For example, do
section.
UL = the useful life for the given engine fam-
not include engines used in vehicles
ily, in miles. certified to the greenhouse gas stand-
ards of 40 CFR 86.1819.
(3) For engine families certified to (4) Any other engines if we indicate
both the vocational and tractor engine elsewhere in this part 1036 that they
standards, we may allow you to use
are not to be included in the calcula-
statistical methods to estimate the
tions of this subpart.
total production volumes where a
small fraction of the engines cannot be (d) You may use CO2 emission credits
tracked precisely. to show compliance with CH4 and/or
(4) You may not generate emission N2O FELs instead of the otherwise ap-
credits for tractor engines (i.e., engines plicable emission standards. To do this,
not certified to the transient cycle for calculate the CH4 and/or N2O emission
CO2) installed in vocational vehicles credits needed (negative credits) using
(including vocational tractors certified the equation in paragraph (b) of this
under 40 CFR 1037.630 or exempted section, using the FEL(s) you specify
under 40 CFR 1037.631). We will waive for your engines during certification
this provision where you demonstrate instead of the FCL. You must use 34
that less than five percent of the en- Mg of positive CO2 credits to offset 1
gines in your tractor family were in- Mg of negative CH4 credits for model
stalled in vocational vehicles. For ex- year 2021 and later engines, and you
ample, if you know that 96 percent of must use 25 Mg of positive CO2 credits
your tractor engines were installed in to offset 1 Mg of negative CH4 credits
non-vocational tractors, but cannot de- for earlier engines. You must use 298
termine the vehicle type for the re- Mg of positive CO2 credits to offset 1
maining four percent, you may gen- Mg of negative N2O credits.
erate credits for all the engines in the
family. EFFECTIVE DATE NOTE: At 86 FR 34403, June
(5) You may generate CO2 emission 29, 2021, § 1036.705 was amended, effective July
credits from a model year 2021 or later 29, 2021.
medium heavy-duty engine family sub-
§ 1036.710 Averaging.
ject to spark-ignition standards for ex-
changing with other engine families (a) Averaging is the exchange of
only if the engines in the family are emission credits among your engine
gasoline-fueled. You may generate CO2 families. You may average emission
credits from these engine families only credits only within the same averaging
for the purpose of offsetting CH4 and/or set, except as specified in § 1036.740.
N2O emissions within the same engine
145
§ 1036.715 40 CFR Ch. I (7–1–21 Edition)
(b) You may certify one or more en- (b) You may trade actual emission
gine families to an FCL above the ap- credits as described in this subpart.
plicable standard, subject to any appli- You may also trade reserved emission
cable FEL caps and other the provi- credits, but we may revoke these emis-
sions in subpart B of this part, if you sion credits based on our review of
show in your application for certifi- your records or reports or those of the
cation that your projected balance of company with which you traded emis-
all emission-credit transactions in that sion credits. You may trade banked
model year is greater than or equal to credits within an averaging set to any
zero, or that a negative balance is al- certifying manufacturer.
lowed under § 1036.745. (c) If a negative emission credit bal-
(c) If you certify an engine family to ance results from a transaction, both
an FCL that exceeds the otherwise ap- the buyer and seller are liable, except
plicable standard, you must obtain in cases we deem to involve fraud. See
enough emission credits to offset the § 1036.255(e) for cases involving fraud.
engine family’s deficit by the due date We may void the certificates of all en-
for the final report required in gine families participating in a trade
§ 1036.730. The emission credits used to that results in a manufacturer having
address the deficit may come from a negative balance of emission credits.
your other engine families that gen- See § 1036.745.
erate emission credits in the same
model year (or from later model years § 1036.725 What must I include in my
as specified in § 1036.745), from emission application for certification?
credits you have banked, or from emis-
(a) You must declare in your applica-
sion credits you obtain through trad-
tion for certification your intent to use
ing.
the provisions of this subpart for each
§ 1036.715 Banking. engine family that will be certified
using the ABT program. You must also
(a) Banking is the retention of sur-
declare the FELs/FCL you select for
plus emission credits by the manufac-
the engine family for each pollutant
turer generating the emission credits
for which you are using the ABT pro-
for use in future model years for aver-
aging or trading. gram. Your FELs must comply with
(b) You may designate any emission the specifications of subpart B of this
credits you plan to bank in the reports part, including the FEL caps. FELs/
you submit under § 1036.730 as reserved FCLs must be expressed to the same
credits. During the model year and be- number of decimal places as the appli-
fore the due date for the final report, cable standards.
you may designate your reserved emis- (b) Include the following in your ap-
sion credits for averaging or trading. plication for certification:
(c) Reserved credits become actual (1) A statement that, to the best of
emission credits when you submit your your belief, you will not have a nega-
final report. However, we may revoke tive balance of emission credits for any
these emission credits if we are unable averaging set when all emission credits
to verify them after reviewing your re- are calculated at the end of the year;
ports or auditing your records. or a statement that you will have a
(d) Banked credits retain the designa- negative balance of emission credits
tion of the averaging set in which they for one or more averaging sets, but
were generated. that it is allowed under § 1036.745.
(2) Detailed calculations of projected
§ 1036.720 Trading. emission credits (positive or negative)
(a) Trading is the exchange of emis- based on projected U.S.-directed pro-
sion credits between manufacturers. duction volumes. We may require you
You may use traded emission credits to include similar calculations from
for averaging, banking, or further trad- your other engine families to project
ing transactions. Traded emission cred- your net credit balances for the model
its remain subject to the averaging-set year. If you project negative emission
restrictions based on the averaging set credits for a family, state the source of
in which they were generated. positive emission credits you expect to
146
use to offset the negative emission (2) State whether you will reserve
credits. any emission credits for banking.
(3) State that the report’s contents
§ 1036.730 ABT reports. are accurate.
(a) If any of your engine families are (d) If you trade emission credits, you
certified using the ABT provisions of must send us a report within 90 days
this subpart, you must send an end-of- after the transaction, as follows:
year report by March 31 following the (1) As the seller, you must include
end of the model year and a final re- the following information in your re-
port by September 30 following the end port:
of the model year. We may waive the (i) The corporate names of the buyer
requirement to send an end-of-year re- and any brokers.
port. (ii) A copy of any contracts related
(b) Your end-of-year and final reports to the trade.
must include the following information (iii) The averaging set corresponding
for each engine family participating in to the engine families that generated
the ABT program: emission credits for the trade, includ-
(1) Engine-family designation and ing the number of emission credits
averaging set. from each averaging set.
(2) The emission standards that (2) As the buyer, you must include
would otherwise apply to the engine the following information in your re-
family. port:
(3) The FCL for each pollutant. If you (i) The corporate names of the seller
change the FCL after the start of pro- and any brokers.
duction, identify the date that you (ii) A copy of any contracts related
started using the new FCL and/or give to the trade.
the engine identification number for (iii) How you intend to use the emis-
the first engine covered by the new sion credits, including the number of
FCL. In this case, identify each appli- emission credits you intend to apply
cable FCL and calculate the positive or for each averaging set.
negative emission credits as specified (e) Send your reports electronically
in § 1036.225. to the Designated Compliance Officer
(4) The projected and actual U.S.-di- using an approved information format.
rected production volumes for the If you want to use a different format,
model year. If you changed an FCL send us a written request with jus-
during the model year, identify the ac- tification for a waiver.
tual production volume associated with (f) Correct errors in your end-of-year
each FCL. or final report as follows:
(5) The transient cycle conversion (1) You may correct any errors in
factor for each engine configuration as your end-of-year report when you pre-
described in § 1036.705. pare the final report, as long as you
(6) Useful life. send us the final report by the time it
(7) Calculated positive or negative is due.
emission credits for the whole engine (2) If you or we determine within 270
family. Identify any emission credits days after the end of the model year
that you traded, as described in para- that errors mistakenly decreased your
graph (d)(1) of this section. balance of emission credits, you may
(c) Your end-of-year and final reports correct the errors and recalculate the
must include the following additional balance of emission credits. You may
information: not make these corrections for errors
(1) Show that your net balance of that are determined more than 270 days
emission credits from all your partici- after the end of the model year. If you
pating engine families in each aver- report a negative balance of emission
aging set in the applicable model year credits, we may disallow corrections
is not negative, except as allowed under this paragraph (f)(2).
under § 1036.745. Your credit tracking (3) If you or we determine any time
must account for the limitation on that errors mistakenly increased your
credit life under § 1036.740(d). balance of emission credits, you must
147
§ 1036.735 40 CFR Ch. I (7–1–21 Edition)
correct the errors and recalculate the (b) Applying credits to prior year defi-
balance of emission credits. cits. Where your credit balance for the
previous year is negative, you may
§ 1036.735 Recordkeeping. apply credits to that credit deficit only
(a) You must organize and maintain after meeting your credit obligations
your records as described in this sec- for the current year.
tion. We may review your records at (c) Credits from hybrid engines and
any time. other advanced technologies. Credits you
(b) Keep the records required by this generate under § 1036.615 may be used
section for at least eight years after for any of the averaging sets identified
the due date for the end-of-year report. in paragraph (a) of this section; you
You may not use emission credits for may also use those credits to dem-
any engines if you do not keep all the onstrate compliance with the CO2 emis-
records required under this section. sion standards in 40 CFR 86.1819 and 40
You must therefore keep these records CFR part 1037. Similarly, you may use
to continue to bank valid credits. Store Phase 1 advanced-technology credits
these records in any format and on any generated under 40 CFR 86.1819–14(k)(7)
media, as long as you can promptly or 40 CFR 1037.615 to demonstrate com-
send us organized, written records in pliance with the CO2 standards in this
English if we ask for them. You must part. In the case of engines subject to
keep these records readily available. spark-ignition standards and compres-
We may review them at any time. sion-ignition light heavy-duty engines,
(c) Keep a copy of the reports we re- you may not use more than 60,000 Mg of
quire in §§ 1036.725 and 1036.730. credits from other averaging sets in
(d) Keep records of the engine identi- any model year.
fication number (usually the serial (1) The maximum amount of CO2
number) for each engine you produce credits you may bring into the fol-
that generates or uses emission credits lowing service class groups is 60,000 Mg
under the ABT program. You may iden- per model year:
tify these numbers as a range. If you (i) Engines subject to spark-ignition
change the FEL after the start of pro- standards, light heavy-duty compres-
duction, identify the date you started sion-ignition engines, and light heavy-
using each FCL and the range of engine duty vehicles. This group comprises
identification numbers associated with the averaging sets listed in paragraphs
each FCL. You must also identify the (a)(1) and (2) of this section and the
purchaser and destination for each en- averaging set listed in 40 CFR
gine you produce to the extent this in- 1037.740(a)(1).
formation is available. (ii) Medium heavy-duty engines sub-
(e) We may require you to keep addi- ject to compression-ignition standards
tional records or to send us relevant in- and medium heavy-duty vehicles. This
formation not required by this section group comprises the averaging sets
in accordance with the Clean Air Act. listed in paragraph (a)(3) of this section
and 40 CFR 1037.740(a)(2).
§ 1036.740 Restrictions for using emis- (iii) Heavy heavy-duty engines sub-
sion credits.
ject to compression-ignition standards
The following restrictions apply for and heavy heavy-duty vehicles. This
using emission credits: group comprises the averaging sets
(a) Averaging sets. Except as specified listed in paragraph (a)(4) of this section
in paragraph (c) of this section, emis- and 40 CFR 1037.740(a)(3).
sion credits may be exchanged only (2) Paragraph (c)(1) of this section
within the following averaging sets: does not limit the advanced-technology
(1) Engines subject to spark-ignition credits that can be used within a serv-
standards. ice class group if they were generated
(2) Light heavy-duty engines subject in that same service class group.
to compression-ignition standards. (d) Credit life. Credits may be used
(3) Medium heavy-duty engines sub- only for five model years after the year
ject to compression-ignition standards. in which they are generated. For exam-

(4) Heavy heavy-duty engines. ple, credits you generate in model year
148
2018 may be used to demonstrate com- (e) If you do not remedy the deficit
pliance with emission standards only with surplus credits within three model
through model year 2023. years, we may void your certificate for
(e) Other restrictions. Other sections of that engine family. We may void the
this part specify additional restrictions certificate based on your end-of-year
for using emission credits under cer- report. Note that voiding a certificate
tain special provisions. applies ab initio. Where the net deficit
is less than the total amount of nega-
§ 1036.745 End-of-year CO2 credit defi- tive credits originally generated by the
cits. family, we will void the certificate
Except as allowed by this section, we only with respect to the number of en-
may void the certificate of any engine gines needed to reach the amount of
family certified to an FCL above the the net deficit. For example, if the
applicable standard for which you do original engine family generated 500
not have sufficient credits by the dead- Mg of negative credits, and the manu-
line for submitting the final report. facturer’s net deficit after three years
(a) Your certificate for an engine was 250 Mg, we would void the certifi-
family for which you do not have suffi- cate with respect to half of the engines
cient CO2 credits will not be void if you in the family.
remedy the deficit with surplus credits (f) For purposes of calculating the
within three model years. For example, statute of limitations, the following
if you have a credit deficit of 500 Mg for actions are all considered to occur at
an engine family at the end of model the expiration of the deadline for off-
year 2015, you must generate (or other- setting a deficit as specified in para-
wise obtain) a surplus of at least 500 graph (a) of this section:
Mg in that same averaging set by the (1) Failing to meet the requirements
end of model year 2018. of paragraph (a) of this section.
(b) You may not bank or trade away
(2) Failing to satisfy the conditions
CO2 credits in the averaging set in any
upon which a certificate was issued rel-
model year in which you have a deficit.
ative to offsetting a deficit.
(c) You may apply only surplus cred-
its to your deficit. You may not apply (3) Selling, offering for sale, intro-
credits to a deficit from an earlier ducing or delivering into U.S. com-
model year if they were generated in a merce, or importing vehicles that are
model year for which any of your en- found not to be covered by a certificate
gine families for that averaging set had as a result of failing to offset a deficit.
an end-of-year credit deficit.
§ 1036.750 What can happen if I do not
(d) You must notify us in writing how
comply with the provisions of this
you plan to eliminate the credit deficit subpart?
within the specified time frame. If we
determine that your plan is unreason- (a) For each engine family partici-
able or unrealistic, we may deny an ap- pating in the ABT program, the certifi-
plication for certification for a vehicle cate of conformity is conditioned upon
family if its FEL would increase your full compliance with the provisions of
credit deficit. We may determine that this subpart during and after the model
your plan is unreasonable or unreal- year. You are responsible to establish
istic based on a consideration of past to our satisfaction that you fully com-
and projected use of specific tech- ply with applicable requirements. We
nologies, the historical sales mix of may void the certificate of conformity
your vehicle models, your commitment for an engine family if you fail to com-
to limit production of higher-emission ply with any provisions of this subpart.
vehicles, and expected access to traded (b) You may certify your engine fam-
credits. We may also consider your ily to an FCL above an applicable
plan unreasonable if your credit deficit standard based on a projection that
increases from one model year to the you will have enough emission credits
next. We may require that you send us to offset the deficit for the engine fam-
interim reports describing your ily. See § 1036.745 for provisions speci-
progress toward resolving your credit fying what happens if you cannot show
deficit over the course of a model year. in your final report that you have
149
§ 1036.755 40 CFR Ch. I (7–1–21 Edition)
enough actual emission credits to off- exhaust valve (or exhaust port) whose
set a deficit for any pollutant in an en- design function is to decrease emis-
gine family. sions in the engine exhaust before it is
(c) We may void the certificate of exhausted to the environment. Exhaust
conformity for an engine family if you gas recirculation (EGR) and
fail to keep records, send reports, or turbochargers are not aftertreatment.
give us information we request. Note Aircraft means any vehicle capable of
that failing to keep records, send re- sustained air travel more than 100 feet
ports, or give us information we re- above the ground.
quest is also a violation of 42 U.S.C. Alcohol-fueled engine mean an engine
7522(a)(2). that is designed to run using an alcohol
(d) You may ask for a hearing if we fuel. For purposes of this definition, al-
void your certificate under this section cohol fuels do not include fuels with a
(see § 1036.820). nominal alcohol content below 25 per-
cent by volume.
§ 1036.755 Information provided to the Auxiliary emission control device means
Department of Transportation.
any element of design that senses tem-
After receipt of each manufacturer’s perature, motive speed, engine rpm,
final report as specified in § 1036.730 and transmission gear, or any other param-
completion of any verification testing eter for the purpose of activating, mod-
required to validate the manufacturer’s ulating, delaying, or deactivating the
submitted final data, we will issue a re- operation of any part of the emission
port to the Department of Transpor- control system.
tation with CO2 emission information Averaging set has the meaning given
and will verify the accuracy of each in § 1036.740.
manufacturer’s equivalent fuel con- Calibration means the set of specifica-
sumption data that required by NHTSA tions and tolerances specific to a par-
under 49 CFR 535.8. We will send a re- ticular design, version, or application
port to DOT for each engine manufac- of a component or assembly capable of
turer based on each regulatory cat- functionally describing its operation
egory and subcategory, including suffi- over its working range.
cient information for NHTSA to deter- Carryover means relating to certifi-
mine fuel consumption and associated cation based on emission data gen-
credit values. See 49 CFR 535.8 to deter- erated from an earlier model year as
mine if NHTSA deems submission of described in § 1036.235(d).
this information to EPA to also be a Certification means relating to the
submission to NHTSA. process of obtaining a certificate of
conformity for an engine family that
Subpart I—Definitions and Other complies with the emission standards
Reference Information and requirements in this part.
Certified emission level means the
§ 1036.801 Definitions. highest deteriorated emission level in
The following definitions apply to an engine family for a given pollutant
this part. The definitions apply to all from the applicable transient and/or
subparts unless we note otherwise. All steady-state testing, rounded to the
undefined terms have the meaning the same number of decimal places as the
Act gives to them. The definitions fol- applicable standard. Note that you
low: may have two certified emission levels
Act means the Clean Air Act, as for CO2 if you certify a family for both
amended, 42 U.S.C. 7401—7671q. vocational and tractor use.
Adjustable parameter has the meaning Complete vehicle means a vehicle
given in 40 CFR part 86. meeting the definition of complete ve-
Advanced technology means tech- hicle in 40 CFR 1037.801 when it is first
nology certified under 40 CFR 86.1819– sold as a vehicle. For example, where a
14(k)(7), § 1036.615, or 40 CFR 1037.615. vehicle manufacturer sells an incom-
Aftertreatment means relating to a plete vehicle to a secondary vehicle
catalytic converter, particulate filter, manufacturer, the vehicle is not a com-
or any other system, component, or plete vehicle under this part, even after
technology mounted downstream of the its final assembly.
150
Compression-ignition means relating emissions) to emissions at the low-hour

to a type of reciprocating, internal- test point.
combustion engine that is not a spark- (2) For additive deterioration factors,
ignition engine. Note that § 1036.1 also the difference between emissions at the
deems gas turbine engines and other end of useful life (or point of highest
engines to be compression-ignition en- emissions) and emissions at the low-
gines. hour test point.
Crankcase emissions means airborne Diesel exhaust fluid (DEF) means a liq-
substances emitted to the atmosphere uid reducing agent (other than the en-
from any part of the engine crank- gine fuel) used in conjunction with se-
case’s ventilation or lubrication sys- lective catalytic reduction to reduce
tems. The crankcase is the housing for NOX emissions. Diesel exhaust fluid is
the crankshaft and other related inter- generally understood to be an aqueous
nal parts. solution of urea conforming to the
Criteria pollutants means emissions of specifications of ISO 22241.
NOX, HC, PM, and CO. Note that these Dual-fuel means relating to an engine
pollutants are also sometimes de- designed for operation on two different
scribed collectively as ‘‘non-green- types of fuel but not on a continuous
house gas pollutants’’, although they mixture of those fuels (see § 1036.601(d)).
do not necessarily have negligible glob- For purposes of this part, such an en-
al warming potentials. gine remains a dual-fuel engine even if
it is designed for operation on three or
Designated Compliance Officer means
more different fuels.
one of the following:
Emission control system means any de-
(1) For engines subject to compres- vice, system, or element of design that
sion-ignition standards, Designated controls or reduces the emissions of
Compliance Officer means Director, Die- regulated pollutants from an engine.
sel Engine Compliance Center, U.S. En- Emission-data engine means an engine
vironmental Protection Agency, 2000 that is tested for certification. This in-
Traverwood Drive, Ann Arbor, MI 48105; cludes engines tested to establish dete-
complianceinfo@epa.gov; epa.gov/otaq/ rioration factors.
verify. Emission-related maintenance means
(2) For engines subject to spark-igni- maintenance that substantially affects
tion standards, Designated Compliance emissions or is likely to substantially
Officer means Director, Gasoline En- affect emission deterioration.
gine Compliance Center, U.S. Environ- Engine configuration means a unique
mental Protection Agency, 2000 combination of engine hardware and
Traverwood Drive, Ann Arbor, MI 48105; calibration (related to the emission
nonroad-si-cert@epa.gov; epa.gov/otaq/ standards) within an engine family.
verify. Engines within a single engine configu-
Deteriorated emission level means the ration differ only with respect to nor-
emission level that results from apply- mal production variability or factors
ing the appropriate deterioration fac- unrelated to compliance with emission
tor to the official emission result of standards.
the emission-data engine. Note that Engine family has the meaning given
where no deterioration factor applies, in § 1036.230.
references in this part to the deterio- Excluded means relating to engines
rated emission level mean the official that are not subject to some or all of
emission result. the requirements of this part as fol-
Deterioration factor means the rela- lows:
tionship between emissions at the end (1) An engine that has been deter-
of useful life (or point of highest emis- mined not to be a heavy-duty engine is
sions if it occurs before the end of use- excluded from this part.
ful life) and emissions at the low-hour/ (2) Certain heavy-duty engines are
low-mileage test point, expressed in excluded from the requirements of this
one of the following ways: part under § 1036.5.
(1) For multiplicative deterioration (3) Specific regulatory provisions of
factors, the ratio of emissions at the this part may exclude a heavy-duty en-
end of useful life (or point of highest gine generally subject to this part from
151
§ 1036.801 40 CFR Ch. I (7–1–21 Edition)
one or more specific standards or re- CFR 1068.5 for the administrative proc-
quirements of this part. ess we use to evaluate good engineering
Exempted has the meaning given in 40 judgment.
CFR 1068.30. Greenhouse gas means one or more
Exhaust gas recirculation means a compounds regulated under this part
technology that reduces emissions by based primarily on their impact on the
routing exhaust gases that had been climate. This generally includes CO2,
exhausted from the combustion cham- CH4, and N2O.
ber(s) back into the engine to be mixed Greenhouse gas Emissions Model (GEM)
with incoming air before or during means the GEM simulation tool de-
combustion. The use of valve timing to scribed in 40 CFR 1037.520. Note that an
increase the amount of residual ex- updated version of GEM applies start-
haust gas in the combustion cham- ing in model year 2021.
ber(s) that is mixed with incoming air Gross vehicle weight rating (GVWR)
before or during combustion is not con- means the value specified by the vehi-
sidered exhaust gas recirculation for cle manufacturer as the maximum de-
the purposes of this part. sign loaded weight of a single vehicle,
Family certification level (FCL) means consistent with good engineering judg-
a CO2 emission level declared by the ment.
manufacturer that is at or above emis- Heavy-duty engine means any engine
sion test results for all emission-data which the engine manufacturer could
engines. The FCL serves as the emis- reasonably expect to be used for motive
sion standard for the engine family power in a heavy-duty vehicle. For pur-
with respect to certification testing if poses of this definition in this part, the
it is different than the otherwise appli- term ‘‘engine’’ includes internal com-
cable standard. The FCL must be ex- bustion engines and other devices that
pressed to the same number of decimal convert chemical fuel into motive
places as the emission standard it repower. For example, a fuel cell or a gas
places. turbine used in a heavy-duty vehicle is
Family emission limit (FEL) means an a heavy-duty engine.
emission level declared by the manu- Heavy-duty vehicle means any motor
facturer to serve in place of an other- vehicle above 8,500 pounds GVWR or
wise applicable emission standard that has a vehicle curb weight above
(other than CO2 standards) under the 6,000 pounds or that has a basic vehicle
ABT program in subpart H of this part. frontal area greater than 45 square
The FEL must be expressed to the feet. Curb weight and Basic vehicle fron-
same number of decimal places as the tal area have the meaning given in 40
emission standard it replaces. The FEL CFR 86.1803.
serves as the emission standard for the Hybrid means relating to an engine or
engine family with respect to all re- powertrain that includes energy stor-
quired testing except certification test- age features other than a conventional
ing for CO2. The CO2 FEL is equal to battery system or conventional
the CO2 FCL multiplied by 1.03 and flywheel. Supplemental electrical bat-
rounded to the same number of decimal teries and hydraulic accumulators are
places as the standard (e.g., the nearest examples of hybrid energy storage sys-
whole g/hp-hr for the 2016 CO2 stand- tems. Note that certain provisions in
ards). this part treat hybrid engines and
Flexible-fuel means relating to an en- powertrains intended for vehicles that
gine designed for operation on any mix- include regenerative braking different
ture of two or more different types of than those intended for vehicles that
fuels (see § 1036.601(d)). do not include regenerative braking.
Fuel type means a general category of Hydrocarbon (HC) means the hydro-
fuels such as diesel fuel, gasoline, or carbon group on which the emission
natural gas. There can be multiple standards are based for each fuel type.
grades within a single fuel type, such For alcohol-fueled engines, HC means
as premium gasoline, regular gasoline, nonmethane hydrocarbon equivalent
or gasoline with 10 percent ethanol. (NMHCE). For all other engines, HC
Good engineering judgment has the means nonmethane hydrocarbon

meaning given in 40 CFR 1068.30. See 40 (NMHC).
152
Identification number means a unique Motor vehicle has the meaning given
specification (for example, a model in 40 CFR 85.1703.
number/serial number combination) Natural gas means a fuel whose pri-
that allows someone to distinguish a mary constituent is methane.
particular engine from other similar New motor vehicle engine has the
engines. meaning given in the Act. This gen-
Incomplete vehicle means a vehicle erally means a motor vehicle engine
meeting the definition of incomplete meeting the criteria of either para-
vehicle in 40 CFR 1037.801 when it is graph (1), (2), or (3) of this definition.
first sold (or otherwise delivered to an- (1) A motor vehicle engine for which
other entity) as a vehicle. the ultimate purchaser has never re-
Innovative technology means tech- ceived the equitable or legal title is a
nology certified under § 1036.610 (also new motor vehicle engine. This kind of
described as ‘‘off-cycle technology’’). engine might commonly be thought of
Liquefied petroleum gas (LPG) means a as ‘‘brand new’’ although a new motor
liquid hydrocarbon fuel that is stored vehicle engine may include previously
under pressure and is composed pri- used parts. Under this definition, the
marily of nonmethane compounds that engine is new from the time it is pro-
are gases at atmospheric conditions. duced until the ultimate purchaser re-
Note that, although this commercial ceives the title or places it into serv-
term includes the word ‘‘petroleum’’, ice, whichever comes first.
LPG is not considered to be a petro- (2) An imported motor vehicle engine
leum fuel under the definitions of this is a new motor vehicle engine if it was
section. originally built on or after January 1,
Low-hour means relating to an engine 1970.
that has stabilized emissions and rep- (3) Any motor vehicle engine in-
resents the undeteriorated emission stalled in a new motor vehicle.
level. This would generally involve less Noncompliant engine means an engine
than 125 hours of operation. that was originally covered by a cer-
Manufacture means the physical and tificate of conformity, but is not in the
engineering process of designing, con- certified configuration or otherwise
structing, and/or assembling a heavy- does not comply with the conditions of
duty engine or a heavy-duty vehicle. the certificate.
Manufacturer has the meaning given Nonconforming engine means an en-
in section 216(1) of the Act. In general, gine not covered by a certificate of
this term includes any person who conformity that would otherwise be
manufactures or assembles an engine, subject to emission standards.
vehicle, or piece of equipment for sale
Nonmethane hydrocarbon (NMHC)
in the United States or otherwise in-
means the sum of all hydrocarbon spe-
troduces a new engine into commerce
in the United States. This includes im- cies except methane, as measured ac-
porters who import engines or vehicles cording to 40 CFR part 1065.
for resale. Nonmethane hydrocarbon equivalent
Medium-duty passenger vehicle has the (NMHCE) has the meaning given in 40
meaning given in 40 CFR 86.1803. CFR 1065.1001.
Model year means the manufacturer’s Off-cycle technology means tech-
annual new model production period, nology certified under § 1036.610 (also
except as restricted under this defini- described as ‘‘innovative technology’’).
tion. It must include January 1 of the Official emission result means the
calendar year for which the model year measured emission rate for an emis-
is named, may not begin before Janu- sion-data engine on a given duty cycle
ary 2 of the previous calendar year, and before the application of any deteriora-
it must end by December 31 of the tion factor, but after the applicability
named calendar year. Manufacturers of any required regeneration or other
may not adjust model years to cir- adjustment factors.
cumvent or delay compliance with Owners manual means a document or
emission standards or to avoid the obli- collection of documents prepared by

gation to certify annually. the engine or vehicle manufacturer for
153
§ 1036.801 40 CFR Ch. I (7–1–21 Edition)
the owner or operator to describe ap- enue limits apply to the total number
propriate engine maintenance, applica- of employees and total revenue to-
ble warranties, and any other informa- gether for affiliated companies. Note
tion related to operating or keeping that manufacturers with low produc-
the engine. The owners manual is typi- tion volumes may or may not be
cally provided to the ultimate pur- ‘‘small manufacturers’’.
chaser at the time of sale. The owners Spark-ignition means relating to a
manual may be in paper or electronic gasoline-fueled engine or any other
format. type of engine with a spark plug (or
Oxides of nitrogen has the meaning other sparking device) and with oper-
given in 40 CFR 1065.1001. ating characteristics significantly
Percent has the meaning given in 40 similar to the theoretical Otto combus-
CFR 1065.1001. Note that this means tion cycle. Spark-ignition engines usu-
percentages identified in this part are ally use a throttle to regulate intake
assumed to be infinitely precise with- air flow to control power during nor-
out regard to the number of significant mal operation.
figures. For example, one percent of Steady-state has the meaning given in
1,493 is 14.93. 40 CFR 1065.1001.
Placed into service means put into ini- Suspend has the meaning given in 40
tial use for its intended purpose, ex- CFR 1068.30.
cluding incidental use by the manufac- Test engine means an engine in a test
turer or a dealer. sample.
Preliminary approval means approval Test sample means the collection of
granted by an authorized EPA rep- engines selected from the population of
resentative prior to submission of an an engine family for emission testing.
application for certification, consistent This may include testing for certifi-
with the provisions of § 1036.210. cation, production-line testing, or in-
Primary intended service class has the use testing.
meaning given in § 1036.140. Tractor means a vehicle meeting the
Rechargeable Energy Storage System definition of ‘‘tractor’’ in 40 CFR
(RESS) means the component(s) of a 1037.801, but not classified as a ‘‘voca-
hybrid engine or vehicle that store re- tional tractor’’ under 40 CFR 1037.630,
covered energy for later use, such as or relating to such a vehicle.
the battery system in an electric hy- Tractor engine means an engine cer-
brid vehicle. tified for use in tractors. Where an en-
Relating to as used in this section gine family is certified for use in both
means relating to something in a spe- tractors and vocational vehicles,
cific, direct manner. This expression is ‘‘tractor engine’’ means an engine that
used in this section only to define the engine manufacturer reasonably
terms as adjectives and not to broaden believes will be (or has been) installed
the meaning of the terms. in a tractor. Note that the provisions
Revoke has the meaning given in 40 of this part may require a manufac-
CFR 1068.30. turer to document how it determines
Round has the meaning given in 40 that an engine is a tractor engine.
CFR 1065.1001. Ultimate purchaser means, with re-
Scheduled maintenance means adjust- spect to any new engine or vehicle, the
ing, repairing, removing, disassem- first person who in good faith pur-
bling, cleaning, or replacing compo- chases such new engine or vehicle for
nents or systems periodically to keep a purposes other than resale.
part or system from failing, malfunc- United States has the meaning given
tioning, or wearing prematurely. It in 40 CFR 1068.30.
also may mean actions you expect are Upcoming model year means for an en-
necessary to correct an overt indica- gine family the model year after the
tion of failure or malfunction for which one currently in production.
periodic maintenance is not appro- U.S.-directed production volume means
priate. the number of engines, subject to the
Small manufacturer means a manufac- requirements of this part, produced by
turer meeting the criteria specified in a manufacturer for which the manufac-
13 CFR 121.201. The employee and rev- turer has a reasonable assurance that
154
sale was or will be made to ultimate § 1036.805 Symbols, abbreviations, and

purchasers in the United States. This acronyms.
does not include engines certified to The procedures in this part generally
state emission standards that are dif- follow either the International System
ferent than the emission standards in of Units (SI) or the United States cus-
this part. tomary units, as detailed in NIST Spe-
Vehicle has the meaning given in 40 cial Publication 811 (incorporated by
CFR 1037.801. reference in § 1036.810). See 40 CFR
Vocational engine means an engine 1065.20 for specific provisions related to
certified for use in vocational vehicles. these conventions. This section sum-
Where an engine family is certified for marizes the way we use symbols, units
use in both tractors and vocational ve- of measure, and other abbreviations.
hicles, ‘‘vocational engine’’ means an (a) Symbols for chemical species. This
engine that the engine manufacturer part uses the following symbols for
reasonably believes will be (or has chemical species and exhaust constitu-
been) installed in a vocational vehicle. ents:
Note that the provisions of this part Symbol Species
may require a manufacturer to docu-
C .................... carbon.
ment how it determines that an engine CH4 ................ methane.
is a vocational engine. CH4N2O ......... urea.
Vocational vehicle means a vehicle CO ................. carbon monoxide.
CO2 ................ carbon dioxide.
meeting the definition of ‘‘vocational’’ H2O ................ water.
vehicle in 40 CFR 1037.801. HC .................. hydrocarbon.
NMHC ............ nonmethane hydrocarbon.
Void has the meaning given in 40 CFR NMHCE .......... nonmethane hydrocarbon equivalent.
1068.30. NO ................. nitric oxide.
We (us, our) means the Administrator NO2 ................ nitrogen dioxide.
NOX ............... oxides of nitrogen.
of the Environmental Protection Agen- N2O ................ nitrous oxide.
cy and any authorized representatives. PM ................. particulate matter.

(b) Symbols for quantities. This part
29, 2021.
uses the following symbols and units of
measure for various quantities:
Unit in
terms of
Symbol Quantity Unit Unit symbol SI base
units
a ............... atomic hydrogen-to-carbon ratio .. mole per mole ........................... mol/mol ................ 1.
b ............... atomic oxygen-to-carbon ratio ..... mole per mole ........................... mol/mol ................ 1.
CdA ........... drag area ...................................... meter squared .......................... m2 ........................ m2.
Crr ............. coefficient of rolling resistance ..... kilogram per metric ton ............. kg/tonne ............... 10¥3.
D ............... distance ........................................ miles or meters ......................... mi or m ................ m.
e ............... mass weighted emission result .... grams/ton-mile .......................... g/ton-mi ................ g/kg-km.
Eff ............. efficiency.
Em ............. mass-specific net energy content megajoules/kilogram ................. MJ/kg ................... m2·s¥2.
fn ............... angular speed (shaft) ................... revolutions per minute .............. r/min ..................... π·30·s¥1.
i ................ indexing variable.
ka .............. drive axle ratio.
ktopgear ....... highest available transmission
gear.
m .............. mass ............................................. pound mass or kilogram ........... lbm or kg ............. kg.
M .............. molar mass ................................... gram per mole .......................... g/mol .................... 10¥3·kg·mol¥1.
M .............. vehicle mass ................................ kilogram .................................... kg ......................... kg.
Mrotating ...... inertial mass of rotating compo- kilogram .................................... kg ......................... kg.
nents.
N ............... total number in a series.
P ............... power ............................................ kilowatt ...................................... kW ....................... 103·m2·kg·s¥3.
T ............... torque (moment of force) ............. newton meter ............................ N·m ...................... m2·kg·s¥2.
t ................ time ............................................... second ...................................... s ........................... s.
Δt .............. time interval, period, 1/frequency second ...................................... s ........................... s.
UF ............ utility factor.
v ............... speed ............................................ miles per hour or meters per mi/hr or m/s ......... m·s¥1.
second.
W .............. work .............................................. kilowatt-hour ............................. kW·hr ................... 3.6·m2·kg·s¥1.
wC ............. carbon mass fraction .................... gram/gram ................................ g/g ........................ 1.
155
§ 1036.805 40 CFR Ch. I (7–1–21 Edition)
Unit in
terms of
units
wCH4N2O .... urea mass fraction ....................... gram/gram ................................ g/g ........................ 1.
x ............... amount of substance mole frac- mole per mole ........................... mol/mol ................ 1.
tion.
xb .............. brake energy fraction.
xbl ............. brake energy limit.
(c) Superscripts. This part uses the ASTM American Society for Testing
following superscripts to define a quan- and Materials
tity: BTU British thermal units
CD charge-depleting
Superscript Quantity
CFR Code of Federal Regulations
overbar (such as ȳ) ............ arithmetic mean. CI compression ignition
overdot overdot (such as ẏ) quantity per unit time. CS charge-sustaining
DF deterioration factor
(d) Subscripts. This part uses the fol- DOT Department of Transportation
lowing subscripts to define a quantity: E85 gasoline blend including nomi-
Subscript Quantity nally 85 percent denatured ethanol
EPA Environmental Protection Agen-
65 .................................... 65 miles per hour.
A ..................................... A speed. cy
acc .................................. accessory. FCL Family Certification Level
app .................................. approved. FEL Family Emission Limit
axle ................................. axle.
B ..................................... B speed.
GEM Greenhouse gas Emissions
C ..................................... C speed. Model
Ccombdry ........................ carbon from fuel per mole of dry g/hp-hr grams per brake horsepower-
exhaust.
CD ................................... charge-depleting.
hour
CO2DEF ......................... CO2 resulting from diesel exhaust GVWR gross vehicle weight rating
fluid decomposition. LPG liquefied petroleum gas
comb ............................... combustion. NARA National Archives and Records
cor ................................... corrected.
CS ................................... charge-sustaining. Administration
cycle ................................ test cycle. NHTSA National Highway Traffic
DEF ................................. diesel exhaust fluid. Safety Administration
engine ............................. engine.
exh .................................. raw exhaust. NTE not-to-exceed
fuel .................................. fuel. RESS rechargeable energy storage
H2Oexhaustdry ............... H2O in exhaust per mole of ex- system
haust.
hi ..................................... high. RMC ramped-modal cycle
i ....................................... an individual of a series. rpm revolutions per minute
idle .................................. idle. SCR Selective catalytic reduction
m ..................................... mass.
max ................................. maximum.
SI spark ignition
mapped ........................... mapped. U.S. United States
meas ............................... measured quantity. U.S.C. United States Code
neg .................................. negative.
pos .................................. positive. (f) Prefixes. This part uses the fol-
record .............................. record. lowing prefixes to define a quantity:
ref .................................... reference quantity.
speed .............................. speed. Symbol Quantity Value
stall ................................. stall.
test .................................. test. μ ..................... micro ...................................... 10¥6
tire ................................... tire. m .................... milli ........................................ 10¥3
transient .......................... transient. c ..................... centi ....................................... 10¥2
vehicle ............................. vehicle. k ..................... kilo ......................................... 103
M .................... mega ...................................... 106
(e) Other acronyms and abbreviations.
This part uses the following additional [81 FR 74011, Oct. 25, 2016; 82 FR 29761, June
abbreviations and acronyms: 30, 2017]
ABT averaging, banking, and trading

AECD auxiliary emission control de- 29, 2021, § 1036.805 was amended, effective July
vice 29, 2021.
156
§ 1036.810 Incorporation by reference. § 1036.820 Requesting a hearing.

(a) Certain material is incorporated (a) You may request a hearing under
by reference into this part with the ap- certain circumstances, as described
proval of the Director of the Federal elsewhere in this part. To do this, you
Register under 5 U.S.C. 552(a) and 1 must file a written request, including a
CFR part 51. To enforce any edition description of your objection and any
other than that specified in this sec- supporting data, within 30 days after
we make a decision.
tion, the Environmental Protection
(b) For a hearing you request under
Agency must publish a document in
the provisions of this part, we will ap-
the FEDERAL REGISTER and the mate- prove your request if we find that your
rial must be available to the public. All request raises a substantial factual
approved material is available for in- issue.
spection at U.S. EPA, Air and Radi- (c) If we agree to hold a hearing, we
ation Docket and Information Center, will use the procedures specified in 40
1301 Constitution Ave., NW., Room CFR part 1068, subpart G.
B102, EPA West Building, Washington,
DC 20460, (202) 202–1744, and is available § 1036.825 Reporting and record-
from the sources listed below. It is also keeping requirements.
available for inspection at the National (a) This part includes various re-
Archives and Records Administration quirements to submit and record data
(NARA). For information on the avail- or other information. Unless we specify
ability of this material at NARA, call otherwise, store required records in
202–741–6030, or go to http:// any format and on any media and keep
www.archives.gov/federallregister/ them readily available for eight years
codeloflfederallregulations/ after you send an associated applica-
tion for certification, or eight years
ibrllocations.html.\n.
after you generate the data if they do
(b) American Society for Testing and not support an application for certifi-
Materials, 100 Barr Harbor Drive, P.O. cation. You are expected to keep your
Box C700, West Conshohocken, PA, own copy of required records rather
19428–2959, (877) 909–2786, http:// than relying on someone else to keep
www.astm.org/. records on your behalf. We may review
(1) ASTM D4809–13 Standard Test these records at any time. You must
Method for Heat of Combustion of Liq- promptly send us organized, written
uid Hydrocarbon Fuels by Bomb Calo- records in English if we ask for them.
rimeter (Precision Method), approved We may require you to submit written
May 1, 2013, (‘‘ASTM D4809’’), IBR ap- records in an electronic format.
proved for § 1036.530(b). (b) The regulations in § 1036.255 and 40
(2) [Reserved] CFR 1068.25 and 1068.101 describe your
(c) National Institute of Standards obligation to report truthful and com-
and Technology, 100 Bureau Drive, plete information. This includes infor-
Stop 1070, Gaithersburg, MD 20899–1070, mation not related to certification.
Failing to properly report information
(301) 975–6478, or www.nist.gov.
and keep the records we specify vio-
(1) NIST Special Publication 811,
lates 40 CFR 1068.101(a)(2), which may
Guide for the Use of the International involve civil or criminal penalties.
System of Units (SI), 2008 Edition, (c) Send all reports and requests for
March 2008, IBR approved for § 1036.805. approval to the Designated Compliance
(2) [Reserved] Officer (see § 1036.801).
EFFECTIVE DATE NOTE: At 86 FR 34406, June (d) Any written information we re-
29, 2021, § 1036.810 was revised, effective July quire you to send to or receive from an-
29, 2021. other company is deemed to be a re-
quired record under this section. Such
§ 1036.815 Confidential information. records are also deemed to be submis-
sions to EPA. Keep these records for
The provisions of 40 CFR 1068.10 apply
eight years unless the regulations
for information you consider confiden-

specify a different period. We may re-
tial. quire you to send us these records
157
Pt. 1036, App. A 40 CFR Ch. I (7–1–21 Edition)
whether or not you are a certificate (iii) In 40 CFR 1068.27 we require man-
holder. ufacturers to make engines available
(e) Under the Paperwork Reduction for our testing or inspection if we
Act (44 U.S.C. 3501 et seq.), the Office of make such a request.
Management and Budget approves the (iv) In 40 CFR 1068.105 we require ve-
reporting and recordkeeping specified hicle manufacturers to keep certain
in the applicable regulations. The fol- records related to duplicate labels from
lowing items illustrate the kind of re- engine manufacturers.
porting and recordkeeping we require (v) In 40 CFR 1068.120 we specify rec-
for engines and vehicles regulated ordkeeping related to rebuilding en-
under this part: gines.
(1) We specify the following require- (vi) In 40 CFR part 1068, subpart C, we
ments related to engine certification in identify several reporting and record-
this part 1036: keeping items for making demonstra-
(i) In § 1036.135 we require engine tions and getting approval related to
manufacturers to keep certain records various exemptions.
related to duplicate labels sent to vehi- (vii) In 40 CFR part 1068, subpart D,
cle manufacturers. we identify several reporting and rec-
(ii) In § 1036.150 we include various re- ordkeeping items for making dem-
porting and recordkeeping require- onstrations and getting approval re-
ments related to interim provisions. lated to importing engines.
(iii) In subpart C of this part we iden- (viii) In 40 CFR 1068.450 and 1068.455
tify a wide range of information re- we specify certain records related to
quired to certify engines. testing production-line engines in a se-
(iv) In subpart G of this part we iden- lective enforcement audit.
tify several reporting and record- (ix) In 40 CFR 1068.501 we specify cer-
keeping items for making demonstra- tain records related to investigating
tions and getting approval related to and reporting emission-related defects.
various special compliance provisions. (x) In 40 CFR 1068.525 and 1068.530 we
(v) In §§ 1036.725, 1036.730, and 1036.735 specify certain records related to re-
we specify certain records related to calling nonconforming engines.
averaging, banking, and trading. (xi) In 40 CFR part 1068, subpart G,
(2) We specify the following require- we specify certain records for request-
ments related to testing in 40 CFR part ing a hearing.
1065:
(i) In 40 CFR 1065.2 we give an over- EFFECTIVE DATE NOTE: At 86 FR 34406, June
view of principles for reporting infor-
29, 2021.
mation.
(ii) In 40 CFR 1065.10 and 1065.12 we APPENDIX A TO PART 1036—SUMMARY OF
specify information needs for estab- PREVIOUS EMISSION STANDARDS
lishing various changes to published
test procedures. The following standards, which EPA origi-
(iii) In 40 CFR 1065.25 we establish nally adopted under 40 CFR part 85 or 86,
apply to compression-ignition engines pro-
basic guidelines for storing test infor-
duced before model year 2007 and to spark-ig-
mation. nition engines produced before model year
(iv) In 40 CFR 1065.695 we identify the 2008:
specific information and data items to (a) Smoke. Smoke standards applied for
record when measuring emissions. compression-ignition engines based on opac-
(3) We specify the following require- ity measurement using the test procedures
ments related to the general compli- in 40 CFR part 86, subpart I, as follows:
ance provisions in 40 CFR part 1068: (1) Engines were subject to the following
smoke standards for model years 1970
(i) In 40 CFR 1068.5 we establish a
through 1973:
process for evaluating good engineer-
(i) 40 percent during the engine accelera-
ing judgment related to testing and tion mode.
certification. (ii) 20 percent during the engine lugging
(ii) In 40 CFR 1068.25 we describe gen-
mode.
eral provisions related to sending and (2) The smoke standards in 40 CFR 86.11
keeping information started to apply in model year 1974.
158
Environmental Protection Agency Pt. 1036, App. A
(b) Idle CO. A standard of 0.5 percent of ex- (c) Crankcase emissions. The requirement to
haust gas flow at curb idle applied through design engines to prevent crankcase emis-
model year 2016 to the following engines: sions applied starting with the following en-
(1) Spark-ignition engines with gines:
aftertreatment starting in model year 1987. (1) Spark-ignition engines starting in
This standard applied only for gasoline- model year 1968. This standard applied only
fueled engines through model year 1997. for gasoline-fueled engines through model
Starting in model year 1998, the same stand- year 1989, and applied for spark-ignition en-
gines using other fuels starting in model
ard applied for engines fueled by methanol,
year 1990.
LPG, and natural gas. The idle CO standard
(2) Naturally aspirated diesel-fueled en-
no longer applied for engines certified to
gines starting in model year 1985.
meet onboard diagnostic requirements start- (3) Methanol-fueled compression-ignition
ing in model year 2005. engines starting in model year 1990.
(2) Methanol-fueled compression-ignition (4) Naturally aspirated gaseous-fueled en-
engines starting in model year 1990. This gines starting in model year 1997, and all
standard also applied for natural gas and other gaseous-fueled engines starting in 1998.
LPG engines starting in model year 1997. The (d) Early steady-state standards. The fol-
idle CO standard no longer applied for en- lowing criteria standards applied to heavy-
gines certified to meet onboard diagnostic duty engines based on steady-state measure-
requirements starting in model year 2007. ment 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 diesel ...... ...................................... 16 g/hp·hr ..................... 40 g/hp·hr.
1979–1984 a ................. gasoline and diesel ...... ...................................... 5 g/hp·hr for diesel, 5.0 25 g/hp·hr.
g/hp·hr for gasoline.
a An optional NO + HC standard of 10 g/hp·hr applied in 1979 through 1984 in conjunction with a separate HC standard of
X
1.5 g/hp·hr.
(e) Transient emission standards for spark-ig- Starting in model year 1991, manufacturers
nition engines. The following criteria stand- could generate or use emission credits for
ards applied for spark-ignition engines based NOX and NOX + NMHC standards. Table 2 to
on transient measurement using the test this appendix follows:
procedures in 40 CFR part 86, subpart N.
TABLE 2 TO APPENDIX A—TRANSIENT EMISSION STANDARDS FOR SPARK-IGNITION ENGINES a b
Pollutant
(g/hp·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·hr for model years 1987 through 2004, and a CO standard of 37.1 g/hp·hr for model years 1987 through 2007. In addi-
tion, 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 NO standard was 5.0 g/hp·hr; the HC standards were 1.7 g/
X
hp·hr for engines intended for installation only in vehicles above 14,000 pounds GVWR, and 0.9 g/hp·hr for other engines.
d Manufacturers could delay the 1.0 g/hp·hr NO
X + NMHC standard until model year 2008 by meeting an alternate NOX +
NMHC standard of 1.5 g/hp·hr applied for model years 2004 through 2007.
(f) Transient emission standards for compart 86, subpart N. Starting in model year
pression-ignition engines. The following cri- 1991, manufacturers could generate or use
teria standards applied for compression-igni- emission credits for NOX, NOX + NMHC, and
tion engines based on transient measure- PM standards. Table 3 to this appendix fol-
ment using the test procedures in 40 CFR lows:
159
Pt. 1036, App. B 40 CFR Ch. I (7–1–21 Edition)
TABLE 3 TO APPENDIX A—TRANSIENT EMISSION STANDARDS FOR COMPRESSION-IGNITION ENGINES a

Pollutant
(g/hp·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·hr applied for natural gas en-
gines 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·hr.
c An optional NO + NMHC standard of 2.5 g/hp·hr applied in 2004 through 2006 in conjunction with a separate NMHC stand-
X
ard of 0.5 g/hp·hr.
[86 FR 34406, June 29, 2021] (2) The transient duty cycles for
powertrain testing involves a schedule of ve-
29, 2021, appendix A to part 1036 was added, hicle speeds and road grade. Determine road
effective July 29, 2021. grade at each point based on the peak rated
power of the powertrain system, Prated, deter-
APPENDIX B TO PART 1036—TRANSIENT mined in § 1036.527 and road grade coefficients
DUTY CYCLES using the following equation:
(a) This appendix specifies transient duty

cycles for the engine and powertrain testing
(b) The following transient duty cycle ap-
described in § 1036.510, as follows:
plies for spark-ignition engines and
(1) The transient duty cycle for testing en-
powertrains:
gines involves a schedule of normalized en-
gine speed and torque values.
160
ER29JN21.059</GPH>
Environmental Protection Agency Pt. 1036, App. B
161
ER29JN21.060</GPH>
162
ER29JN21.061</GPH>
163
ER29JN21.062</GPH>
164
ER29JN21.063</GPH>
165
ER29JN21.064</GPH>
166
ER29JN21.065</GPH>
167
ER29JN21.066</GPH>
168
ER29JN21.067</GPH>
169
ER29JN21.068</GPH>
170
ER29JN21.069</GPH>
171
ER29JN21.070</GPH>
172
ER29JN21.071</GPH>
173
ER29JN21.072</GPH>
174
ER29JN21.073</GPH>
175
ER29JN21.074</GPH>
176
ER29JN21.075</GPH>
177
ER29JN21.076</GPH>
178
ER29JN21.077</GPH>
179
ER29JN21.078</GPH>
180
ER29JN21.079</GPH>
181
ER29JN21.080</GPH>
182
ER29JN21.081</GPH>
183
ER29JN21.082</GPH>
184
ER29JN21.083</GPH>
185
ER29JN21.084</GPH>
(c) The following transient duty cycle ap-

plies for compression ignition engines and
powertrains:
186
ER29JN21.085</GPH>
187
ER29JN21.086</GPH>
188
ER29JN21.087</GPH>
189
ER29JN21.088</GPH>
190
ER29JN21.089</GPH>
191
ER29JN21.090</GPH>
192
ER29JN21.091</GPH>
193
ER29JN21.092</GPH>
194
ER29JN21.093</GPH>
195
ER29JN21.094</GPH>
196
ER29JN21.095</GPH>
197
ER29JN21.096</GPH>
198
ER29JN21.097</GPH>
199
ER29JN21.098</GPH>
200
ER29JN21.099</GPH>
201
ER29JN21.100</GPH>
202
ER29JN21.101</GPH>
203
ER29JN21.102</GPH>
204
ER29JN21.103</GPH>
205
ER29JN21.104</GPH>
206
ER29JN21.105</GPH>
207
ER29JN21.106</GPH>
208
ER29JN21.107</GPH>
209
ER29JN21.108</GPH>
210
ER29JN21.109</GPH>
211
ER29JN21.110</GPH>
212
ER29JN21.111</GPH>
Environmental Protection Agency Pt. 1036, App. C
[86 FR 34408, June 29, 2021] Engine Fuel mass
Engine speed torque rate
EFFECTIVE DATE NOTE: At 86 FR 34408, June (r/min) (N·m) (g/sec)
29, 2021, appendix B to part 1036 was added,
effective July 29, 2021. 833.3 .......................................... 1200 5.535
1000 ........................................... 1200 6.519
1166.7 ........................................ 1200 7.603
APPENDIX C TO PART 1036—DEFAULT 1333.3 ........................................ 1200 8.735
ENGINE FUEL MAPS FOR § 1036.540 1500 ........................................... 1200 9.948
1666.7 ........................................ 1200 11.226
This appendix includes default steady- 1833.3 ........................................ 1200 12.622
state fuel maps for performing cycle-average 2000 ........................................... 1200 14.228
engine fuel mapping as described in §§ 1036.535 2166.7 ........................................ 1200 16.488
and 1036.540. 2333.3 ........................................ 1200 18.921
(a) Use the following default fuel map for 2500 ........................................... 1200 21.263
500 ............................................. 1500 6.299
compression-ignition engines that will be in- 666.7 .......................................... 1500 6.768
stalled in Tractors and Vocational Heavy 833.3 .......................................... 1500 6.95
HDV: 1000 ........................................... 1500 8.096
1166.7 ........................................ 1500 9.399
Engine Fuel mass 1333.3 ........................................ 1500 10.764
Engine speed torque rate 1500 ........................................... 1500 12.238
(r/min) (N·m) (g/sec)
1666.7 ........................................ 1500 13.827
1833.3 ........................................ 1500 15.586
666.7 .......................................... 0 0.436
2000 ........................................... 1500 17.589
833.3 .......................................... 0 0.665
1000 ........................................... 0 0.94 2166.7 ........................................ 1500 20.493
1166.7 ........................................ 0 1.002 2333.3 ........................................ 1500 23.366
1333.3 ........................................ 0 1.17 2500 ........................................... 1500 26.055
1500 ........................................... 0 1.5 500 ............................................. 1800 9.413
1666.7 ........................................ 0 1.899 666.7 .......................................... 1800 9.551
1833.3 ........................................ 0 2.378 833.3 .......................................... 1800 8.926
2000 ........................................... 0 2.93 1000 ........................................... 1800 9.745
2166.7 ........................................ 0 3.516 1166.7 ........................................ 1800 11.26
2333.3 ........................................ 0 4.093 1333.3 ........................................ 1800 12.819
2500 ........................................... 0 4.672 1500 ........................................... 1800 14.547
500 ............................................. 300 0.974 1666.7 ........................................ 1800 16.485
666.7 .......................................... 300 1.405 1833.3 ........................................ 1800 18.697
833.3 .......................................... 300 1.873 2000 ........................................... 1800 21.535
1000 ........................................... 300 2.324 2166.7 ........................................ 1800 24.981
1166.7 ........................................ 300 2.598 2333.3 ........................................ 1800 28.404
1333.3 ........................................ 300 2.904 2500 ........................................... 1800 31.768
1500 ........................................... 300 3.397 500 ............................................. 2100 13.128
1666.7 ........................................ 300 3.994 666.7 .......................................... 2100 12.936
1833.3 ........................................ 300 4.643 833.3 .......................................... 2100 12.325
2000 ........................................... 300 5.372 1000 ........................................... 2100 11.421
2166.7 ........................................ 300 6.141 1166.7 ........................................ 2100 13.174
2333.3 ........................................ 300 7.553 1333.3 ........................................ 2100 14.969
2500 ........................................... 300 8.449 1500 ........................................... 2100 16.971
500 ............................................. 600 1.723 1666.7 ........................................ 2100 19.274
666.7 .......................................... 600 2.391 1833.3 ........................................ 2100 22.09
833.3 .......................................... 600 3.121 2000 ........................................... 2100 25.654
1000 ........................................... 600 3.756 2166.7 ........................................ 2100 29.399
1166.7 ........................................ 600 4.197 2333.3 ........................................ 2100 32.958
1333.3 ........................................ 600 4.776 2500 ........................................... 2100 36.543
1500 ........................................... 600 5.492 500 ............................................. 2400 17.446
1666.7 ........................................ 600 6.277 666.7 .......................................... 2400 16.922
1833.3 ........................................ 600 7.129 833.3 .......................................... 2400 15.981
2000 ........................................... 600 8.069 1000 ........................................... 2400 14.622
2166.7 ........................................ 600 9.745 1166.7 ........................................ 2400 15.079
2333.3 ........................................ 600 11.213 1333.3 ........................................ 2400 17.165
2500 ........................................... 600 12.59 1500 ........................................... 2400 19.583
500 ............................................. 900 2.637 1666.7 ........................................ 2400 22.408
666.7 .......................................... 900 3.444 1833.3 ........................................ 2400 25.635
833.3 .......................................... 900 4.243 2000 ........................................... 2400 29.22
1000 ........................................... 900 4.997 2166.7 ........................................ 2400 33.168
1166.7 ........................................ 900 5.802 2333.3 ........................................ 2400 37.233
1333.3 ........................................ 900 6.702 2500 ........................................... 2400 41.075
1500 ........................................... 900 7.676 500 ............................................. 2700 22.365
1666.7 ........................................ 900 8.7 666.7 .......................................... 2700 21.511
1833.3 ........................................ 900 9.821 833.3 .......................................... 2700 20.225
2000 ........................................... 900 11.08 1000 ........................................... 2700 17.549
2166.7 ........................................ 900 13.051 1166.7 ........................................ 2700 17.131
2333.3 ........................................ 900 15.002 1333.3 ........................................ 2700 19.588
2500 ........................................... 900 16.862 1500 ........................................... 2700 22.514

500 ............................................. 1200 3.833 1666.7 ........................................ 2700 25.574
666.7 .......................................... 1200 4.679 1833.3 ........................................ 2700 28.909
213
Pt. 1036, App. C 40 CFR Ch. I (7–1–21 Edition)
Engine Fuel mass Engine Fuel mass

Engine speed Engine speed
torque rate torque rate
(r/min) (r/min)
(N·m) (g/sec) (N·m) (g/sec)
2000 ........................................... 2700 32.407 1958.3 ........................................ 360 4.754

2166.7 ........................................ 2700 36.18 2166.7 ........................................ 360 5.451
2333.3 ........................................ 2700 40.454 2375 ........................................... 360 6.16
2500 ........................................... 2700 44.968 2583.3 ........................................ 360 7.009
500 ............................................. 3000 27.476 2791.7 ........................................ 360 8.007
666.7 .......................................... 3000 22.613 3000 ........................................... 360 8.995
833.3 .......................................... 3000 19.804 500 ............................................. 480 1.676
1000 ........................................... 3000 17.266 708.3 .......................................... 480 2.194
1166.7 ........................................ 3000 19.197 916.7 .......................................... 480 2.76
1333.3 ........................................ 3000 22.109 1125 ........................................... 480 3.408
1500 ........................................... 3000 25.288 1333.3 ........................................ 480 4.031
1666.7 ........................................ 3000 28.44 1541.7 ........................................ 480 4.649
1833.3 ........................................ 3000 31.801 1750 ........................................... 480 5.309
2000 ........................................... 3000 35.405 1958.3 ........................................ 480 6.052
2166.7 ........................................ 3000 39.152 2166.7 ........................................ 480 6.849
2333.3 ........................................ 3000 42.912 2375 ........................................... 480 7.681
2500 ........................................... 3000 47.512 2583.3 ........................................ 480 8.783
2791.7 ........................................ 480 10.073
(b) Use the following default fuel map for 3000 ........................................... 480 11.36
compression-ignition engines that will be in- 500 ............................................. 600 2.147
708.3 .......................................... 600 2.787
stalled in Vocational Light HDV and Me-
916.7 .......................................... 600 3.478
dium HDV: 1125 ........................................... 600 4.227
1333.3 ........................................ 600 4.999
Engine Fuel mass 1541.7 ........................................ 600 5.737
Engine speed torque rate
(r/min) 1750 ........................................... 600 6.511
(N·m) (g/sec)
1958.3 ........................................ 600 7.357
708.3 .......................................... 0 0.255 2166.7 ........................................ 600 8.289
916.7 .......................................... 0 0.263 2375 ........................................... 600 9.295
1125 ........................................... 0 0.342 2583.3 ........................................ 600 10.541
1333.3 ........................................ 0 0.713 2791.7 ........................................ 600 11.914
1541.7 ........................................ 0 0.885 3000 ........................................... 600 13.286
1750 ........................................... 0 1.068 500 ............................................. 720 2.744
1958.3 ........................................ 0 1.27 708.3 .......................................... 720 3.535
2166.7 ........................................ 0 1.593 916.7 .......................................... 720 4.356
2375 ........................................... 0 1.822 1125 ........................................... 720 5.102
2583.3 ........................................ 0 2.695 1333.3 ........................................ 720 5.968
2791.7 ........................................ 0 4.016 1541.7 ........................................ 720 6.826
3000 ........................................... 0 5.324 1750 ........................................... 720 7.733
500 ............................................. 120 0.515 1958.3 ........................................ 720 8.703
708.3 .......................................... 120 0.722 2166.7 ........................................ 720 9.792
916.7 .......................................... 120 0.837 2375 ........................................... 720 10.984
1125 ........................................... 120 1.097 2583.3 ........................................ 720 12.311
1333.3 ........................................ 120 1.438 2791.7 ........................................ 720 13.697
1541.7 ........................................ 120 1.676 3000 ........................................... 720 15.071
1750 ........................................... 120 1.993 500 ............................................. 840 3.518
1958.3 ........................................ 120 2.35 708.3 .......................................... 840 4.338
2166.7 ........................................ 120 2.769 916.7 .......................................... 840 5.186
2375 ........................................... 120 3.306 1125 ........................................... 840 6.063
2583.3 ........................................ 120 4.004 1333.3 ........................................ 840 6.929
2791.7 ........................................ 120 4.78 1541.7 ........................................ 840 7.883
3000 ........................................... 120 5.567 1750 ........................................... 840 8.94
500 ............................................. 240 0.862 1958.3 ........................................ 840 10.093
708.3 .......................................... 240 1.158 2166.7 ........................................ 840 11.329
916.7 .......................................... 240 1.462 2375 ........................................... 840 12.613
1125 ........................................... 240 1.85 2583.3 ........................................ 840 13.983
1333.3 ........................................ 240 2.246 2791.7 ........................................ 840 15.419
1541.7 ........................................ 240 2.603 3000 ........................................... 840 16.853
1750 ........................................... 240 3.086 500 ............................................. 960 4.251
1958.3 ........................................ 240 3.516 708.3 .......................................... 960 5.098
2166.7 ........................................ 240 4.093 916.7 .......................................... 960 5.974
2375 ........................................... 240 4.726 1125 ........................................... 960 6.917
2583.3 ........................................ 240 5.372 1333.3 ........................................ 960 7.889
2791.7 ........................................ 240 6.064 1541.7 ........................................ 960 8.913
3000 ........................................... 240 6.745 1750 ........................................... 960 10.152
500 ............................................. 360 1.221 1958.3 ........................................ 960 11.482
708.3 .......................................... 360 1.651 2166.7 ........................................ 960 12.87
916.7 .......................................... 360 2.099 2375 ........................................... 960 14.195
1125 ........................................... 360 2.62 2583.3 ........................................ 960 15.562
1333.3 ........................................ 360 3.116 2791.7 ........................................ 960 16.995

1541.7 ........................................ 360 3.604 3000 ........................................... 960 18.492
1750 ........................................... 360 4.172 500 ............................................. 1080 4.978
214
Environmental Protection Agency Pt. 1036, App. C
Engine Fuel mass Engine Fuel mass

Engine speed Engine speed
torque rate torque rate
(r/min) (r/min)
(N·m) (g/sec) (N·m) (g/sec)
708.3 .......................................... 1080 5.928 875 ............................................. 195 1.377

916.7 .......................................... 1080 6.877 1250 ........................................... 195 1.923
1125 ........................................... 1080 7.827 1625 ........................................... 195 2.496
1333.3 ........................................ 1080 8.838 2000 ........................................... 195 3.111
1541.7 ........................................ 1080 9.91 2375 ........................................... 195 3.759
1750 ........................................... 1080 11.347 2750 ........................................... 195 4.49
1958.3 ........................................ 1080 12.85 3125 ........................................... 195 5.269
2166.7 ........................................ 1080 14.398 3500 ........................................... 195 6.13
2375 ........................................... 1080 15.745 3875 ........................................... 195 7.124
2583.3 ........................................ 1080 17.051 4250 ........................................... 195 8.189
2791.7 ........................................ 1080 18.477 4625 ........................................... 195 9.288
3000 ........................................... 1080 19.971 5000 ........................................... 195 10.561
500 ............................................. 1200 5.888 500 ............................................. 260 1.079
708.3 .......................................... 1200 6.837 875 ............................................. 260 1.716
916.7 .......................................... 1200 7.787 1250 ........................................... 260 2.373
1125 ........................................... 1200 8.736 1625 ........................................... 260 3.083
1333.3 ........................................ 1200 9.786 2000 ........................................... 260 3.832
1541.7 ........................................ 1200 10.908 2375 ........................................... 260 4.599
1750 ........................................... 1200 12.541 2750 ........................................... 260 5.443
1958.3 ........................................ 1200 14.217 3125 ........................................... 260 6.391
2166.7 ........................................ 1200 15.925 3500 ........................................... 260 7.444
2375 ........................................... 1200 17.3 3875 ........................................... 260 8.564
2583.3 ........................................ 1200 18.606 4250 ........................................... 260 9.821
2791.7 ........................................ 1200 19.912 4625 ........................................... 260 11.268
3000 ........................................... 1200 21.357 5000 ........................................... 260 12.828
500 ............................................. 325 1.354
(c) Use the following default fuel map for 875 ............................................. 325 2.06
all spark-ignition engines: 1250 ........................................... 325 2.844
1625 ........................................... 325 3.696
Engine Fuel mass 2000 ........................................... 325 4.579
Engine speed 2375 ........................................... 325 5.466
torque rate
(r/min) 2750 ........................................... 325 6.434
(N·m) (g/sec)
3125 ........................................... 325 7.542
875 ............................................. 0 0.535 3500 ........................................... 325 8.685
1250 ........................................... 0 0.734 3875 ........................................... 325 9.768
1625 ........................................... 0 0.975 4250 ........................................... 325 11.011
2000 ........................................... 0 1.238 4625 ........................................... 325 13.249
2375 ........................................... 0 1.506 5000 ........................................... 325 15.095
2750 ........................................... 0 1.772 500 ............................................. 390 1.609
3125 ........................................... 0 2.07 875 ............................................. 390 2.44
3500 ........................................... 0 2.394 1250 ........................................... 390 3.317
3875 ........................................... 0 2.795 1625 ........................................... 390 4.31
4250 ........................................... 0 3.312 2000 ........................................... 390 5.342
4625 ........................................... 0 3.349 2375 ........................................... 390 6.362
5000 ........................................... 0 3.761 2750 ........................................... 390 7.489
500 ............................................. 65 0.458 3125 ........................................... 390 8.716
875 ............................................. 65 0.759 3500 ........................................... 390 9.865
1250 ........................................... 65 1.065 3875 ........................................... 390 10.957
1625 ........................................... 65 1.43 4250 ........................................... 390 12.405
2000 ........................................... 65 1.812 4625 ........................................... 390 15.229
2375 ........................................... 65 2.22 5000 ........................................... 390 17.363
2750 ........................................... 65 2.65 500 ............................................. 455 2.245
3125 ........................................... 65 3.114 875 ............................................. 455 2.969
3500 ........................................... 65 3.646 1250 ........................................... 455 3.867
3875 ........................................... 65 4.225 1625 ........................................... 455 4.992
4250 ........................................... 65 4.861 2000 ........................................... 455 6.215
4625 ........................................... 65 5.328 2375 ........................................... 455 7.415
5000 ........................................... 65 6.028 2750 ........................................... 455 8.76
500 ............................................. 130 0.666 3125 ........................................... 455 10.175
875 ............................................. 130 1.063 3500 ........................................... 455 11.53
1250 ........................................... 130 1.497 3875 ........................................... 455 12.889
1625 ........................................... 130 1.976 4250 ........................................... 455 14.686
2000 ........................................... 130 2.469 4625 ........................................... 455 17.243
2375 ........................................... 130 3.015 5000 ........................................... 455 19.633
2750 ........................................... 130 3.59 500 ............................................. 520 3.497
3125 ........................................... 130 4.218 875 ............................................. 520 4.444
3500 ........................................... 130 4.9 1250 ........................................... 520 5.084
3875 ........................................... 130 5.652 1625 ........................................... 520 5.764
4250 ........................................... 130 6.484 2000 ........................................... 520 7.205
4625 ........................................... 130 7.308 2375 ........................................... 520 8.597

5000 ........................................... 130 8.294 2750 ........................................... 520 10.135
500 ............................................. 195 0.856 3125 ........................................... 520 11.708
215
Pt. 1037 40 CFR Ch. I (7–1–21 Edition)
Engine Fuel mass 1037.105 CO2 emission standards for voca-

Engine speed torque rate tional vehicles.
(r/min) (N·m) (g/sec) 1037.106 Exhaust emission standards for
3500 ........................................... 520 12.962 tractors above 26,000 pounds GVWR.
3875 ........................................... 520 14.225 1037.107 Emission standards for trailers.
4250 ........................................... 520 15.647 1037.115 Other requirements.
4625 ........................................... 520 17.579 1037.120 Emission-related warranty require-
5000 ........................................... 520 20.031 ments.
500 ............................................. 585 5.179 1037.125 Maintenance instructions and al-
875 ............................................. 585 5.962
1250 ........................................... 585 5.8 lowable maintenance.
1625 ........................................... 585 6.341 1037.130 Assembly instructions for sec-
2000 ........................................... 585 7.906 ondary vehicle manufacturers.
2375 ........................................... 585 9.452 1037.135 Labeling.
2750 ........................................... 585 10.979 1037.140 Classifying vehicles and deter-
3125 ........................................... 585 13.019 mining vehicle parameters.
3500 ........................................... 585 13.966
3875 ........................................... 585 15.661
4250 ........................................... 585 16.738
4625 ........................................... 585 17.935 Subpart C—Certifying Vehicle Families
5000 ........................................... 585 19.272
500 ............................................. 650 6.834 1037.201 General requirements for obtaining
875 ............................................. 650 7.316 a certificate of conformity.
1250 ........................................... 650 5.632 1037.205 What must I include in my applica-
1625 ........................................... 650 6.856 tion?
2000 ........................................... 650 8.471
2375 ........................................... 650 10.068
1037.210 Preliminary approval before certifi-
2750 ........................................... 650 11.671 cation.
3125 ........................................... 650 14.655 1037.211 Preliminary approval for manufac-
3500 ........................................... 650 14.804 turers of aerodynamic devices.
3875 ........................................... 650 16.539 1037.220 Amending maintenance instruc-
4250 ........................................... 650 18.415 tions.
4625 ........................................... 650 19.152
1037.225 Amending applications for certifi-
5000 ........................................... 650 20.33
cation.
1037.230 Vehicle families, sub-families, and
[81 FR 74011, Oct. 25, 2016. Redesignated at 86 configurations.
FR 34406, June 29, 2021] 1037.231 Powertrain families.
1037.232 Axle and transmission families.
1037.235 Testing requirements for certifi-
29, 2021, appendix I to part 1036 was redesig-
cation.
nated as appendix C to part 1036, effective
1037.241 Demonstrating compliance with ex-
July 29, 2021.
haust emission standards for greenhouse
gas pollutants.
PART 1037—CONTROL OF EMIS- 1037.243 Demonstrating compliance with
SIONS FROM NEW HEAVY-DUTY evaporative emission standards.
1037.250 Reporting and recordkeeping.
MOTOR VEHICLES 1037.255 What decisions may EPA make re-
garding my certificate of conformity?
Subpart A—Overview and Applicability
Subpart D—Testing Production Vehicles
Sec.
1037.1 Applicability. and Engines
1037.2 Who is responsible for compliance? 1037.301 Overview of measurements related
1037.5 Excluded vehicles. to GEM inputs in a selective enforcement
1037.10 How is this part organized? audit.
1037.15 Do any other regulation parts apply 1037.305 Audit procedures for tractors—aer-
to me? odynamic testing.
1037.30 Submission of information. 1037.310 Audit procedures for trailers.
1037.315 Audit procedures related to
Subpart B—Emission Standards and powertrain testing.
Related Requirements 1037.320 Audit procedures for axles and
transmissions.
1037.101 Overview of emission standards for
heavy-duty vehicles.
1037.102 Exhaust emission standards for
Subpart E—In-use Testing
NOX, HC, PM, and CO. 1037.401 General provisions.
1037.103 Evaporative and refueling emission
standards. Subpart F—Test and Modeling Procedures

chassis-certified heavy-duty vehicles at 1037.501 General testing and modeling provi-
or below 14,000 pounds GVWR. sions.
216
1037.510 Duty-cycle exhaust testing. 1037.705 Generating and calculating emis-
1037.515 Determining CO2 emissions to show sion credits.
compliance for trailers. 1037.710 Averaging.
1037.520 Modeling CO2 emissions to show 1037.715 Banking.
compliance for vocational vehicles and 1037.720 Trading.
tractors. 1037.725 What must I include in my applica-
1037.525 Aerodynamic measurements for tion for certification?
tractors. 1037.730 ABT reports.
1037.526 Aerodynamic measurements for 1037.735 Recordkeeping.
trailers. 1037.740 Restrictions for using emission
1037.527 Aerodynamic measurements for vo- credits.
cational vehicles. 1037.745 End-of-year CO2 credit deficits.
1037.528 Coastdown procedures for calcu- 1037.750 What can happen if I do not comply
lating drag area (CdA). with the provisions of this subpart?
1037.530 Wind-tunnel procedures for calcu- 1037.755 Information provided to the Depart-
lating drag area (CdA). ment of Transportation.
1037.532 Using computational fluid dynam-
ics to calculate drag area (CdA). Subpart I—Definitions and Other Reference
1037.534 Constant-speed procedure for calcu- Information
lating drag area (CdA).
1037.540 Special procedures for testing vehi- 1037.801 Definitions.
cles with hybrid power take-off. 1037.805 Symbols, abbreviations, and acro-
1037.550 Powertrain testing. nyms.
1037.551 Engine-based simulation of 1037.810 Incorporation by reference.
powertrain testing. 1037.815 Confidential information.
1037.555 Special procedures for testing 1037.820 Requesting a hearing.
Phase 1 hybrid systems. 1037.825 Reporting and recordkeeping re-
1037.560 Axle efficiency test. quirements.
1037.565 Transmission efficiency test. APPENDIX I TO PART 1037—HEAVY-DUTY TRAN-
1037.570 Procedures to characterize torque SIENT TEST CYCLE
converters. APPENDIX II TO PART 1037—POWER TAKE-OFF
TEST CYCLE
Subpart G—Special Compliance Provisions APPENDIX III TO PART 1037—EMISSION CON-
TROL IDENTIFIERS
1037.601 General compliance provisions.
APPENDIX IV TO PART 1037—HEAVY-DUTY
1037.605 Installing engines certified to alter- GRADE PROFILE FOR PHASE 2 STEADY-
nate standards for specialty vehicles. STATE TEST CYCLES
1037.610 Vehicles with off-cycle tech- APPENDIX V TO PART 1037—POWER TAKE-OFF
nologies. UTILITY FACTORS
1037.615 Advanced technologies.
1037.620 Responsibilities for multiple manu- AUTHORITY: 42 U.S.C. 7401—7671q.
facturers. SOURCE: 81 FR 74048, Oct. 25, 2016, unless
1037.621 Delegated assembly. otherwise noted.
1037.622 Shipment of partially complete ve-
hicles to secondary vehicle manufactur- § 1037.1 Applicability.
ers.
1037.630 Special purpose tractors. (a) This part contains standards and
1037.631 Exemption for vocational vehicles other regulations applicable to the
intended for off-road use. emission of the air pollutant defined as
1037.635 Glider kits and glider vehicles. the aggregate group of six greenhouse
1037.640 Variable vehicle speed limiters. gases: carbon dioxide, nitrous oxide,
1037.645 In-use compliance with family
methane, hydrofluorocarbons,
emission limits (FELs).
1037.655 Post-useful life vehicle modifica-
perfluorocarbons, and sulfur
tions. hexafluoride. The regulations in this
1037.660 Idle-reduction technologies. part 1037 apply for all new heavy-duty
1037.665 Production and in-use tractor test- vehicles, except as provided in §§ 1037.5
ing. and 1037.104. This includes electric ve-
1037.670 Optional CO2 emission standards for hicles and vehicles fueled by conven-
tractors at or above 120,000 pounds tional and alternative fuels. This also
GCWR. includes certain trailers as described in
§§ 1037.5, 1037.150, and 1037.801.
Subpart H—Averaging, Banking, and
(b) The provisions of this part apply
Trading for Certification

for alternative fuel conversions as
1037.701 General provisions. specified in 40 CFR part 85, subpart F.
217
§ 1037.2 40 CFR Ch. I (7–1–21 Edition)
§ 1037.2 Who is responsible for compli- rately to certain aircraft engines, as

ance? described in 40 CFR part 87.
The regulations in this part 1037 con- (g) Non-box trailers other than flat-
tain provisions that affect both vehicle bed trailers, tank trailers, and con-
manufacturers and others. However, tainer chassis.
the requirements of this part are gen- (h) Trailers meeting one or more of
erally addressed to the vehicle manu- the following characteristics:
facturer(s). The term ‘‘you’’ generally (1) Trailers with four or more axles
means the vehicle manufacturer(s), es- and trailers less than 35 feet long with
pecially for issues related to certifi- three axles (i.e., trailers intended for
cation. See § 1037.801 for the definition hauling very heavy loads).
(2) Trailers intended for temporary or
of ‘‘manufacturer’’ and § 1037.620 for
permanent residence, office space, or
provisions related to compliance when
other work space, such as campers, mo-
there are multiple entities meeting the
bile homes, and carnival trailers.
definition of ‘‘manufacturer.’’ Addi-
(3) Trailers with a gap of at least 120
tional requirements and prohibitions
inches between adjacent axle
apply to other persons as specified in
centerlines. In the case of adjustable
subpart G of this part and 40 CFR part
axle spacing, this refers to the closest
1068.
possible axle positioning.
§ 1037.5 Excluded vehicles. (4) Trailers built before January 1,
2018.
Except for the definitions specified in (5) Note that the definition of ‘‘trail-
§ 1037.801, this part does not apply to er’’ in § 1037.801 excludes equipment
the following vehicles: that serves similar purposes but are
(a) Vehicles not meeting the defini- not intended to be pulled by a tractor.
tion of ‘‘motor vehicle’’ in § 1037.801. This exclusion applies to such equip-
(b) Vehicles excluded from the defini- ment whether or not they are known
tion of ‘‘heavy-duty vehicle’’ in commercially as trailers. For example,
§ 1037.801 because of vehicle weight, any equipment pulled by a heavy-duty
weight rating, and frontal area (such as vehicle with a pintle hook or hitch in-
light-duty vehicles and light-duty stead of a fifth wheel does not qualify
trucks). as a trailer under this part.
(c) Vehicles produced in model years (i) Where it is unclear, you may ask
before 2014, unless they were certified us to make a determination regarding
under § 1037.150. the exclusions identified in this sec-
(d) Medium-duty passenger vehicles tion. We recommend that you make
and other vehicles subject to the light- your request before you produce the ve-
duty greenhouse gas standards of 40 hicle.
CFR part 86. See 40 CFR 86.1818 for
greenhouse gas standards that apply § 1037.10 How is this part organized?
for these vehicles. An example of such This part 1037 is divided into the fol-
a vehicle would be a vehicle meeting lowing subparts:
the definition of ‘‘heavy-duty vehicle’’ (a) Subpart A of this part defines the
in § 1037.801 and 40 CFR 86.1803, but also applicability of part 1037 and gives an
meeting the definition of ‘‘light truck’’ overview of regulatory requirements.
in 40 CFR 86.1818–12(b)(2). (b) Subpart B of this part describes
(e) Vehicles subject to the heavy- the emission standards and other re-
duty greenhouse gas standards of 40 quirements that must be met to certify
CFR part 86. See 40 CFR 86.1819 for vehicles under this part. Note that
greenhouse gas standards that apply § 1037.150 discusses certain interim re-
for these vehicles. This generally ap- quirements and compliance provisions
plies for complete heavy-duty vehicles that apply only for a limited time.
at or below 14,000 pounds GVWR. (c) Subpart C of this part describes
(f) Aircraft meeting the definition of how to apply for a certificate of con-
‘‘motor vehicle’’. For example, this formity for vehicles subject to the
would include certain convertible air- standards of § 1037.105 or § 1037.106.
craft that can be adjusted to operate (d) Subpart D of this part addresses
on public roads. Standards apply sepa- testing of production vehicles.
218
(e) Subpart E of this part addresses (d) Other parts of this chapter apply
testing of in-use vehicles. if referenced in this part.
(f) Subpart F of this part describes
how to test your vehicles and perform § 1037.30 Submission of information.
emission modeling (including ref- Unless we specify otherwise, send all
erences to other parts of the Code of reports and requests for approval to
Federal Regulations) for vehicles sub- the Designated Compliance Officer (see
ject to the standards of § 1037.105 or § 1037.801). See § 1037.825 for additional
§ 1037.106. reporting and recordkeeping provi-
(g) Subpart G of this part and 40 CFR sions.
part 1068 describe requirements, prohi-
bitions, and other provisions that Subpart B—Emission Standards
apply to manufacturers, owners, opera-
tors, rebuilders, and all others. Section
and Related Requirements
1037.601 describes how 40 CFR part 1068 § 1037.101 Overview of emission stand-
applies for heavy-duty vehicles. ards for heavy-duty vehicles.
(h) Subpart H of this part describes
(a) This part specifies emission
how you may generate and use emis-
standards for certain vehicles and for
sion credits to certify vehicles.
certain pollutants. This part contains
(i) Subpart I of this part contains
standards and other regulations appli-
cable to the emission of the air pollut-
mation.
ant defined as the aggregate group of
§ 1037.15 Do any other regulation six greenhouse gases: Carbon dioxide,
parts apply to me? nitrous oxide, methane,
hydrofluorocarbons, perfluorocarbons,
(a) Parts 1065 and 1066 of this chapter and sulfur hexafluoride.
describe procedures and equipment (b) The regulated emissions are ad-
specifications for testing engines and dressed in four groups:
vehicles to measure exhaust emissions. (1) Exhaust emissions of NOX, HC, PM,
Subpart F of this part 1037 describes and CO. These pollutants are some-
how to apply the provisions of part 1065 times described collectively as ‘‘cri-
and part 1066 of this chapter to deter- teria pollutants’’ because they are ei-
mine whether vehicles meet the ex- ther criteria pollutants under the
haust emission standards in this part. Clean Air Act or precursors to the cri-
(b) As described in § 1037.601, certain teria pollutant ozone. These pollutants
requirements and prohibitions of part are also sometimes described collec-
1068 of this chapter apply to everyone, tively as ‘‘non-greenhouse gas pollut-
including anyone who manufactures, ants’’, although they do not nec-
imports, installs, owns, operates, or re- essarily have negligible global warm-
builds any of the vehicles subject to ing potential. As described in § 1037.102,
this part 1037. Part 1068 of this chapter standards for these pollutants are pro-
describes general provisions that apply vided in 40 CFR part 86.
broadly, but do not necessarily apply (2) Exhaust emissions of CO2, CH4, and
for all vehicles or all persons. The N2O. These pollutants are described
issues addressed by these provisions in- collectively in this part as ‘‘greenhouse
clude these seven areas: gas pollutants’’ because they are regu-
(1) Prohibited acts and penalties for lated primarily based on their impact
manufacturers and others. on the climate. These standards are
(2) Rebuilding and other aftermarket provided in §§ 1037.105 through 1037.107.
changes. (3) Hydrofluorocarbons. These pollut-
(3) Exclusions and exemptions for ants are also ‘‘greenhouse gas pollut-
certain vehicles. ants’’ but are treated separately from
(4) Importing vehicles. exhaust greenhouse gas pollutants list-
(5) Selective enforcement audits of ed in paragraph (b)(2) of this section.
your production. These standards are provided in
(6) Recall. § 1037.115.
(7) Procedures for hearings. (4) Fuel evaporative emissions. These

(c) [Reserved] requirements are described in § 1037.103.
219
§ 1037.102 40 CFR Ch. I (7–1–21 Edition)
(c) The regulated heavy-duty vehicles § 1037.102 Exhaust emission standards

are addressed in different groups as fol- for NOX, HC, PM, and CO.
lows: See 40 CFR part 86 for the exhaust
(1) For criteria pollutants, vocational emission standards for NOX, HC, PM,
vehicles and tractors are regulated and CO that apply for heavy-duty vehi-
based on gross vehicle weight rating cles.
(GVWR), whether they are considered
‘‘spark-ignition’’ or ‘‘compression-igni- § 1037.103 Evaporative and refueling
emission standards.
tion,’’ and whether they are first sold
as complete or incomplete vehicles. (a) Applicability. Evaporative and re-
(2) For greenhouse gas pollutants, ve- fueling emission standards apply to
hicles are regulated in the following heavy-duty vehicles as follows:
(1) Complete and incomplete heavy-
groups:
duty vehicles at or below 14,000 pounds
(i) Tractors above 26,000 pounds GVWR must meet evaporative and re-
GVWR. fueling emission standards as specified
(ii) Trailers. in 40 CFR part 86, subpart S, instead of
(iii) Vocational vehicles. the requirements specified in this sec-
(3) The greenhouse gas emission tion.
standards apply differently depending (2) Heavy-duty vehicles above 14,000
on the vehicle service class as de- pounds GVWR that run on volatile liq-
scribed in § 1037.140. In addition, stand- uid fuel (such as gasoline or ethanol) or
ards apply differently for vehicles with gaseous fuel (such as natural gas or
spark-ignition and compression-igni- LPG) must meet evaporative and re-
tion engines. References in this part fueling emission standards as specified
1037 to ‘‘spark-ignition’’ or ‘‘compres- in this section.
sion-ignition’’ generally relate to the (b) Emission standards. The evapo-
application of standards under 40 CFR rative and refueling emission standards
1036.140. For example, a vehicle with an and measurement procedures specified
in 40 CFR 86.1813 apply for vehicles
engine certified to spark-ignition
above 14,000 pounds GVWR, except as
standards under 40 CFR part 1036 is
described in this section. The evapo-
generally subject to requirements
rative emission standards phase in over
under this part 1037 that apply for model years 2018 through 2022, with
spark-ignition vehicles. However, note provisions allowing for voluntary com-
that emission standards for heavy pliance with the standards as early as
heavy-duty engines are considered to model year 2015. Count vehicles subject
be compression-ignition standards for to standards under this section the
purposes of applying vehicle emission same as heavy-duty vehicles at or
standards under this part. Also, for below 14,000 pounds GVWR to comply
spark-ignition engines voluntarily cer- with the phase-in requirements speci-
tified as compression-ignition engines fied in 40 CFR 86.1813. These vehicles
under 40 CFR part 1036, you must may generate and use emission credits
choose at certification whether your as described in 40 CFR part 86, subpart
vehicles are subject to spark-ignition S, but only for vehicles that are tested
standards or compression-ignition for certification instead of relying on
standards. the provisions of paragraph (c) of this
(4) For evaporative and refueling section. The following provisions apply
emissions, vehicles are regulated based instead of what is specified in 40 CFR
on the type of fuel they use. Vehicles 86.1813:
fueled with volatile liquid fuels or gas- (1) The refueling standards in 40 CFR
eous fuels are subject to evaporative 86.1813–17(b) apply to complete vehicles
starting in model year 2022; they are
emission standards. Vehicles up to a
optional for incomplete vehicles.
certain size that are fueled with gaso-
(2) The leak standard in 40 CFR
line, diesel fuel, ethanol, methanol, or 86.1813–17(a)(4) does not apply.
LPG are subject to refueling emission (3) The FEL cap relative to the diur-
standards. nal plus hot soak standard for low-alti-

tude testing is 1.9 grams per test.
220
(4) The diurnal plus hot soak stand- (e) LNG refueling requirement. Fuel
ard for high-altitude testing is 2.3 tanks for liquefied natural gas vehicles
grams per test. must meet the hold-time requirements
(5) Testing does not require measure- in Section 4.2 of SAE J2343 (incor-
ment of exhaust emissions. Disregard porated by reference in § 1037.810), as
references in subpart B of this part to modified by this paragraph (e). All
procedures, equipment specifications, pressures noted are gauge pressure. Ve-
and recordkeeping related to meas- hicles with tanks meeting these re-
uring exhaust emissions. All references quirements are deemed to comply with
to the exhaust test under 40 CFR part evaporative and refueling emission
86, subpart B, are considered the ‘‘dy- standards. The provisions of this para-
namometer run’’ as part of the evapo- graph (e) are optional for vehicles pro-
rative testing sequence under this sub- duced before January 1, 2020. The hold-
part. time requirements of SAE J2343 apply,
(6) Vehicles not yet subject to the with the following clarifications and
Tier 3 standards in 40 CFR 86.1813 must additions:
meet evaporative emission standards (1) Hold time must be at least 120
as specified in 40 CFR 86.008–10(b)(1) hours. Use the following procedure to
and (2) for Otto-cycle applications and determine hold time for an LNG fuel
40 CFR 86.007–11(b)(3)(ii) and (b)(4)(ii) tank that will be installed on a heavy-
for diesel-cycle applications. duty vehicle:
(c) Compliance demonstration. You (i) Prepare the stored (offboard) fuel
may provide a statement in the appli- and the vehicle such that tank pressure
cation for certification that vehicles after the refueling event stabilizes
above 14,000 pounds GVWR comply with below 690 kPa.
evaporative and refueling emission (ii) Fill the tank to the point of auto-
standards instead of submitting test
matic shutoff using a conventional re-
data if you include an engineering
fueling system. This is intended to
analysis describing how vehicles in-
achieve a net full condition.
clude design parameters, equipment,
operating controls, or other elements (iii) The hold time starts when tank
of design that adequately demonstrate pressure increases to 690 kPa, and ends
that vehicles comply with the stand- when the tank first vents for pressure
ards. We would expect emission control relief. Use good engineering judgment
components and systems to exhibit a to document the point at which the
comparable degree of control relative pressure-relief valve opens.
to vehicles that comply based on test- (iv) Keep the tank at rest away from
ing. For example, vehicles that comply direct sun with ambient temperatures
under this paragraph (c) should rely on between (10 and 30) °C throughout the
comparable material specifications to measurement procedure.
limit fuel permeation, and components (2) Following a complete refueling
should be sized and calibrated to cor- event as described in paragraph (e)(1)
respond with the appropriate fuel ca- of this section and a short drive, in-
pacities, fuel flow rates, purge strate- stalled tanks may not increase in pres-
gies, and other vehicle operating char- sure by more than 9 kPa per hour over
acteristics. You may alternatively a minimum 12 hour interval when
show that design parameters are com- parked away from direct sun with am-
parable to those for vehicles at or bient temperatures at or below 30 °C.
below 14,000 pounds GVWR certified Calculate the allowable pressure gain
under 40 CFR part 86, subpart S. by multiplying the park time in hours
(d) CNG refueling requirement. Com- by 9 and rounding to the nearest whole
pressed natural gas vehicles must meet number. Do not include the first hour
the requirements for fueling connec- after engine shutdown, and start the
tion devices as specified in 40 CFR test only when tank pressure is be-
86.1813–17(f)(1). Vehicles meeting these tween 345 and 900 kPa.
requirements are deemed to comply (3) The standards described in this
with evaporative and refueling emis- paragraph (e) apply over the vehicle’s
sion standards. useful life as specified in paragraph (f)
221
§ 1037.104 40 CFR Ch. I (7–1–21 Edition)
of this section. The warranty require- nents that you do not install, your in-
ments of § 1037.120 also apply for these stallation instructions must describe
standards. this certification requirement.
(4) You may specify any amount of EFFECTIVE DATE NOTE: At 86 FR 34459, June
inspection and maintenance, consistent 29, 2021, § 1037.103 was amended, effective July
with good engineering judgment, to en- 29, 2021.
sure that tanks meet the standards in
this paragraph (e) during and after the § 1037.104 Exhaust emission standards
useful life. for chassis-certified heavy-duty ve-
(f) Useful life. The evaporative emis- hicles at or below 14,000 pounds
sion standards of this section apply for GVWR.
the full useful life, expressed in service Heavy-duty vehicles at or below
miles or calendar years, whichever 14,000 pounds GVWR are not subject to
comes first. The useful life values for the provisions of this part 1037 if they
the standards of this section are the are subject to 40 CFR part 86, subpart
same as the values described for evapo- S, including all vehicles certified under
rative emission standards in 40 CFR 40 CFR part 86, subpart S. See espe-
86.1805. cially 40 CFR 86.1819 and 86.1865 for
(g) Auxiliary engines and separate fuel emission standards and compliance
systems. The provisions of this para- provisions that apply for these vehi-
graph (g) apply for vehicles with auxil- cles.
iary engines. This includes any engines
installed in the final vehicle configura- § 1037.105 CO2 emission standards for
tion that contribute no motive power vocational vehicles.
through the vehicle’s transmission. (a) The standards of this section
(1) Auxiliary engines and associated apply for the following vehicles:
fuel-system components must be in- (1) Heavy-duty vehicles at or below
stalled when testing complete vehicles. 14,000 pounds GVWR that are excluded
If the auxiliary engine draws fuel from from the standards in 40 CFR 86.1819 or
a separate fuel tank, you must fill the that use engines certified under
extra fuel tank before the start of diur- § 1037.150(m).
nal testing as described for the vehi- (2) Vehicles above 14,000 pounds
cle’s main fuel tank. Use good engi- GVWR and at or below 26,000 pounds
neering judgment to ensure that any GVWR, but not certified to the vehicle
nonmetal portions of the fuel system standards in 40 CFR 86.1819.
related to the auxiliary engine have (3) Vehicles above 26,000 pounds
reached stabilized levels of permeation GVWR that are not tractors.
emissions. The auxiliary engine must (4) Vocational tractors.
not operate during the running loss (b) CO2 standards in this paragraph
test or any other portion of testing (b) apply based on modeling and testing
under this section. as specified in subpart F of this part.
(2) For testing with incomplete vehi- The provisions of § 1037.241 specify how
cles, you may omit installation of aux- to comply with these standards. Stand-
iliary engines and associated fuel-sys- ards differ based on engine cycle, vehi-
tem components as long as those com- cle size, and intended vehicle duty
ponents installed in the final configu- cycle. See § 1037.510(c) to determine
ration are certified to meet the appli- which duty cycle applies.
cable emission standards for Small SI (1) Model year 2027 and later vehicles
equipment described in 40 CFR 1054.112 are subject to CO2 standards cor-
or for Large SI engines in 40 CFR responding to the selected subcat-
1048.105. For any fuel-system compo- egories as shown in the following table:
TABLE 1 OF § 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
222
TABLE 1 OF § 1037.105—PHASE 2 CO2 STANDARDS FOR MODEL YEAR 2027 AND LATER
VOCATIONAL VEHICLES—Continued
[g/ton-mile]
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 vehi- responding to the selected subcat-
cles are subject to CO2 standards cor- egories as shown in the following table:
TABLE 2 OF § 1037.105—PHASE 2 CO2 STANDARDS FOR MODEL YEAR 2024 THROUGH 2026
VOCATIONAL VEHICLES
[g/ton-mile]

(3) Model year 2021 Through 2023 vehi- responding to the selected subcat-
cles are subject to CO2 standards cor- egories as shown in the following table:
VOCATIONAL VEHICLES
[g/ton-mile]

(4) Model year 2014 through 2020 vehi-

cles are subject to Phase 1 CO2 stand-
ards as shown in the following table:
VOCATIONAL VEHICLES
[g/ton-mile]
CO2 standard for CO2 standard for

Vehicle size model years model year 2017
2014–2016 and later
Light HDV .............................................................................................................................. 388 373

Medium HDV ......................................................................................................................... 234 225
Heavy HDV ............................................................................................................................ 226 222
(c) No CH4 or N2O standards apply (d) You may generate or use emission
under this section. See 40 CFR part 1036 credits for averaging, banking, and
for CH4 or N2O standards that apply to trading to demonstrate compliance
engines used in these vehicles. with the standards in paragraph (b) of

this section as described in subpart H
223
§ 1037.105 40 CFR Ch. I (7–1–21 Edition)
of this part. This requires that you (3) Except as specified in paragraphs
specify a Family Emission Limit (FEL) (g)(1) and (2) of this section, you may
for CO2 for each vehicle subfamily. The not generate credits with the vehicle.
FEL may not be less than the result of If you include lighter vehicles in a sub-
emission modeling from § 1037.520. family of heavier vehicles with an FEL
These FELs serve as the emission below the standard, exclude the pro-
standards for the vehicle subfamily induction volume of lighter vehicles from
stead of the standards specified in the credit calculation. Conversely, if
paragraph (b) of this section. you include lighter vehicles in a sub-
(e) The exhaust emission standards of family with an FEL above the stand-
this section apply for the full useful ard, you must include the production
life, expressed in service miles or cal- volume of lighter vehicles in the credit
endar years, whichever comes first. calculation.
The following useful life values apply (h) You may optionally certify cer-
for the standards of this section: tain vocational vehicles to alternative
(1) 150,000 miles or 15 years, which- Phase 2 standards as specified in this
ever comes first, for Light HDV. paragraph (h) instead of the standards
(2) 185,000 miles or 10 years, which- specified in paragraph (b) of this sec-
ever comes first, for Medium HDV. tion. You may apply these provisions
to any qualifying vehicles even though
(3) 435,000 miles or 10 years, which-
these standards were established for
ever comes first, for Heavy HDV.
custom chassis. For example, large di-
(f) See § 1037.631 for provisions that versified vehicle manufacturers may
exempt certain vehicles used in off- certify vehicles to the refuse hauler
road operation from the standards of standards of this section as long as the
this section. manufacturer ensures that those vehi-
(g) You may optionally certify a vo- cles qualify as refuse haulers when
cational vehicle to the standards and placed into service. GEM simulates ve-
useful life applicable to a heavier vehi- hicle operation for each type of vehicle
cle service class (such as Medium HDV based on an assigned vehicle service
instead of Light HDV). Provisions re- class, independent of the vehicle’s ac-
lated to generating emission credits tual characteristics, as shown in Table
apply as follows: 5 of this section; however, standards
(1) If you certify all your vehicles apply for the vehicle’s useful life based
from a given vehicle service class in a on its actual characteristics as speci-
given model year to the standards and fied in paragraph (e) of this section.
useful life that applies for a heavier ve- Vehicles certified to these standards
hicle service class, you may generate must include the following statement
credits as appropriate for the heavier on the emission control label: ‘‘THIS
service class. VEHICLE WAS CERTIFIED AS A
(2) Class 8 hybrid vehicles with light [identify vehicle type as identified in
or medium heavy-duty engines may be Table 5 of this section] UNDER 40 CFR
certified to compression-ignition 1037.105(h)].’’ These custom-chassis
standards for the Heavy HDV service standards apply as follows:
class. You may generate and use cred- (1) The following alternative emis-
its as allowed for the Heavy HDV serv- sion standards apply by vehicle type
ice class. and model year as follows:
TABLE 5 OF § 1037.105—PHASE 2 CUSTOM CHASSIS STANDARDS
[g/ton-mile]
Vehicle type 1 MY
Assigned vehicle service class MY 2027+
2021–2026
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
224
TABLE 5 OF § 1037.105—PHASE 2 CUSTOM CHASSIS STANDARDS—Continued

[g/ton-mile]
MY
Vehicle type 1 Assigned vehicle service class 2021–2026 MY 2027+
Emergency vehicle .......................................... Heavy HDV ..................................................... 324 319

1 Vehicle types are generally defined in § 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 § 1037.631(a)(1) and at least one of the criteria in
§ 1037.631(a)(2), but not both.
(2) You may generate or use emission standards of this paragraph (h) if they
credits for averaging to demonstrate use tires with TRRL at or below 7.1 kg/
compliance with the alternative stand- tonne (7.6 g/tonne for model years 2021
ards as described in subpart H of this through 2026).
part. This requires that you specify a (7) Motor homes are deemed to com-
Family Emission Limit (FEL) for CO2 ply with the standards of this para-
for each vehicle subfamily. The FEL graph (h) if they have tires with TRRL
may not be less than the result of at or below 6.0 kg/tonne (6.7 g/tonne for
emission modeling as described in model years 2021 through 2026) and
§ 1037.520. These FELs serve as the automatic tire inflation systems or
emission standards for the vehicle sub- tire pressure monitoring systems with
family instead of the standards speci- wheels on all axles.
fied in this paragraph (h). Calculate (8) Vehicles certified to standards
credits using the equation in under this paragraph (h) must use en-
§ 1037.705(b) with the standard payload gines certified under 40 CFR part 1036
for the assigned vehicle service class for the appropriate model year, except
and the useful life identified in para- that motor homes and emergency vehi-
graph (e) of this section. Each separate cles may use engines certified with the
vehicle type identified in Table 5 of loose-engine provisions of § 1037.150(m).
this section (or group of vehicle types This also applies for vehicles meeting
identified in a single row) represents a standards under paragraphs (h)(5)
separate averaging set. You may not through (7) of this section.
use averaging for vehicles meeting
standards under paragraph (h)(5) 29, 2021, § 1037.105 was amended, effective July
through (7) of this section, and you 29, 2021.
may not bank or trade emission credits
from any vehicles certified under this § 1037.106 Exhaust emission standards
paragraph (h). for tractors above 26,000 pounds
(3) [Reserved] GVWR.
(4) For purposes of emission modeling (a) The CO2 standards of this section
under § 1037.520, consider motor homes apply for tractors above 26,000 pounds
and coach buses to be subject to the GVWR. Note that the standards of this
Regional duty cycle, and consider all section do not apply for vehicles classi-
other vehicles to be subject to the fied as ‘‘vocational tractors’’ under
Urban duty cycle. § 1037.630.
(5) Emergency vehicles are deemed to (b) The CO2 standards for tractors
comply with the standards of this para- above 26,000 pounds GVWR in Table 1 of
graph (h) if they use tires with TRRL this section apply based on modeling
at or below 8.4 kg/tonne (8.7 g/tonne for and testing as described in subpart F of
model years 2021 through 2026). this part. The provisions of § 1037.241
(6) Concrete mixers and mixed-use specify how to comply with these
vehicles are deemed to comply with the standards.
225
§ 1037.106 40 CFR Ch. I (7–1–21 Edition)
TABLE 1 OF § 1037.106—CO2 STANDARDS FOR CLASS 7 AND CLASS 8 TRACTORS BY MODEL YEAR
[g/ton-mile]
Phase 1 Phase 1 Phase 2 Phase 2 Phase 2

standards for standards for standards for standards for standards for
Subcategory 1 model years model years model years model years model year
2014–2016 2017–2020 2021–2023 2024–2026 2027 and later
Class 7 Low-Roof (all cab styles) ............. 107 104 105.5 99.8 96.2
Class 7 Mid-Roof (all cab styles) .............. 119 115 113.2 107.1 103.4
Class 7 High-Roof (all cab styles) ............ 124 120 113.5 106.6 100.0
Class 8 Low-Roof Day Cab ...................... 81 80 80.5 76.2 73.4
Class 8 Low-Roof Sleeper Cab ................ 68 66 72.3 68.0 64.1
Class 8 Mid-Roof Day Cab ....................... 88 86 85.4 80.9 78.0
Class 8 Mid-Roof Sleeper Cab ................. 76 73 78.0 73.5 69.6
Class 8 High-Roof Day Cab ..................... 92 89 85.6 80.4 75.7
Class 8 High-Roof Sleeper Cab ............... 75 72 75.7 70.7 64.3
Heavy-Haul Tractors ................................. ........................ ........................ 52.4 50.2 48.3
1 Sub-category terms are defined in § 1037.801.
(c) No CH4 or N2O standards apply useful life for Class 8 tractors. Credit
under this section. See 40 CFR part 1036 provisions apply as follows:
for CH4 or N2O standards that apply to (i) If you certify all your Class 7 trac-
engines used in these vehicles. tors to Class 8 standards, you may use
(d) You may generate or use emission these Heavy HDV credits without re-
credits for averaging, banking, and striction.
trading as described in subpart H of (ii) This paragraph (f)(2)(ii) applies if
this part. This requires that you cal- you certify some Class 7 tractors to
culate a credit quantity if you specify Class 8 standards under this paragraph
a Family Emission Limit (FEL) that is (f)(2) but not all of them. If you include
different than the standard specified in Class 7 tractors in a subfamily of Class
this section for a given pollutant. The 8 tractors with an FEL below the
FEL may not be less than the result of standard, exclude the production vol-
emission modeling from § 1037.520. ume of Class 7 tractors from the credit
These FELs serve as the emission calculation. Conversely, if you include
standards for the specific vehicle sub- Class 7 tractors in a subfamily of Class
family instead of the standards speci- 8 tractors with an FEL above the
fied in paragraph (a) of this section. standard, you must include the produc-
tion volume of Class 7 tractors in the
(e) The exhaust emission standards of
credit calculation.
this section apply for the full useful
(g) Diesel auxiliary power units in-
life, expressed in service miles or cal-
stalled on tractors subject to standards
endar years, whichever comes first.
under this section must meet PM
The following useful life values apply
standards as follows:
for the standards of this section:
(1) For model years 2021 through 2023,
(1) 185,000 miles or 10 years, which- the APU engine must be certified under
ever comes first, for vehicles at or 40 CFR part 1039 with a deteriorated
below 33,000 pounds GVWR. emission level for PM at or below 0.15
(2) 435,000 miles or 10 years, which- g/kW-hr.
ever comes first, for vehicles above (2) Starting in model year 2024, auxil-
33,000 pounds GVWR. iary power units installed on tractors
(f) You may optionally certify Class 7 subject to standards under this section
tractors to Class 8 standards as follows: must be certified to the PM emission
(1) You may optionally certify 4×2 standard specified in 40 CFR 1039.699.
tractors with heavy heavy-duty en- Selling, offering for sale, or intro-
gines to the standards and useful life ducing or delivering into commerce in
for Class 8 tractors, with no restriction the United States or importing into
on generating or using emission credits the United States a new tractor subject
within the Class 8 averaging set. to this standard is a violation of 40
(2) You may optionally certify Class 7 CFR 1068.101(a)(1) unless the auxiliary
tractors not covered by paragraph (f)(1) power unit has a valid certificate of
of this section to the standards and conformity and the required label
226
showing that it meets the PM standard gate or rear hinged ramp, and at least
of this paragraph (g)(2). one of the following side features: Side
(3) See § 1037.660(e) for requirements lift gate, side-mounted pull-out plat-
that apply for diesel APUs in model form, steps for side-door access, a drop-
year 2020 and earlier tractors. deck design, or belly boxes that occupy
EFFECTIVE DATE NOTE: At 86 FR 34459, June at least half the length of both sides of
29, 2021, § 1037.106 was amended, effective July the trailer between the centerline of
29, 2021. the landing gear and the leading edge
of the front wheels. For trailers less
§ 1037.107 Emission standards for than 35 feet long, you may designate as
trailers.
‘‘non-aero box vans’’ any refrigerated
The exhaust emission standards spec- box vans with at least one of the side
ified in this section apply to trailers features identified for longer trailers.
based on the effect of trailer designs on (ii) You may designate as ‘‘partial-
the performance of the trailer in con- aero box vans’’ those box vans that
junction with a tractor; this accounts have at least one of the side features
for the effect of the trailer on the trac- identified in paragraph (a)(1)(i) of this
tor’s exhaust emissions, even though
section. Long box vans may also qual-
trailers themselves have no exhaust
ify as partial-aero box vans if they
emissions.
have a rear lift gate or rear hinged
(a) Standards apply for trailers based
on modeling and testing as described in ramp. Note that this paragraph
subpart F of this part, as follows: (a)(1)(ii) does not apply for box vans
(1) Different levels of stringency designated as ‘‘non-aero box vans’’
apply for box vans depending on fea- under paragraph (a)(1)(i) of this sec-
tures that may affect aerodynamic per- tion.
formance. You may optionally meet (iii) ‘‘Full-aero box vans’’ are box
less stringent standards for different vans that are not designated as non-
trailer types, which we characterize as aero box vans or partial-aero box vans
follows: under this paragraph (a)(1).
(i) For trailers 35 feet or longer, you (2) CO2 standards apply for full-aero
may designate as ‘‘non-aero box vans’’ box vans as specified in the following
those box vans that have a rear lift table:
TABLE 1 OF § 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
(3) CO2 standards apply for partial-

aero box vans as specified in the fol-
lowing table:
TABLE 2 OF § 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
227
§ 1037.115 40 CFR Ch. I (7–1–21 Edition)
(4) Non-box trailers and non-aero box specification within the adjustable
vans must meet standards as follows: range during any testing. See 40 CFR
(i) Trailers must use automatic tire 86.094–22 for information related to de-
inflation systems or tire pressure mon- termining whether or not an operating
itoring systems with wheels on all parameter is considered adjustable.
axles. You must ensure safe vehicle operation
(ii) Non-box trailers must use tires throughout the physically adjustable
with a TRRL at or below 5.1 kg/tonne. range of each adjustable parameter, in-
Through model year 2020, non-box cluding consideration of production
trailers may instead use tires with a tolerances. Note that adjustable roof
TRRL at or below 6.0 kg/tonne. fairings and trailer rear fairings are
(iii) Non-aero box vans must use tires deemed not to be adjustable param-
with a TRRL at or below 4.7 kg/tonne. eters.
Through model year 2020, non-aero box (b) Prohibited controls. You may not
vans may instead use tires with a design your vehicles with emission con-
TRRL at or below 5.1 kg/tonne. trol devices, systems, or elements of
(5) Starting in model year 2027, you design that cause or contribute to an
may generate or use emission credits unreasonable risk to public health,
for averaging to demonstrate compli- welfare, or safety while operating. For
ance with the standards specified in example, this would apply if the vehi-
paragraph (a)(2) of this section as de- cle emits a noxious or toxic substance
scribed in subpart H of this part. This it would otherwise not emit that con-
requires that you specify a Family tributes to such an unreasonable risk.
Emission Limit (FEL) for CO2 for each
(c) [Reserved]
vehicle subfamily. The FEL may not be
less than the result of the emission cal- (d) Defeat devices. 40 CFR 1068.101 pro-
culation in § 1037.515. The FEL may not hibits the use of defeat devices.
be greater than the appropriate stand- (e) Air conditioning leakage. Loss of
ard for model year 2018 trailers. These refrigerant from your air conditioning
FELs serve as the emission standards systems may not exceed a total leak-
for the specific vehicle subfamily in- age rate of 11.0 grams per year or a per-
stead of the standards specified in cent leakage rate of 1.50 percent per
paragraph (a) of this section. You may year, whichever is greater. This applies
not use averaging for non-box trailers, for all refrigerants. Calculate the total
partial-aero box vans, or non-aero box leakage rate in g/year as specified in 40
vans that meet standards under para- CFR 86.1867–12(a). Calculate the percent
graph (a)(3) or (a)(4) of this section, and leakage rate as: [total leakage rate (g/
you may not use emission credits for yr)] ÷ [total refrigerant capacity (g)] ×
banking or trading for any trailers. 100. Round your percent leakage rate
(6) The provisions of § 1037.241 specify to the nearest one-hundredth of a per-
how to comply with the standards of cent. This paragraph (e) does not apply
this section. for refrigeration units on trailers; simi-
(b) No CH4, N2O, or HFC standards larly, this paragraph (e) does not apply
apply under this section. for self-contained air conditioning or
(c) The emission standards of this refrigeration units on vocational vehi-
section apply for a useful life of 10 cles even if they draw electrical power
years. from engines used to propel the vehi-
cles. For purposes of this requirement,
§ 1037.115 Other requirements. ‘‘refrigerant capacity’’ is the total
Vehicles required to meet the emis- mass of refrigerant recommended by
sion standards of this part must meet the vehicle manufacturer as rep-
the following additional requirements, resenting a full charge. Where full
except as noted elsewhere in this part: charge is specified as a pressure, use
(a) Adjustable parameters. Vehicles good engineering judgment to convert
that have adjustable parameters must the pressure and system volume to a
meet all the requirements of this part mass. If air conditioning systems with
for any adjustment in the physically capacity above 3000 grams of refrig-
adjustable range. We may require that erant are designed such that a compli-
you set adjustable parameters to any ance demonstration under 40 CFR
228
86.1867–12(a) is impossible or imprac- brid system components, and devices

tical, you may ask to use alternative added to the vehicle to improve aero-
means to demonstrate that your air dynamic performance (not including
conditioning system achieves an equiv- standard components such as hoods or
alent level of control. mirrors even if they have been opti-
EFFECTIVE DATE NOTE: At 86 FR 34459, June mized for aerodynamics), to the extent
29, 2021, § 1037.115 was amended, effective July such emission-related components are
29, 2021. included in your application for certifi-
cation. The emission-related warranty
§ 1037.120 Emission-related warranty also covers other added emission-re-
requirements. lated components to the extent they
(a) General requirements. You must are included in your application for
warrant to the ultimate purchaser and certification. The emission-related
each subsequent purchaser that the warranty covers all components whose
new vehicle, including all parts of its failure would increase a vehicle’s emis-
emission control system, meets two sions of air conditioning refrigerants
conditions: (for vehicles subject to air conditioning
(1) It is designed, built, and equipped leakage standards), and it covers all
so it conforms at the time of sale to components whose failure would in-
the ultimate purchaser with the re- crease a vehicle’s evaporative emis-
quirements of this part. sions (for vehicles subject to evapo-
(2) It is free from defects in materials rative emission standards). The emis-
and workmanship that cause the vehi- sion-related warranty covers these
cle to fail to conform to the require- components even if another company
ments of this part during the applica- produces the component. Your emis-
ble warranty period. sion-related warranty does not need to
(b) Warranty period. (1) Your emis- cover components whose failure would
sion-related warranty must be valid for not increase a vehicle’s emissions of
at least: any regulated pollutant.
(i) 5 years or 50,000 miles for Light (d) Limited applicability. You may
HDV. deny warranty claims under this sec-
(ii) 5 years or 100,000 miles for Me- tion if the operator caused the problem
dium HDV (except tires). through improper maintenance or use,
(iii) 5 years for trailers (except tires). as described in 40 CFR 1068.115. For ex-
(iv) 1 year for tires installed on trail- ample, it may be appropriate to require
ers, and 2 years or 24,000 miles for all the seals on automatic tire inflation
other tires. systems to be replaced during the war-
(2) You may offer an emission-related ranty period.
warranty more generous than we re-
(e) Owners manual. Describe in the
quire. The emission-related warranty
owners manual the emission-related
for the vehicle may not be shorter than
warranty provisions from this section
any basic mechanical warranty you
that apply to the vehicle.
provide to that owner without charge
for the vehicle. Similarly, the emis- EFFECTIVE DATE NOTE: At 86 FR 34460, June
sion-related warranty for any compo- 29, 2021, § 1037.120 was amended, effective July
nent may not be shorter than any war- 29, 2021.
ranty you provide to that owner with-
out charge for that component. This § 1037.125 Maintenance instructions
means that your warranty for a given and allowable maintenance.
vehicle may not treat emission-related Give the ultimate purchaser of each
and nonemission-related defects dif- new vehicle written instructions for
ferently for any component. The war- properly maintaining and using the ve-
ranty period begins when the vehicle is hicle, including the emission control
placed into service. system. The maintenance instructions
(c) Components covered. The emission- also apply to service accumulation on
related warranty covers tires, auto- any of your emission-data vehicles. See
matic tire inflation systems, tire pres- paragraph (i) of this section for re-
sure monitoring systems, vehicle speed quirements related to tire replace-

limiters, idle-reduction systems, hy- ment.
229
§ 1037.125 40 CFR Ch. I (7–1–21 Edition)
(a) Critical emission-related mainte- operation that is not atypical, or that

nance. Critical emission-related main- the maintenance is unlikely to occur in
tenance includes any adjustment, use. If we determine that certain main-
cleaning, repair, or replacement of tenance items do not qualify as special
critical emission-related components. maintenance under this paragraph (c),
This may also include additional emis- you may identify this as recommended
sion-related maintenance that you de- additional maintenance under para-
termine is critical if we approve it in graph (b) of this section.
advance. You may schedule critical (d) Noncritical emission-related mainte-
emission-related maintenance on these nance. Subject to the provisions of this
components if you demonstrate that paragraph (d), you may schedule any
the maintenance is reasonably likely amount of emission-related inspection
to be done at the recommended inter- or maintenance that is not covered by
vals on in-use vehicles. We will accept paragraph (a) of this section (that is,
scheduled maintenance as reasonably maintenance that is neither explicitly
likely to occur if you satisfy any of the identified as critical emission-related
following conditions: maintenance, nor that we approve as
(1) You present data showing that, if critical emission-related maintenance).
a lack of maintenance increases emis- Noncritical emission-related mainte-
sions, it also unacceptably degrades nance generally includes maintenance
the vehicle’s performance. on the components we specify in 40
(2) You present survey data showing CFR part 1068, Appendix I, that is not
that at least 80 percent of vehicles in covered in paragraph (a) of this sec-
the field get the maintenance you tion. You must state in the owners
specify at the recommended intervals. manual that these steps are not nec-
(3) You provide the maintenance free essary to keep the emission-related
of charge and clearly say so in your warranty valid. If operators fail to do
maintenance instructions. this maintenance, this does not allow
(4) You otherwise show us that the you to disqualify those vehicles from
maintenance is reasonably likely to be in-use testing or deny a warranty
done at the recommended intervals. claim. Do not take these inspection or
(b) Recommended additional mainte- maintenance steps during service accu-
nance. You may recommend any addi- mulation on your emission-data vehi-
tional amount of maintenance on the cles.
components listed in paragraph (a) of (e) Maintenance that is not emission-re-
this section, as long as you state clear- lated. For maintenance unrelated to
ly that these maintenance steps are emission controls, you may schedule
not necessary to keep the emission-re- any amount of inspection or mainte-
lated warranty valid. If operators do nance. You may also take these inspec-
the maintenance specified in paragraph tion or maintenance steps during serv-
(a) of this section, but not the rec- ice accumulation on your emission-
ommended additional maintenance, data vehicles, as long as they are rea-
this does not allow you to disqualify sonable and technologically necessary.
those vehicles from in-use testing or You may perform this nonemission-re-
deny a warranty claim. Do not take lated maintenance on emission-data
these maintenance steps during service vehicles at the least frequent intervals
accumulation on your emission-data that you recommend to the ultimate
vehicles. purchaser (but not the intervals rec-
(c) Special maintenance. You may ommended for severe service).
specify more frequent maintenance to (f) Source of parts and repairs. State
address problems related to special sit- clearly in your written maintenance
uations, such as atypical vehicle oper- instructions that a repair shop or per-
ation. You must clearly state that this son of the owner’s choosing may main-
additional maintenance is associated tain, replace, or repair emission con-
with the special situation you are ad- trol devices and systems. Your instruc-
dressing. We may disapprove your tions may not require components or
maintenance instructions if we deter- service identified by brand, trade, or
mine that you have specified special corporate name. Also, do not directly
maintenance steps to address vehicle or indirectly condition your warranty
230
on a requirement that the vehicle be above 6,000 pounds or basic vehicle

serviced by your franchised dealers or frontal area above 45 square feet.
any other service establishments with (ii) If your engine will be installed in
which you have a commercial relation- a vehicle that you certify to meet diur-
ship. You may disregard the require- nal emission standards using an evapo-
ments in this paragraph (f) if you do rative canister, but you do not install
one of two things: the fuel tank, identify the maximum
(1) Provide a component or service permissible fuel tank capacity.
without charge under the purchase (5) Describe any other instructions to
agreement. make sure the vehicle will operate ac-
(2) Get us to waive this prohibition in cording to design specifications in your
the public’s interest by convincing us application for certification.
the vehicle will work properly only (c) Provide instructions in writing or
with the identified component or serv- in an equivalent format. You may in-
ice. clude this information with the incom-
(g) [Reserved] plete vehicle document required by
(h) Owners manual. Explain the own- DOT. If you do not provide the instruc-
er’s responsibility for proper mainte- tions in writing, explain in your appli-
nance in the owners manual. cation for certification how you will
(i) Tire maintenance and replacement. ensure that each installer is informed
Include instructions that will enable of the installation requirements.
the owner to replace tires so that the
vehicle conforms to the original cer- § 1037.135 Labeling.
tified vehicle configuration.
(a) Assign each vehicle a unique iden-
§ 1037.130 Assembly instructions for tification number and permanently
secondary vehicle manufacturers. affix, engrave, or stamp it on the vehi-
cle in a legible way. The vehicle identi-
(a) If you sell a certified incomplete
fication number (VIN) serves this pur-
vehicle to a secondary vehicle manu-
pose.
facturer, give the secondary vehicle
manufacturer instructions for com- (b) At the time of manufacture, affix
pleting vehicle assembly consistent a permanent and legible label identi-
with the requirements of this part. In- fying each vehicle. The label must
clude all information necessary to en- meet the requirements of 40 CFR
sure that the final vehicle assembly 1068.45.
(including the engine for vehicles other (c) The label must—
than trailers) will be in its certified (1) Include the heading ‘‘VEHICLE
configuration. EMISSION CONTROL INFORMA-
(b) Make sure these instructions have TION’’.
the following information: (2) Include your full corporate name
(1) Include the heading: ‘‘Emission- and trademark. You may identify an-
related installation instructions’’. other company and use its trademark
(2) State: ‘‘Failing to follow these in- instead of yours if you comply with the
structions when completing assembly branding provisions of 40 CFR 1068.45.
of a heavy-duty motor vehicle violates (3) Include EPA’s standardized des-
federal law, subject to fines or other ignation for the vehicle family.
penalties as described in the Clean Air (4) State the regulatory subcategory
Act.’’ that determines the applicable emis-
(3) Describe the necessary steps for sion standards for the vehicle family
installing any diagnostic system re- (see definition in § 1037.801).
quired under 40 CFR part 86. (5) State the date of manufacture
(4) Describe how your certification is [DAY (optional), MONTH, and YEAR].
limited for any type of application, as You may omit this from the label if
illustrated in the following examples: you stamp, engrave, or otherwise per-
(i) If the incomplete vehicle is at or manently identify it elsewhere on the
below 8,500 pounds GVWR, state that vehicle, in which case you must also
the vehicle’s certification is valid describe in your application for certifi-
under this part 1037 only if the final cation where you will identify the date
configuration has a vehicle curb weight on the vehicle.
231
§ 1037.140 40 CFR Ch. I (7–1–21 Edition)
(6) Identify the emission control sys- Specify design values for roof height
tem. Use terms and abbreviations as and trailer length to the nearest inch.
described in Appendix III to this part (b) Base roof height on fully inflated
or other applicable conventions. Phase tires having a static loaded radius
2 tractors and Phase 2 vocational vehi- equal to the arithmetic mean of the
cles may omit this information. largest and smallest static loaded ra-
(7) Identify any requirements for fuel dius of tires you offer or a standard
and lubricants that do not involve fuel- tire we approve.
sulfur levels. (c) Base trailer length on the outer
(8) State: ‘‘THIS VEHICLE COM- dimensions of the load-carrying struc-
PLIES WITH U.S. EPA REGULATIONS ture. Do not include aerodynamic de-
FOR [MODEL YEAR] HEAVY–DUTY vices or HVAC units.
VEHICLES.’’ (d) The nominal design specifications
(9) If you rely on another company to must be within the range of the actual
design and install fuel tanks in incom- values from production vehicles consid-
plete vehicles that use an evaporative ering normal production variability. In
canister for controlling diurnal emis- the case of roof height, use the mean
sions, include the following statement: tire radius specified in paragraph (b) of
‘‘THIS VEHICLE IS DESIGNED TO this section. If after production begins
COMPLY WITH EVAPORATIVE EMIS- it is determined that your nominal de-
SION STANDARDS WITH UP TO x sign specifications do not represent
GALLONS OF FUEL TANK CAPAC- production vehicles, we may require
ITY.’’ Complete this statement by you to amend your application for cer-
identifying the maximum specified fuel tification under § 1037.225.
tank capacity associated with your (e) If your vehicle is equipped with an
certification. adjustable roof fairing, measure the
(d) You may add information to the roof height with the fairing in its low-
emission control information label as est setting.
follows: (f) For any provisions in this part
(1) You may identify other emission that depend on the number of axles on
standards that the vehicle meets or a vehicle, include lift axles or any
does not meet (such as European stand- other installed axles that can be used
ards). to carry the vehicle’s weight while in
(2) You may add other information to motion.
ensure that the vehicle will be properly (g) The standards and other provi-
maintained and used. sions of this part apply to specific vehi-
(3) You may add appropriate features cle service classes for tractors and vo-
to prevent counterfeit labels. For ex- cational vehicles as follows:
ample, you may include the vehicle’s (1) Phase 1 and Phase 2 tractors are
unique identification number on the divided based on GVWR into Class 7
label. tractors and Class 8 tractors. Where
(e) You may ask us to approve modi- provisions apply to both tractors and
fied labeling requirements in this part vocational vehicles, Class 7 tractors
1037 if you show that it is necessary or are considered ‘‘Medium HDV’’ and
appropriate. We will approve your re- Class 8 tractors are considered ‘‘Heavy
quest if your alternate label is con- HDV’’.
sistent with the requirements of this (2) Phase 1 vocational vehicles are di-
part. vided based on GVWR. ‘‘Light HDV’’
EFFECTIVE DATE NOTE: At 86 FR 34460, June includes Class 2b through Class 5 vehi-
29, 2021, § 1037.135 was amended, effective July cles; ‘‘Medium HDV includes Class 6
29, 2021. and Class 7 vehicles; and ‘‘Heavy HDV
includes Class 8 vehicles.
§ 1037.140 Classifying vehicles and de- (3) Phase 2 vocational vehicles with
termining vehicle parameters. spark-ignition engines are divided
(a) Where applicable, a vehicle’s roof based on GVWR. ‘‘Light HDV’’ includes
height and a trailer’s length are deter- Class 2b through Class 5 vehicles, and
mined from nominal design specifica- ‘‘Medium HDV includes Class 6 through
tions, as provided in this section. Class 8 vehicles.
232
(4) Phase 2 vocational vehicles with certified. For example, if you produce
compression-ignition engines are di- three vehicle families in an averaging
vided as follows: set and you receive your certificates
(i) Class 2b through Class 5 vehicles for those families on January 4, 2013,
are considered ‘‘Light HDV’’. March 15, 2013, and April 24, 2013, you
(ii) Class 6 through 8 vehicles are may not generate credits for model
considered ‘‘Heavy HDV’’ if the in- year 2013 production in any of the fami-
stalled engine’s primary intended serv- lies that occurs before April 24, 2013.
ice class is heavy heavy-duty (see 40 Calculate credits relative to the stand-
CFR 1036.140). All other Class 6 through ard that would apply in model year 2014
Class 8 vehicles are considered ‘‘Me- using the equations in subpart H of this
dium HDV’’. part. You may bank credits equal to
(5) In certain circumstances, you the surplus credits you generate under
may certify vehicles to standards that this paragraph (a) multiplied by 1.50.
apply for a different vehicle service For example, if you have 1.0 Mg of sur-
class. For example, see §§ 1037.105(g) and plus credits for model year 2013, you
1037.106(f). If you optionally certify ve- may bank 1.5 Mg of credits. Credit defi-
hicles to different standards, those ve- cits for an averaging set prior to model
hicles are subject to all the regulatory year 2014 do not carry over to model
requirements as if the standards were year 2014. These credits may be used to
mandatory. show compliance with the standards of
(h) Use good engineering judgment to this part for 2014 and later model years.
identify the intended duty cycle We recommend that you notify EPA of
(Urban, Multi-Purpose, or Regional) for your intent to use this provision before
each of your vocational vehicle con- submitting your applications.
figurations based on the expected use (2) [Reserved]
of the vehicles. (3) You may generate emission cred-
EFFECTIVE DATE NOTE: At 86 FR 34460, June its for the number of additional
29, 2021, § 1037.140 was amended, effective July SmartWay designated tractors (rel-
29, 2021. ative to your 2012 production), provided
you do not generate credits for those
§ 1037.150 Interim provisions. vehicles under paragraph (a)(1) of this
The provisions in this section apply section. Calculate credits for each reg-
instead of other provisions in this part. ulatory subcategory relative to the
(a) Incentives for early introduction. standard that would apply in model
The provisions of this paragraph (a) year 2014 using the equations in sub-
apply with respect to tractors and vo- part H of this part. Use a production
cational vehicles produced in model volume equal to the number of des-
years before 2014. Manufacturers may ignated model year 2013 SmartWay
voluntarily certify in model year 2013 tractors minus the number of des-
(or earlier model years for electric ve- ignated model year 2012 SmartWay
hicles) to the greenhouse gas standards tractors. You may bank credits equal
of this part. to the surplus credits you generate
(1) This paragraph (a)(1) applies for under this paragraph (a)(3) multiplied
regulatory subcategories subject to the by 1.50. Your 2012 and 2013 model years
standards of § 1037.105 or § 1037.106. Ex- must be equivalent in length.
cept as specified in paragraph (a)(3) of (4) This paragraph (a)(4) applies
this section, to generate early credits where you do not receive your final
under this paragraph for any vehicles certificate in a regulatory subcategory
other than electric vehicles, you must within 30 days of submitting your final
certify your entire U.S.-directed pro- application for that subcategory. Cal-
duction volume within the regulatory culate your credits for all production
subcategory to these standards. Except that occurs 30 days or more after you
as specified in paragraph (a)(4) of this submit your final application for the
section, if some vehicle families within subcategory.
a regulatory subcategory are certified (b) Phase 1 coastdown procedures. For
after the start of the model year, you tractors subject to Phase 1 standards
may generate credits only for produc- under § 1037.106, the default method for
tion that occurs after all families are measuring drag area (CdA) is the
233
§ 1037.150 40 CFR Ch. I (7–1–21 Edition)
coastdown procedure specified in 40 vehicles (as defined in § 1037.801) are

CFR part 1066, subpart D. This includes deemed to be zero. No emission testing
preparing the tractor and the standard is required for electric vehicles. Use
trailer with wheels meeting specifica- good engineering judgment to apply
tions of § 1037.528(b) and submitting in- other requirements of this part to elec-
formation related to your coastdown tric vehicles.
testing under § 1037.528(h). (g) Compliance date. Compliance with
(c) Provisions for small manufacturers. the standards of this part was optional
Standards apply on a delayed schedule prior to January 1, 2014. This means
for manufacturers meeting the small that if your 2014 model year begins be-
business criteria specified in 13 CFR fore January 1, 2014, you may certify
121.201. Apply the small business cri- for a partial model year that begins on
teria for NAICS code 336120 for voca- January 1, 2014 and ends on the day
tional vehicles and tractors and 336212 your model year would normally end.
for trailers; the employee limits apply You must label model year 2014 vehi-
to the total number employees to- cles excluded under this paragraph (g)
gether for affiliated companies. Quali- with the following statement: ‘‘THIS
fying small manufacturers are not sub- VEHICLE IS EXCLUDED UNDER 40
ject to the greenhouse gas standards of CFR 1037.150(g).’’
§§ 1037.105 and 1037.106 for vehicles with (h) Off-road vehicle exemption. (1) Vo-
a date of manufacture before January cational vehicles with a date of manu-
1, 2022, Similarly, qualifying small facture before January 1, 2021 auto-
manufacturers are not subject to the matically qualify for an exemption
greenhouse gas standards of § 1037.107 under § 1037.631 if the tires installed on
for trailers with a date of manufacture the vehicle have a maximum speed rat-
before January 1, 2019. In addition, ing at or below 55 miles per hour.
qualifying small manufacturers pro- (2) In unusual circumstances, vehicle
ducing vehicles that run on any fuel manufacturers may ask us to exempt
other than gasoline, E85, or diesel fuel vehicles under § 1037.631 based on other
may delay complying with every later criteria that are equivalent to those
standard under this part by one model specified in § 1037.631(a); however, we
year. Qualifying manufacturers must will normally not grant relief in cases
notify the Designated Compliance Offi- where the vehicle manufacturer has
cer each model year before introducing credits or can otherwise comply with
these excluded vehicles into U.S. com- applicable standards. Request approval
merce. This notification must include for an exemption under this paragraph
a description of the manufacturer’s (h) before you produce the subject vehi-
qualification as a small business under cles. Send your request with sup-
13 CFR 121.201. You must label your exporting information to the Designated
cluded vehicles with the following Compliance Officer; we will coordinate
statement: ‘‘THIS VEHICLE IS EX- with NHTSA in making a determina-
CLUDED UNDER 40 CFR 1037.150(c).’’ tion under § 1037.210. If you introduce
Small manufacturers may certify their into U.S. commerce vehicles that de-
vehicles under this part 1037 before pend on our approval under this para-
standards start to apply; however, they graph (h) before we inform you of our
may generate emission credits only if approval, those vehicles violate 40 CFR
they certify their entire U.S.-directed 1068.101(a)(1).
production volume within the applica- (i) Limited carryover from Phase 1 to
ble averaging set for that model year. Phase 2. The provisions for carryover
(d) Air conditioning leakage for voca- data in § 1037.235(d) do not allow you to
tional vehicles. The air conditioning use aerodynamic test results from
leakage standard of § 1037.115 does not Phase 1 to support a compliance dem-
apply for model year 2020 and earlier onstration for Phase 2 certification.
vocational vehicles. (j) Limited prohibition related to early
(e) Delegated assembly. The delegated- model year engines. The provisions of
assembly provisions of § 1037.621 do not this paragraph (j) apply only for vehi-
apply before January 1, 2018. cles that have a date of manufacture
(f) Electric vehicles. Tailpipe emissions before January 1, 2018. See § 1037.635 for
of regulated pollutants from electric related provisions that apply in later
234
model years. The prohibition in (2) If you install model year 2020 en-
§ 1037.601 against introducing into U.S. gines in your vehicles in calendar year
commerce a vehicle containing an en- 2021, submit production and ABT re-
gine not certified to the standards ap- ports for those Phase 1 vehicles sepa-
plicable for the calendar year of instal- rate from the reports you submit for
lation does not apply for vehicles using Phase 2 vehicles with model year 2021
model year 2014 or 2015 spark-ignition engines.
engines, or any model year 2013 or ear- (o) Interim useful life for light heavy-
lier engines. duty vocational vehicles. Class 2b
(k) Verifying drag areas from in-use through Class 5 vocational vehicles cer-
tractors. This paragraph (k) applies for tified to Phase 1 standards are subject
tractors instead of § 1037.401(b) through to a useful life of 110,000 miles or 10
model year 2020. We may measure the years, whichever comes first, instead of
drag area of your vehicles after they the useful life specified in § 1037.105. For
have been placed into service. To ac- emission credits generated from these
count for measurement variability, Phase 1 vehicles, multiply any banked
your vehicle is deemed to conform to credits that you carry forward to dem-
the regulations of this part with re- onstrate compliance with Phase 2
spect to aerodynamic performance if standards by 1.36.
we measure its drag area to be at or (p) Credit multiplier for advanced tech-
below the maximum drag area allowed nology. If you generate credits from
for the bin above the bin to which you Phase 1 vehicles certified with ad-
certified (for example, Bin II if you cer- vanced technology, you may multiply
tified the vehicle to Bin III), unless we these credits by 1.50, except that you
determine that you knowingly pro- may not apply this multiplier in addi-
duced the vehicle to have a higher drag tion to the early-credit multiplier of
area than is allowed for the bin to paragraph (a) of this section. If you
which it was certified. generate credits from model year 2027
(l) Optional sister-vehicle certification and earlier Phase 2 vehicles certified
under 40 CFR part 86. You may certify with advanced technology, you may
certain complete or cab-complete vehi- multiply these credits by 3.5 for plug-in
cles to the GHG standards of 40 CFR hybrid electric vehicles, 4.5 for electric
86.1819 instead of the standards of vehicles, and 5.5 for fuel cell vehicles.
§ 1037.105 as specified in 40 CFR 86.1819– (q) Vehicle families for advanced and
14(j). off-cycle technologies. Apply the fol-
(m) Loose engine sales. Manufacturers lowing provisions for grouping vehicles
may certify certain spark-ignition en- into families if you use off-cycle tech-
gines along with chassis-certified nologies under § 1037.610 or advanced
heavy-duty vehicles where they are technologies under § 1037.615:
identical to engines used in those vehi- (1) For vocational vehicles and trac-
cles as described in 40 CFR 86.1819– tors subject to Phase 1 standards, cre-
14(k)(8). Vehicles in which those en- ate separate vehicle families for vehi-
gines are installed are subject to stand- cles that contain advanced or off-cycle
ards under this part as specified in technologies; group those vehicles to-
§ 1037.105. gether in a vehicle family if they use
(n) Transition to engine-based model the same advanced or off-cycle tech-
years. The following provisions apply nologies.
for production and ABT reports during (2) For vocational vehicles and trac-
the transition to engine-based model tors subject to Phase 2 standards, cre-
year determinations for tractors and ate separate vehicle families if there is
vocational vehicles in 2020 and 2021: a credit multiplier for advanced tech-
(1) If you install model year 2020 or nology; group those vehicles together
earlier engines in your vehicles in cal- in a vehicle family if they use the same
endar year 2020, include all those Phase multiplier.
1 vehicles in your production and ABT (r) Conversion to mid- roof and high-
reports related to model year 2020 com- roof configurations. Secondary vehicle
pliance, although we may require you manufacturers that qualify as small
identify these separately from vehicles manufacturers may convert low- and
produced in calendar year 2019. mid-roof tractors to mid- and high-roof
235
§ 1037.150 40 CFR Ch. I (7–1–21 Edition)
configurations without recertification (i) You are eligible for this exemp-
for the purpose of building a custom tion if you are a small manufacturer
sleeper tractor or converting it to run and you sold one or more glider vehi-
on natural gas, as follows: cles in 2014 under the provisions of
(1) The original low- or mid-roof trac- § 1037.150(c). You do not qualify if you
tor must be covered by a valid certifi- only produced glider vehicles for your
cate of conformity. own use. You must notify us of your
(2) The modifications may not in- plans to use this exemption before you
crease the frontal area of the tractor introduce exempt vehicles into U.S.
beyond the frontal area of the equiva- commerce. In your notification, you
lent mid- or high-roof tractor with the must identify your annual U.S.-di-
corresponding standard trailer. Note rected production volume (and sales, if
that these dimensions have a tolerance different) of such vehicles for calendar
of ±2 inches. Use good engineering judg- years 2010 through 2014. Vehicles you
ment to achieve aerodynamic perform- produce before notifying us are not ex-
ance similar to or better than the cer- empt under this section.
tifying manufacturer’s corresponding (ii) In a given calendar year, you may
mid- or high-roof tractor. produce up to 300 exempt vehicles
(3) Add a permanent supplemental under this section, or up to the highest
annual production volume you identify
label to the vehicle near the original
in paragraph (t)(1) of this section,
manufacturer’s emission control infor-
whichever is less.
mation label. On the label identify
(iii) Identify the number of exempt
your full corporate name and include
vehicles you produced under this ex-
the following statement: ‘‘THIS VEHI-
emption for the preceding calendar
CLE WAS MODIFIED AS ALLOWED
year in your annual report under
UNDER 40 CFR 1037.150.’’
§ 1037.250.
(4) We may require that you submit (iv) Include the appropriate state-
annual production reports as described ment on the label required under
in § 1037.250. § 1037.135, as follows:
(5) Modifications made under this (A) For Phase 1 vehicles, ‘‘THIS VE-
paragraph (r) do not violate 40 CFR HICLE AND ITS ENGINE ARE EX-
1068.101(b)(1). EMPT UNDER 40 CFR 1037.150(t)(1).’’
(s) Confirmatory testing for Falt-aero. If (B) For Phase 2 vehicles, ‘‘THE EN-
we conduct coastdown testing to verify GINE IN THIS VEHICLE IS EXEMPT
your Falt-aero value for Phase 2 tractors, UNDER 40 CFR 1037.150(t)(1).’’
we will make our determination using (v) If you produce your glider vehicle
a statistical analysis consistent with by installing remanufactured or pre-
the principles of SEA testing in viously used components in a glider kit
§ 1037.305. We will calculate confidence produced by another manufacturer,
intervals using the same equations and you must provide the following to the
will not replace your test results with glider kit manufacturer prior to ob-
ours if your result falls within our containing the glider kit:
fidence interval or is greater than our (A) Your name, the name of your
test result. company, and contact information.
(t) Glider kits and glider vehicles. (1) (B) A signed statement that you are
Glider vehicles conforming to the re- a qualifying small manufacturer and
quirements in this paragraph (t)(1) are that your production will not exceed
exempt from the Phase 1 emission the production limits of this paragraph
standards of this part 1037 prior to Jan- (t)(1). This statement is deemed to be a
uary 1, 2021. Engines in such vehicles submission to EPA, and we may re-
(including vehicles produced after Jan- quire the glider kit manufacturer to
uary 1, 2021) remain subject to the re- provide a copy to us at any time.
quirements of 40 CFR part 86 applicable (vi) This exemption is valid for a
for the engines’ original model year, given vehicle and engine only if you
but not subject to the Phase 1 or Phase meet all the requirements and condi-
2 standards of 40 CFR part 1036 unless tions of this paragraph (t)(1) that apply
they were originally manufactured in with respect to that vehicle and en-
model year 2014 or later. gine. Introducing such a vehicle into
236
U.S. commerce without meeting all ap- trailers that are exempt from the
plicable requirements and conditions standards and certification require-
violates 40 CFR 1068.101(a)(1). ments of this part. Calculate the num-
(vii) Companies that are not small ber of exempt box vans in a given
manufacturers may sell uncertified in- model year by multiplying your total
complete vehicles without engines to U.S.-directed production volume of cer-
small manufacturers for the purpose of tified box vans by 0.20 and rounding to
producing exempt vehicles under this the nearest whole number; however, in
paragraph (t)(1), subject to the provi- no case may the number of exempted
sions of § 1037.622. However, such com- box vans be greater than 350 units in
panies must take reasonable steps to any given model year. Repeat this cal-
ensure that their incomplete vehicles culation to determine the number of
will be used in conformance with the non-box trailers, up to 250 annual
requirements of this part 1037. units, that are exempt from standards
(2) Glider vehicles produced using en- and certification requirements. Per-
gines certified to model year 2010 or form the calculation based on your pro-
later standards for all pollutants are jected production volumes in the first
subject to the same provisions that year that standards apply; in later
apply to vehicles using engines within years, use actual production volumes
their useful life in § 1037.635. from the preceding model year. Include
(3) For calendar year 2017, you may these calculated values and your pro-
produce a limited number of glider kits duction volumes of exempt trailers in
and/or glider vehicles subject to the re- your annual production report under
quirements applicable to model year § 1037.250. You must apply a label meet-
2016 glider vehicles, instead of the re- ing the requirements of 40 CFR
quirements of § 1037.635. The limit ap- 1068.45(a) that identifies your corporate
plies to your combined 2017 production name and states that the trailer is ex-
of glider kits and glider vehicles and is empt under the provisions of § 1037.150.
equal to your highest annual produc- Unlabeled trailers will be considered in
tion of glider kits and glider vehicles violation of 40 CFR 1068.101(a)(1).
for any year from 2010 to 2014. Any glid- (w) Roll-up doors for non-aero box
er kits or glider vehicles produced be- vans. Through model year 2023, box
yond this cap are subject to the provi- vans may qualify for non-aero or par-
sions of § 1037.635. Count any glider kits tial-aero standards under § 1037.107 by
and glider vehicles you produce under treating roll-up rear doors as being
paragraph (t)(1) of this section as part equivalent to rear lift gates.
of your production with respect to this (x) Aerodynamic testing for trailers.
paragraph (t)(3). Section 1037.526 generally requires you
(u) Streamlined preliminary approval to adjust ΔCdA values from alternate
for trailer devices. Before January 1, test methods to be equivalent to meas-
2018, manufacturers of aerodynamic de- urements with the primary test meth-
vices for trailers may ask for prelimi- od. This paragraph (x) describes ap-
nary EPA approval of compliance data proximations that we believe are con-
for their devices based on qualifying sistent with good engineering judg-
for designation under the SmartWay ment; however, you may not use these
program based on measured CdA values, approximations where we determine
whether or not that involves testing or that clear and convincing evidence
other methods specified in § 1037.526. shows that they would significantly
Trailer manufacturers may certify overestimate actual improvements in
based on ΔCdA values established under aerodynamic performance.
this paragraph (u) through model year (1) You may presume that CFD meas-
2020. Manufacturers must perform test- urements at a yaw angle of 4.5° are
ing as specified in subpart F of this equal to measurements made using the
part for any vehicles or aerodynamic primary method, and you may use
devices not qualifying for approval them without adjustment.
under this paragraph (u). (2) You may presume that coastdown
(v) Transitional allowances for trailers. measurements at yaw angles smaller
Through model year 2026, trailer manu- than ± 4.5° are equal to measurements
facturers may calculate a number of made using the primary method, and
237
§ 1037.150 40 CFR Ch. I (7–1–21 Edition)
you may use them without adjustment. (3) Small manufacturers may gen-
This applies equally for device manu- erate emission credits for natural gas-
facturers, but it does not apply for fueled vocational vehicles as follows:
EPA testing. (i) Small manufacturers may certify
(3) You may use testing or analytical their vehicles instead of relying on the
methods to adjust coastdown measure- exemption of paragraph (c) of this sec-
ments to account for aerodynamic ef- tion. The provisions of this part apply
fects at a yaw angle of ±4.5°. This ap- for such vehicles, except as specified in
plies for rear fairings and other devices this paragraph (y)(3).
whose performance is affected by yaw (ii) Use Phase 1 GEM to determine a
angle. CO2 emission level for your vehicle,
(y) Transition to Phase 2 standards. then multiply this value by the en-
The following provisions allow for engine’s FCL for CO2 and divide by the
hanced generation and use of emission engine’s applicable CO2 emission stand-
credits from Phase 1 tractors and voca- ard.
tional vehicles for meeting the Phase 2 (z) Constraints for vocational duty cy-
standards: cles. The following provisions apply to
(1) For vocational Light HDV and vo- determinations of vocational duty cy-
cational Medium HDV, emission cred- cles as described in § 1037.140:
its you generate in model years 2018 (1) The Regional duty cycle applies if
the engine was certified based on test-
through 2021 may be used through
ing only with the ramped-modal cycle.
model year 2027, instead of being lim-
(2) The Regional duty cycle applies
ited to a five-year credit life as speci-
for coach buses and motor homes you
fied in § 1037.740(c). For Class 8 voca-
certify under § 1037.105(b).
tional vehicles with medium heavy-
(3) You may not select the Urban
duty engines, we will approve your re-
duty cycle for any vehicle with a man-
quest to generate these credits in and
ual or single-clutch automated manual
use these credits for the Medium HDV
transmission.
averaging set if you show that these
(4) Starting in model year 2024, you
vehicles would qualify as Medium HDV
must select the Regional duty cycle for
under the Phase 2 program as described
any vehicle with a manual trans-
in § 1037.140(g)(4).
mission.
(2) You may use the off-cycle provi- (5) You may select the Urban duty
sions of § 1037.610 to apply technologies cycle for a hybrid vehicle equipped
to Phase 1 vehicles as follows: with regenerative braking, unless it is
(i) You may apply an improvement equipped with a manual transmission.
factor of 0.988 for tractors and voca- (6) You may select the Urban duty
tional vehicles with automatic tire in- cycle for any vehicle with a
flation systems on all axles. hydrokinetic torque converter paired
(ii) For vocational vehicles with with an automatic transmission, or a
automatic engine shutdown systems continuously variable automatic trans-
that conform with § 1037.660, you may mission, or a dual-clutch transmission
apply an improvement factor of 0.95. with no more than two consecutive for-
(iii) For vocational vehicles with ward gears between which it is normal
stop-start systems that conform with for both clutches to be momentarily
§ 1037.660, you may apply an improve- disengaged.
ment factor of 0.92. (aa) Custom-chassis standards. The fol-
(iv) For vocational vehicles with neu- lowing provisions apply uniquely to
tral-idle systems conforming with small manufacturers under the custom-
§ 1037.660, you may apply an improve- chassis standards of § 1037.105(h):
ment factor of 0.98. You may adjust (1) You may use emission credits gen-
this improvement factor if we approve erated under § 1037.105(d), including
a partial reduction under banked or traded credits from any
§ 1037.660(a)(2); for example, if your de- averaging set. Such credits remain sub-
sign reduces fuel consumption by half ject to other limitations that apply
as much as shifting to neutral, you under subpart H of this part.
may apply an improvement factor of (2) You may produce up to 200

0.99. drayage tractors in a given model year
238
to the standards described in and may require you to apply modified

§ 1037.105(h) for ‘‘other buses’’. Treat fuel maps from that testing for certifi-
these drayage tractors as being in their cation under this part.
own averaging set. (h) The certification and testing pro-
visions of 40 CFR part 86, subpart S,
29, 2021, § 1037.150 was amended, effective July apply instead of the provisions of this
29, 2021. subpart relative to the evaporative and
refueling emission standards specified
Subpart C—Certifying Vehicle in § 1037.103, except that § 1037.245 de-
scribes how to demonstrate compliance
Families with evaporative emission standards.
§ 1037.201 General requirements for For vehicles that do not use an evapo-
obtaining a certificate of con- rative canister for controlling diurnal
formity. emissions, you may certify with re-
(a) You must send us a separate ap- spect to exhaust emissions and use the
plication for a certificate of con- provisions of § 1037.622 to let a different
formity for each vehicle family. A cer- company certify with respect to evapo-
tificate of conformity is valid from the rative emissions.
indicated effective date until the end of (i) Vehicles and installed engines
the model year for which it is issued. must meet exhaust, evaporative, and
You must renew your certification an- refueling emission standards and cer-
nually for any vehicles you continue to tification requirements in 40 CFR part
produce. 86 or 40 CFR part 1036, as applicable. In-
(b) The application must contain all clude the information described in 40
the information required by this part CFR part 86, subpart S, or 40 CFR
and must not include false or incom- 1036.205 in your application for certifi-
plete statements or information (see cation in addition to what we specify
§ 1037.255). in § 1037.205 so we can issue a single cer-
(c) We may ask you to include less tificate of conformity for all the re-
information than we specify in this quirements that apply for your vehicle
subpart, as long as you maintain all and the installed engine.
the information required by § 1037.250. EFFECTIVE DATE NOTE: At 86 FR 34461, June
(d) You must use good engineering 29, 2021, § 1037.201 was amended, effective July
judgment for all decisions related to 29, 2021.
your application (see 40 CFR 1068.5).
(e) An authorized representative of § 1037.205 What must I include in my
your company must approve and sign application?
the application. This section specifies the informa-
(f) See § 1037.255 for provisions de- tion that must be in your application,
scribing how we will process your ap- unless we ask you to include less infor-
plication. mation under § 1037.201(c). We may re-
(g) We may perform confirmatory quire you to provide additional infor-
testing on your vehicles or compo- mation to evaluate your application.
nents; for example, we may test vehi- References to testing and emission-
cles to verify drag areas or other GEM data vehicles refer to testing vehicles
inputs. This includes tractors used to or components to measure any quan-
determine Falt-aero under § 1037.525. We tity that serves as an input value for
may require you to deliver your test modeling emission rates under § 1037.515
vehicles or components to a facility we or 1037.520.
designate for our testing. Alter- (a) Describe the vehicle family’s
natively, you may choose to deliver an- specifications and other basic param-
other vehicle or component that is eters of the vehicle’s design and emis-
identical in all material respects to the sion controls. List the fuel type on
test vehicle or component, or a dif- which your vocational vehicles and
ferent vehicle or component that we tractors are designed to operate (for
determine can appropriately serve as example, ultra-low-sulfur diesel fuel).
an emission-data vehicle for the fam- (b) Explain how the emission control
ily. We may perform confirmatory test- system operates. As applicable, de-

ing on engines under 40 CFR part 1036 scribe in detail all system components
239
§ 1037.205 40 CFR Ch. I (7–1–21 Edition)
for controlling greenhouse gas emis- (3) The corporate name of the final
sions, including all auxiliary emission installer of the air conditioning sys-
control devices (AECDs) and all fuel- tem.
system components you will install on (d) Describe any vehicles or compo-
any production vehicle. Identify the nents you selected for testing and the
part number of each component you de- reasons for selecting them.
scribe. For this paragraph (b), treat as (e) Describe any test equipment and
separate AECDs any devices that mod- procedures that you used, including
ulate or activate differently from each any special or alternate test proce-
other. Also describe your modeling in- dures you used (see § 1037.501). Include
puts as described in §§ 1037.515 and information describing the procedures
1037.520, with the following additional you used to determine CdA values as
information if it applies for your vehi- specified in §§ 1037.525 through 1037.527.
cles: Describe which type of data you are
(1) Describe your design for vehicle using for engine fuel maps (see 40 CFR
speed limiters, consistent with 1036.510). If your trailer certification
§ 1037.640. relies on approved data from device
(2) Describe your design for pre- manufacturers, identify the device and
dictive cruise control. device manufacturer.
(3) Describe your design for auto- (f) Describe how you operated any
matic engine shutdown systems, con- emission-data vehicle before testing,
sistent with § 1037.660. including the duty cycle and the num-
(4) Describe your engineering anal- ber of vehicle operating miles used to
ysis demonstrating that your air condi- stabilize emission-related performance.
tioning compressor qualifies as a high- Explain why you selected the method
efficiency model as described in 40 CFR of service accumulation. Describe any
86.1868–12(h)(5). scheduled maintenance you did.
(5) Describe your design for idle-re- (g) Where applicable, list the speci-
duction technology, including the logic fications of any test fuel to show that
for engine shutdown and the maximum it falls within the required ranges we
duration of engine operation after the specify in 40 CFR part 1065.
onset of any vehicle conditions de-
(h) Identify the vehicle family’s use-
scribed in § 1037.660.
ful life.
(6) If you perform powertrain testing
under § 1037.550, report both CO2 and (i) Include the maintenance instruc-
NOX emission levels corresponding to tions and warranty statement you will
each test run. give to the ultimate purchaser of each
new vehicle (see §§ 1037.120 and 1037.125).
(7) Describe the configuration and
basic design of hybrid systems. Include (j) Describe your emission control in-
measurements for vehicles with hybrid formation label (see § 1037.135).
power take-off systems. (k) Identify the emission standards
(8) If you install auxiliary power or FELs to which you are certifying ve-
units in tractors under § 1037.106(g), hicles in the vehicle family. For fami-
identify the family name associated lies containing multiple subfamilies,
with the engine’s certification under 40 this means that you must identify the
CFR part 1039. Starting in model year highest and lowest FELs to which any
2024, also identify the family name as- of your subfamilies will be certified.
sociated with the auxiliary power (l) Where applicable, identify the ve-
unit’s certification to the standards of hicle family’s deterioration factors and
40 CFR 1039.699. describe how you developed them.
(9) Describe how you meet any appli- Present any emission test data you
cable criteria in § 1037.631(a)(1) and (2). used for this (see § 1037.241(c)).
(c) For vehicles subject to air condi- (m) Where applicable, state that you
tioning standards, include: operated your emission-data vehicles
(1) The refrigerant leakage rates as described in the application (includ-
(leak scores). ing the test procedures, test param-
(2) The type of refrigerant and the re- eters, and test fuels) to show you meet
frigerant capacity of the air condi- the requirements of this part.

tioning systems. (n) [Reserved]
240
(o) Report calculated and modeled (u) Include other applicable informa-
emission results as follows: tion, such as information specified in
(1) For vocational vehicles and trac- this part or 40 CFR part 1068 related to
tors, report modeling results for ten requests for exemptions.
configurations. Include modeling in- (v) Name an agent for service located
puts and detailed descriptions of how in the United States. Service on this
they were derived. Unless we specify agent constitutes service on you or any
otherwise, include the configuration of your officers or employees for any
with the highest modeling result, the action by EPA or otherwise by the
lowest modeling result, and the con- United States related to the require-
figurations with the highest projected ments of this part.
sales. EFFECTIVE DATE NOTE: At 86 FR 34461, June
(2) For trailers that demonstrate 29, 2021, § 1037.205 was amended, effective July
compliance with g/ton-mile emission 29, 2021.
standards as described in § 1037.515, re-
port the CO2 emission result for the § 1037.210 Preliminary approval before
configuration with the highest cal- certification.
culated value. If your trailer family If you send us information before you
generates or uses emission credits, also finish the application, we may review
report the CO2 emission results for the it and make any appropriate deter-
configuration with the lowest cal- minations. Decisions made under this
culated value, and for the configura- section are considered to be prelimi-
tion with the highest projected sales. nary approval, subject to final review
(p) Where applicable, describe all ad- and approval. We will generally not re-
justable operating parameters (see verse a decision where we have given
§ 1037.115), including production toler- you preliminary approval, unless we
ances. You do not need to include pa- find new information supporting a dif-
rameters that do not affect emissions ferent decision. If you request prelimi-
covered by your application. Include nary approval related to the upcoming
the following in your description of model year or the model year after
each parameter: that, we will make best-efforts to make
(1) The nominal or recommended set- the appropriate determinations as soon
ting. as practicable. We will generally not
(2) The intended physically adjust- provide preliminary approval related
able range. to a future model year more than two
(3) The limits or stops used to estab- years ahead of time.
lish adjustable ranges. § 1037.211 Preliminary approval for
(4) Information showing why the lim- manufacturers of aerodynamic de-
its, stops, or other means of inhibiting vices.
adjustment are effective in preventing (a) If you design or manufacture aer-
adjustment of parameters on in-use ve- odynamic devices for trailers, you may
hicles to settings outside your intended ask us to provide preliminary approval
physically adjustable ranges. for the measured performance of your
(q) [Reserved] devices. While decisions made under
(r) Unconditionally certify that all this section are considered to be pre-
the vehicles in the vehicle family com- liminary approval, we will not reverse
ply with the requirements of this part, a decision where we have given you
other referenced parts of the CFR, and preliminary approval, unless we find
the Clean Air Act. new information supporting a different
(s) Include good-faith estimates of decision. For example, where we meas-
U.S.-directed production volumes by ure the performance of your device
subfamily. We may require you to de- after giving you preliminary approval
scribe the basis of your estimates. and its measured performance is less
(t) Include the information required than your data indicated, we may re-
by other subparts of this part. For ex- scind the preliminary approval of your
ample, include the information retest results.
quired by § 1037.725 if you plan to gen- (b) To request this, you must provide
erate or use emission credits. test data for ΔCdA values as specified in
241
§ 1037.220 40 CFR Ch. I (7–1–21 Edition)
§ 1037.150(u) or § 1037.526. Trailer manu- § 1037.225 Amending applications for

facturers may use approved ΔCdA val- certification.
ues as inputs under § 1037.515 to support Before we issue you a certificate of
their application for certification. conformity, you may amend your ap-
plication to include new or modified
§ 1037.220 Amending maintenance in-
structions. vehicle configurations, subject to the
provisions of this section. After we
You may amend your emission-re- have issued your certificate of con-
lated maintenance instructions after formity, you may send us an amended
you submit your application for certifi- application requesting that we include
cation as long as the amended instruc- new or modified vehicle configurations
tions remain consistent with the provi- within the scope of the certificate, sub-
sions of § 1037.125. You must send the ject to the provisions of this section.
Designated Compliance Officer a writ- You must amend your application if
ten request to amend your application any changes occur with respect to any
for certification for a vehicle family if information that is included or should
you want to change the emission-re- be included in your application.
lated maintenance instructions in a (a) You must amend your application
way that could affect emissions. In before you take any of the following
your request, describe the proposed actions:
changes to the maintenance instruc- (1) Add any vehicle configurations to
tions. If operators follow the original a vehicle family that are not already
maintenance instructions rather than covered by your application. For exam-
the newly specified maintenance, this ple, if your application identifies three
does not allow you to disqualify those possible engine models, and you plan to
vehicles from in-use testing or deny a produce vehicles using an additional
warranty claim. engine model, then you must amend
(a) If you are decreasing or elimi- your application before producing vehi-
nating any specified maintenance, you cles with the fourth engine model. The
may distribute the new maintenance added vehicle configurations must be
instructions to your customers 30 days consistent with other vehicle configu-
after we receive your request, unless rations in the vehicle family with re-
we disapprove your request. This would spect to the criteria listed in § 1037.230.
generally include replacing one main- (2) Change a vehicle configuration al-
tenance step with another. We may ap- ready included in a vehicle family in a
prove a shorter time or waive this re- way that may change any of the com-
quirement. ponents you described in your applica-
(b) If your requested change would tion for certification, or make any
not decrease the specified mainte- other changes that would make the
nance, you may distribute the new emissions inconsistent with the infor-
maintenance instructions any time mation in your application. This in-
after you send your request. For exam- cludes production and design changes
ple, this paragraph (b) would cover add- that may affect emissions any time
ing instructions to increase the fre- during the vehicle’s lifetime.
quency of filter changes for vehicles in (3) Modify an FEL for a vehicle fam-
severe-duty applications. ily as described in paragraph (f) of this
(c) You need not request approval if section.
you are making only minor corrections (b) To amend your application for
(such as correcting typographical mis- certification, send the relevant infor-
takes), clarifying your maintenance in- mation to the Designated Compliance
structions, or changing instructions for Officer.
maintenance unrelated to emission (1) Describe in detail the addition or
control. We may ask you to send us change in the vehicle model or configu-
copies of maintenance instructions re- ration you intend to make.
vised under this paragraph (c). (2) Include engineering evaluations or

data showing that the amended vehicle
242
family complies with all applicable re- paragraph (f). You may ask us to ap-
quirements. You may do this by show- prove a change to your FEL in the fol-
ing that the original emission-data ve- lowing cases:
hicle is still appropriate for showing (1) You may ask to raise your FEL
that the amended family complies with for your vehicle subfamily at any time.
all applicable requirements. In your request, you must show that
(3) If the original emission-data vehi- you will still be able to meet the emis-
cle or emission modeling for the vehi- sion standards as specified in subparts
cle family is not appropriate to show B and H of this part. Use the appro-
compliance for the new or modified ve- priate FELs with corresponding pro-
hicle configuration, include new test
duction volumes to calculate emission
data or emission modeling showing
credits for the model year, as described
that the new or modified vehicle con-
figuration meets the requirements of in subpart H of this part.
this part. (2) Where testing applies, you may
(4) Include any other information ask to lower the FEL for your vehicle
needed to make your application cor- subfamily only if you have test data
rect and complete. from production vehicles showing that
(c) We may ask for more test data or emissions are below the proposed lower
engineering evaluations. You must give FEL. Otherwise, you may ask to lower
us these within 30 days after we request your FEL for your vehicle subfamily at
them. any time. The lower FEL applies only
(d) For vehicle families already cov- to vehicles you produce after we ap-
ered by a certificate of conformity, we prove the new FEL. Use the appro-
will determine whether the existing priate FELs with corresponding pro-
certificate of conformity covers your duction volumes to calculate emission
newly added or modified vehicle. You credits for the model year, as described
may ask for a hearing if we deny your in subpart H of this part.
request (see § 1037.820). (3) You may ask to add an FEL for
(e) For vehicle families already cov- your vehicle family at any time.
ered by a certificate of conformity, you
(g) You may produce vehicles as de-
may start producing the new or modi-
scribed in your amended application
fied vehicle configuration any time
after you send us your amended appli- for certification and consider those ve-
cation and before we make a decision hicles to be in a certified configuration
under paragraph (d) of this section. if we approve a new or modified vehicle
However, if we determine that the af- configuration during the model year
fected vehicles do not meet applicable under paragraph (d) of this section.
requirements, we will notify you to Similarly, you may modify in-use vehi-
cease production of the vehicles and cles as described in your amended ap-
may require you to recall the vehicles plication for certification and consider
at no expense to the owner. Choosing those vehicles to be in a certified con-
to produce vehicles under this para- figuration if we approve a new or modi-
graph (e) is deemed to be consent to re- fied vehicle configuration at any time
call all vehicles that we determine do under paragraph (d) of this section.
not meet applicable emission standards Modifying a new or in-use vehicle to be
or other requirements and to remedy in a certified configuration does not
the nonconformity at no expense to the violate the tampering prohibition of 40
owner. If you do not provide informa- CFR 1068.101(b)(1), as long as this does
tion required under paragraph (c) of not involve changing to a certified con-
this section within 30 days after we re- figuration with a higher family emis-
quest it, you must stop producing the sion limit. See § 1037.621(g) for special
new or modified vehicles. provisions that apply for changing to a
(f) You may ask us to approve a different certified configuration in cer-
change to your FEL in certain cases
tain circumstances.
after the start of production. The
changed FEL may not apply to vehicles EFFECTIVE DATE NOTE: At 86 FR 34462, June
you have already introduced into U.S. 29, 2021, § 1037.225 was amended, effective July
commerce, except as described in this 29, 2021.
243
§ 1037.230 40 CFR Ch. I (7–1–21 Edition)
§ 1037.230 Vehicle families, sub-fami- This involves 15 separate subcategories

lies, and configurations. for Phase 2 vehicles to account for en-
(a) For purposes of certifying your gine characteristics, GVWR, and the
vehicles to greenhouse gas standards, selection of duty cycle for vocational
divide your product line into families vehicles as specified in § 1037.510; vehi-
of vehicles based on regulatory subcat- cles may additionally fall into one of
egories as specified in this section. the subcategories defined by the cus-
Subcategories are specified using terms tom-chassis standards in § 1037.105(h).
defined in § 1037.801. Your vehicle fam- Divide Phase 1 vehicles into three
ily is limited to a single model year. GVWR-based vehicle service classes as
(1) Apply subcategories for voca- shown in Table 1 of this section, dis-
tional vehicles and vocational tractors regarding additional specified charac-
as shown in Table 1 of this section. teristics. Table 1 follows:
TABLE 1 OF § 1037.230—VOCATIONAL VEHICLE SUBCATEGORIES
Engine cycle Light HDV Medium HDV Heavy HDV
Compression-ignition Urban ......................... Urban ......................... Urban.

Multi-Purpose ............ Multi-Purpose ............ Multi-Purpose.
Regional .................... Regional .................... Regional.
Spark-ignition ............. Urban ......................... Urban.
Multi-Purpose ............ Multi-Purpose.
Regional .................... Regional.
(2) Apply subcategories for tractors cles may additionally fall into one of
(other than vocational tractors) as the subcategories defined by the op-
shown in Table 2 of this section. Vehi- tional tractor standards in § 1037.670.
TABLE 2 OF § 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 you may add subfamilies at any time
shown in the following table: during the model year.
(c) Group vehicles into configura-
TABLE 3 OF § 1037.230—TRAILER tions consistent with the definition of
SUBCATEGORIES ‘‘vehicle configuration’’ in § 1037.801.
Full-aero trailers Partial-aero trailers Other trailers Note that vehicles with hardware or
software differences that are related to
Long dry box vans Long dry box vans Non-aero trailers.
Short dry box vans Short dry box vans Non-box trailers. measured or modeled emissions are
Long refrigerated Long refrigerated considered to be different vehicle con-
box vans. box vans.. figurations even if they have the same
Short refrigerated Short refrigerated
box vans. box vans..
modeling inputs and FEL. Note also,
that you are not required to separately
(b) If the vehicles in your family are identify all configurations for certifi-
being certified to more than one FEL, cation. Note that you are not required
subdivide your greenhouse gas vehicle to identify all possible configurations
families into subfamilies that include for certification; also, you are required
vehicles with identical FELs. Note that to include in your end-of-year report
244
only those configurations you pro- tractors with a measured CdA value of
duced. 4.2 m2, they qualify as Bin IV; and you
(d) You may combine dissimilar vehi- must input into GEM the mid-roof Bin
cles into a single vehicle family in spe- IV value of 5.85 m2.
cial circumstances as follows: (3) You may include refrigerated box
(1) For a Phase 1 vehicle model that vans in a vehicle family with dry box
straddles a roof-height, cab type, or vans by treating them all as dry box
GVWR division, you may include all vans for demonstrating compliance
the vehicles in the same vehicle family with emission standards. You may in-
if you certify the vehicle family to the clude certain other types of trailers in
more stringent standard. For roof a vehicle family with a different type
height, this means you must certify to of trailer, such that the combined set
the taller roof standards. For cab-type of trailers are all subject to the more
and GVWR, this means you must cer- stringent standards, as follows:
tify to the numerically lower stand- (i) Standards for long trailers are
ards. more stringent than standards for
(2) For a Phase 2 vehicle model that short trailers.
includes a range of GVWR values that (ii) Standards for long dry box vans
straddle weight classes, you may in- are more stringent than standards for
clude all the vehicles in the same vehi- short refrigerated box vans.
cle family if you certify the vehicle (iii) Standards for non-aero box vans
family to the numerically lower CO2 are more stringent than standards for
emission standard from the affected non-box trailers.
service classes. Vehicles that are op- (e) You may divide your families into
tionally certified to a more stringent more families than specified in this
standard under this paragraph (d)(2) section.
are subject to useful-life and all other (f) You may ask us to allow you to
provisions corresponding to the weight group into the same configuration ve-
class with the numerically lower CO2 hicles that have very small body hard-
emission standard. For a Phase 2 trac- ware differences that do not signifi-
tor model that includes a range of roof cantly affect drag areas.
heights that straddle subcategories, EFFECTIVE DATE NOTE: At 86 FR 34462, June
you may include all the vehicles in the 29, 2021, § 1037.230 was amended, effective July
same vehicle family if you certify the 29, 2021.
vehicle family to the appropriate sub-
category as follows: § 1037.231 Powertrain families.
(i) You may certify mid-roof tractors (a) If you choose to perform
as high-roof tractors, but you may not powertrain testing as specified in
certify high-roof tractors as mid-roof § 1037.550, use good engineering judg-
tractors. ment to divide your product line into
(ii) For tractor families straddling powertrain families that are expected
the low-roof/mid-roof division, you to have similar fuel consumptions and
may certify the family based on the CO2 emission characteristics through-
primary roof-height as long as no more out the useful life. Your powertrain
than 10 percent of the tractors are cer- family is limited to a single model
tified to the otherwise inapplicable year.
subcategory. For example, if 95 percent (b) Except as specified in paragraph
of the tractors in the family are less (c) of this section, group powertrains in
than 120 inches tall, and the other 5 the same powertrain family if they
percent are 122 inches tall, you may share all the following attributes:
certify the tractors as a single family (1) Engine family.
in the low-roof subcategory. (2) Shared vehicle service class
(iii) Determine the appropriate aero- grouping, as follows:
dynamic bin number based on the ac- (i) Light HDV or Medium HDV.
tual roof height if you measure a CdA (ii) Heavy HDV other than heavy-
value. However, use the GEM input for haul tractors.
the bin based on the standards to which (iii) Heavy-haul tractors.
you certify. For example, of you certify (3) Number of clutches.

as mid-roof tractors some low-roof (4) Type of clutch (e.g., wet or dry).
245
§ 1037.232 40 CFR Ch. I (7–1–21 Edition)
(5) Presence and location of a fluid EFFECTIVE DATE NOTE: At 86 FR 34462, June
coupling such as a torque converter. 29, 2021, § 1037.231 was amended, effective July
29, 2021.
(6) Gear configuration, as follows:
(i) Planetary (e.g., simple, compound, § 1037.232 Axle and transmission fami-
meshed-planet, stepped-planet, multi- lies.
stage). (a) If you choose to perform axle test-
(ii) Countershaft (e.g., single, double, ing as specified in § 1037.560 or trans-
triple). mission testing as specified in
(iii) Continuously variable (e.g., pul- § 1037.565, use good engineering judg-
ley, magnetic, toroidal). ment to divide your product line into
(7) Number of available forward axle or transmission families that are
gears, and transmission gear ratio for expected to have similar hardware,
each available forward gear, if applica- noting that efficiencies can differ
ble. across the members of a family. Note
(8) Transmission oil sump configura- that, while there is no certification for
tion (e.g., conventional or dry). axle and transmission families under
(9) The power transfer configuration this part, vehicle manufacturers may
of any hybrid technology (e.g., series or rely on axle and transmission test data
parallel). to certify their vehicles.
(b) Except as specified in paragraph
(10) The energy storage device and
(d) of this section, group axles in the
capacity of any hybrid technology (e.g., same axle family if they have the same
10 MJ hydraulic accumulator, 10 kW·hr number of drive axles and the same
Lithium-ion battery pack, 10 MJ load rating.
ultracapacitor bank). (c) Except as specified in paragraph
(11) The rated output of any hybrid (d) of this section, group transmissions
mechanical power technology (e.g., 50 in the same transmission family if they
kW electric motor). share all the following attributes:
(c) For powertrains that share all the (1) Number and type of clutches (wet
attributes described in paragraph (b) of or dry).
this section, divide them further into (2) Presence and location of a fluid
separate powertrain families based on coupling such as a torque converter.
common calibration attributes. Group (3) Gear configuration, as follows:
powertrains in the same powertrain (i) Planetary (e.g., simple, compound,
family to the extent that powertrain meshed-planet, stepped-planet, multi-
test results and corresponding emission stage).
levels are expected to be similar (ii) Countershaft (e.g., single, double,
throughout the useful life. triple).
(d) You may subdivide a group of (iii) Continuously variable (e.g., pul-
ley, magnetic, toroidal). Note that
powertrains with shared attributes
GEM does not accommodate efficiency
under paragraph (b) of this section into
testing for continuously variable trans-
different powertrain families.
missions.
(e) In unusual circumstances, you (4) Transmission oil sump configura-
may group powertrains into the same tion (conventional or dry).
powertrain family even if they do not (d) You may subdivide a group of
have shared attributes under in para- axles or powertrains with shared at-
graph (b) of this section if you show tributes under paragraph (b) or (c) of
that their emission characteristics this section into different families.
throughout the useful life will be simi-
lar. § 1037.235 Testing requirements for
(f) If you include the axle when per- certification.
forming powertrain testing for the This section describes the emission
family, you must limit the family to testing you must perform to show com-
include only those axles represented by pliance with respect to the greenhouse
the test results. You may include mul- gas emission standards in subpart B of
tiple axle ratios in the family if you this part, and to determine any input
test with the axle expected to produce values from §§ 1037.515 and 1037.520 that
the highest emission results. involve measured quantities.
246
(a) Select emission-data vehicles that (3) Before we test one of your vehi-
represent production vehicles and com- cles or components, we may set its ad-
ponents for the vehicle family con- justable parameters to any point with-
sistent with the specifications in in the physically adjustable ranges, if
§§ 1037.205(o), 1037.515, and 1037.520. applicable.
Where the test results will represent (4) Before we test one of your vehi-
multiple vehicles or components with cles or components, we may calibrate
different emission performance, use it within normal production tolerances
good engineering judgment to select for anything we do not consider an ad-
worst-case emission data vehicles or justable parameter. For example, this
components. In the case of powertrain would apply for a vehicle parameter
testing under § 1037.550, select a test en- that is subject to production varia-
gine and test transmission by consid- bility because it is adjustable during
ering the whole range of vehicle models production, but is not considered an
covered by the powertrain family and adjustable parameter (as defined in
the mix of duty cycles specified in § 1037.801) because it is permanently
§ 1037.510. sealed. For parameters that relate to a
(b) Test your emission-data vehicles level of performance that is itself sub-
(including emission-data components) ject to a specified range (such as max-
using the procedures and equipment imum power output), we will generally
specified in subpart F of this part. perform any calibration under this
Measure emissions (or other param- paragraph (c)(4) in a way that keeps
eters, as applicable) using the specified performance within the specified
procedures. range. Note that this paragraph (c)(4)
(c) We may perform confirmatory does not allow us to test your vehicles
testing by measuring emissions (or in a condition that would be unrepre-
other parameters, as applicable) from sentative of production vehicles.
any of your emission-data vehicles.
(d) You may ask to use carryover
(1) We may decide to do the testing
data for a vehicle or component from a
at your plant or any other facility. If
previous model year instead of doing
we do this, you must deliver the vehi-
new tests if the applicable emission-
cle or component to a test facility we
data vehicle from the previous model
designate. The vehicle or component
year remains the appropriate emission-
you provide must be in a configuration
data vehicle under paragraph (b) of this
that is suitable for testing. For exam-
section.
ple, vehicles must have the tires you
used for testing, and tractors must be (e) We may require you to test a sec-
set up with the trailer you used for ond vehicle or component of the same
testing. If we do the testing at your configuration in addition to the vehicle
plant, you must schedule it as soon as or component tested under paragraph
possible and make available the instru- (a) of this section.
ments, personnel, and equipment we (f) If you use an alternate test proce-
need (see paragraph (g) of this section dure under 40 CFR 1065.10 and later
for provisions that apply specifically testing shows that such testing does
for testing a tractor’s aerodynamic not produce results that are equivalent
performance). to the procedures specified in subpart F
(2) If we measure emissions (or other of this part, we may reject data you
parameters, as applicable) from your generated using the alternate proce-
vehicle or component, the results of dure.
that testing become the official emis- (g) We may perform testing to verify
sion results for the vehicle or compo- your aerodynamic drag area values
nent. Note that changing the official using any method specified in subpart
emission result does not necessarily re- F of this part. The following additional
quire a change in the declared mod- provisions apply:
eling input value. Unless we later in- (1) We intend to use the same aero-
validate these data, we may decide not dynamic test facility you used, and if
to consider your data in determining if you provide any instruments you used,
your vehicle family meets applicable we intend to use those instruments to

requirements. perform our testing.
247
§ 1037.241 40 CFR Ch. I (7–1–21 Edition)
(2) We may perform coastdown test- emission standards in §§ 1037.105

ing to verify your tractor drag area for through 1037.107 if the sum of positive
any certified configuration. If you use and negative credits for all vehicle con-
an alternate method for determining figurations in those vehicle families
aerodynamic drag area for tractors, we lead to a zero balance or a positive bal-
may perform testing to verify Falt-aero as ance of credits, except as allowed
specified in subpart F of this part. by§ 1037.745. Note that the FEL is con-
(3) We may test trailers (and devices sidered to be the applicable emission
receiving preliminary approval) using standard for an individual configura-
the wind-tunnel method described in tion.
§ 1037.530. We may also test using an al- (b) For non-box trailers and non-aero
ternate method; however, we will de- box vans, your vehicle family is consid-
termine how to appropriately correct ered in compliance with the emission
or correlate those results to testing standards if all vehicle configurations
with the wind-tunnel method. in that family meet specified design
(h) You may ask us to use analyt- standards and have TRRL values at or
ically derived GEM inputs for untested below the specified standard. Your fam-
configurations as identified in subpart ily is deemed not to comply for certifi-
F of this part based on interpolation of cation if any trailer does not meet
all relevant measured values for re- specified design standards or if any ve-
lated configurations, consistent with hicle configuration in that family has a
good engineering judgment. We may measured TRRL value above the speci-
establish specific approval criteria base fied standard.
on prevailing industry practice. If we (c) We may require you to provide an
allow this, we may test any configura- engineering analysis showing that the
tions. We may also require you to test performance of your emission controls
any configurations as part of a selec- will not deteriorate during the useful
tive enforcement audit. life with proper maintenance. If we de-
EFFECTIVE DATE NOTE: At 86 FR 34462, June termine that your emission controls
29, 2021, § 1037.235 was amended, effective July are likely to deteriorate during the
29, 2021. useful life, we may require you to de-
velop and apply deterioration factors
§ 1037.241 Demonstrating compliance consistent with good engineering judg-
with exhaust emission standards ment. For example, you may need to
for greenhouse gas pollutants. apply a deterioration factor to address
(a) Compliance determinations for deterioration of battery performance
purposes of certification depend on for a hybrid electric vehicle. Where the
whether or not you participate in the highest useful life emissions occur be-
ABT program in subpart H of this part. tween the end of useful life and at the
(1) If none of your vehicle families low-hour test point, base deterioration
generate or use emission credits in a factors for the vehicles on the dif-
given model year,, each of your vehicle ference between (or ratio of) the point
families is considered in compliance at which the highest emissions occur
with the CO2 emission standards in and the low-hour test point.
§§ 1037.105 through 1037.107 if all vehicle
configurations in the family have cal- § 1037.243 Demonstrating compliance
culated or modeled CO2 emission rates with evaporative emission stand-
from § 1037.515 or § 1037.520 that are at ards.
or below the applicable standards. A (a) For purposes of certification, your
vehicle family is deemed not to comply vehicle family is considered in compli-
if any vehicle configuration in the fam- ance with the evaporative emission
ily has a calculated or modeled CO2 standards in subpart B of this part if
emission rate that is above the applica- you prepare an engineering analysis
ble standard. showing that your vehicles in the fam-
(2) If you generate or use emission ily will comply with applicable stand-
credits with one or more vehicle fami- ards throughout the useful life, and
lies in a given model year, your vehicle there are no test results from an emis-
families within an averaging set are sion-data vehicle representing the fam-
considered in compliance with the CO2 ily that exceed an emission standard.
248
(b) Your evaporative emission family (b) Organize and maintain the fol-
is deemed not to comply if your engi- lowing records:
neering analysis is not adequate to (1) A copy of all applications and any
show that all the vehicles in the family summary information you send us.
will comply with applicable emission (2) Any of the information we specify
standards throughout the useful life, or in § 1037.205 that you were not required
if a test result from an emission-data to include in your application.
vehicle representing the family exceeds (3) A detailed history of each emis-
an emission standard. sion-data vehicle (including emission-
(c) To compare emission levels with
related components), if applicable.
emission standards, apply deteriora-
(4) Production figures for each vehi-
tion factors to the measured emission
cle family divided by assembly plant.
levels. Establish an additive deteriora-
tion factor based on an engineering (5) Keep a list of vehicle identifica-
analysis that takes into account the tion numbers for all the vehicles you
expected aging from in-use vehicles. produce under each certificate of con-
(d) Apply the deterioration factor to formity. Also identify the technologies
the official emission result, as de- that make up the certified configura-
scribed in paragraph (c) of this section, tion for each vehicle you produce.
then round the adjusted figure to the (c) Keep required data from emission
same number of decimal places as the tests and all other information speci-
emission standard. Compare the round- fied in this section for eight years after
ed emission levels to the emission we issue your certificate. If you use the
standard for each emission-data vehi- same emission data or other informa-
cle. tion for a later model year, the eight-
(e) Your analysis to demonstrate year period restarts with each year
compliance with emission standards that you continue to rely on the infor-
must take into account your design mation.
strategy for vehicles that require test- (d) Store these records in any format
ing. Specifically, vehicles above 14,000 and on any media, as long as you can
pounds GVWR are presumed to need promptly send us organized, written
the same technologies that are re- records in English if we ask for them.
quired for heavy-duty vehicles at or You must keep these records readily
below 14,000 pounds GVWR. Similarly, available. We may review them at any
your analysis to establish a deteriora- time.
tion factor must take into account (e) If you fail to properly keep
your testing to establish deterioration records or to promptly send us infor-
factors for smaller vehicles. mation as required under this part, we
EFFECTIVE DATE NOTE: At 86 FR 34463, June may require that you submit the infor-
29, 2021, § 1037.243 was amended, effective July mation specified in this section after
29, 2021. each calendar quarter, and we may re-
quire that you routinely send us infor-
§ 1037.250 Reporting and record- mation that the regulation requires
keeping. you to submit only if we request it. If
(a) Within 90 days after the end of the we find that you are fraudulent or
model year, send the Designated Com- grossly negligent or otherwise act in
pliance Officer a report including the bad faith regarding information report-
total U.S.-directed production volume ing and recordkeeping, we may require
of vehicles you produced in each vehi- that you send us a detailed description
cle family during the model year of the certified configuration for each
(based on information available at the vehicle before you produce it.
time of the report). Report by vehicle
identification number and vehicle con- § 1037.255 What decisions may EPA
figuration and identify the subfamily make regarding my certificate of
identifier. Report uncertified vehicles conformity?
sold to secondary vehicle manufactur- (a) If we determine your application
ers. We may waive the reporting re- is complete and shows that the vehicle
quirements of this paragraph (a) for family meets all the requirements of
small manufacturers. this part and the Act, we will issue a
249
§ 1037.301 40 CFR Ch. I (7–1–21 Edition)
certificate of conformity for your vehi- EFFECTIVE DATE NOTE: At 86 FR 34463, June
cle family for that model year. We may 29, 2021, § 1037.255 was amended, effective July
make the approval subject to addi- 29, 2021.
tional conditions.
(b) We may deny your application for Subpart D—Testing Production
certification if we determine that your Vehicles and Engines
vehicle family fails to comply with
emission standards or other require- § 1037.301 Overview of measurements
ments of this part or the Clean Air Act. related to GEM inputs in a selective
We will base our decision on all avail- enforcement audit.
able information. If we deny your ap- (a) We may require you to perform
plication, we will explain why in writ- selective enforcement audits under 40
ing. CFR part 1068, subpart E, with respect
(c) In addition, we may deny your ap- to any GEM inputs in your application
plication or suspend or revoke your
for certification. Sections 1037.305
certificate if you do any of the fol-
through 1037.315 describe how this ap-
lowing:
plies uniquely in certain cir-
(1) Refuse to comply with any testing
cumstances.
or reporting requirements.
(2) Submit false or incomplete infor- (b) A selective enforcement audit for
mation (paragraph (e) of this section this part 1037 consists of performing
applies if this is fraudulent). This in- measurements with production vehi-
cludes doing anything after submission cles relative to one or more declared
of your application to render any of the values for GEM inputs, and using those
submitted information false or incom- measured values in place of your de-
plete. clared values to run GEM. Except as
(3) Render any test data inaccurate. specified in this subpart, the vehicle is
(4) Deny us from completing author- considered passing if the new modeled
ized activities (see 40 CFR 1068.20). This emission result is at or below the mod-
includes a failure to provide reasonable eled emission result corresponding to
assistance. the declared GEM inputs. If you report
(5) Produce vehicles for importation an FEL for the vehicle configuration
into the United States at a location before the audit, we will instead con-
where local law prohibits us from car- sider the vehicle passing if the new
rying out authorized activities. cycle-weighted emission result
(6) Fail to supply requested informa- matches or exceeds the efficiency im-
tion or amend your application to in- provement is at or below the FEL.
clude all vehicles being produced. (c) We may audit your production
(7) Take any action that otherwise components and your records to con-
circumvents the intent of the Act or firm that physical parameters are cor-
this part, with respect to your vehicle rect, such as dimensional accuracy and
family. material selection. We may also audit
(d) We may void the certificate of
your records to confirm that you are
conformity for a vehicle family if you
properly documenting the certified
fail to keep records, send reports, or
configurations of production vehicles.
give us information as required under
this part or the Act. Note that these (d) Selective enforcement audit pro-
are also violations of 40 CFR visions for fuel maps apply to engine
1068.101(a)(2). manufacturers as specified in 40 CFR
(e) We may void your certificate if we 1036.301. See § 1037.315 for selective en-
find that you intentionally submitted forcement audit provisions applicable
false or incomplete information. This to powertrain fuel maps.
includes rendering submitted informa- (e) We may suspend or revoke certifi-
tion false or incomplete after submis- cates based on the outcome of a selec-
sion. tive enforcement audit for any appro-
(f) If we deny your application or sus- priate configurations within one or
pend, revoke, or void your certificate, more vehicle families.
you may ask for a hearing (see (f) We may apply selective enforce-
§ 1037.820). ment audit provisions with respect to
250
off-cycle technologies, with any nec- measurement with the vehicle in its
essary modifications, consistent with production configuration according to
good engineering judgment. § 1037.528. Instead of the process de-
EFFECTIVE DATE NOTE: At 86 FR 34463, June scribed in § 1037.528(h)(12), determine
29, 2021, § 1037.301 was amended, effective July your test result as described in this
29, 2021. paragraph (a). You must have an equal
number of runs in each direction.
§ 1037.305 Audit procedures for trac- (2) Measure a yaw curve for your test
tors—aerodynamic testing.
vehicle using your alternate method
To perform a selective enforcement according to § 1037.525(b)(3). You do not
audit with respect to drag area for need to test at the coastdown effective.
tractors, use the reference method You may use a previously established
specified in § 1037.525; we may instead
yaw curve from your certification test-
require you to use the same method
ing if it is available.
you used for certification. The fol-
lowing provisions apply instead of 40 (3) Using this yaw curve, perform a
CFR 1068.420 for a selective enforce- regression using values of drag area,
ment audit with respect to drag area: CdAalt, and yaw angle, ψalt, to determine
(a) Determine whether or not a trac- the air-direction correction coeffi-
tor fails to meet standards as follows: cients, a0, a1, a2, a3, and a4, for the fol-
(1) We will select a vehicle configura- lowing equation:
tion for testing. Perform a coastdown
(4) Adjust the drag area value from represent a wind-averaged drag area
each coastdown run, CdArun, from the value, CdAwa by applying Eq. 1037.305–1
yaw angle of each run, ψrun, to ±4.5° to as follows:
(5) Perform additional coastdown drag area value for the test CdAwa by
measurements until you reach a pass averaging all CdAwa-run values for all
or fail decision under this paragraph days of testing. Determine the upper
(a). and lower bounds of the drag area
(6) Calculate statistical values to value, CdAwa-bounded, expressed to two
characterize cumulative test results at decimal places, using a confidence in-
least once per day based on an equal terval as follows:
number of coastdown runs in each di-
rection. Determine the wind-averaged
ER25OC16.084</GPH>
251
ER25OC16.083</GPH>
§ 1037.305 40 CFR Ch. I (7–1–21 Edition)
Where: fail decision for the family based on

CdAwa-boundeded = the upper bound, CdAwa-upper, one of the following criteria:
and lower bound, CdAwa-lower, of the drag (1) The emission family passes if at
area value, where CdAwa-upper is the larger any point more than 50 percent of the
number. vehicles have reached a pass decision.
CdAwa = the average of all CdAwa-run values. (2) The emission family fails if six ve-
σ = the standard deviation of all CdArun values
(see 40 CFR 1065.602(c)).
hicles reach a fail decision.
n = the total number of coastdown runs. (3) The emission family passes if you
test 11 vehicles with five or fewer vehi-
(7) Compliance is determined based cles reaching a fail decision.
on the values of CdAwa-upper and CdAwa-lower (4) The emission family fails if you
relative to the adjusted bin boundary. choose to stop testing before reaching
For purposes of this section, the upper a final determination under this para-
limit of a bin is expressed as the speci- graph (b).
fied value plus 0.05 to account for (c) We may suspend a certificate of
rounding. For example, for a bin in- conformity as described in 40 CFR
cluding values of 5.5–5.9 m2, being 1068.430 if your emission family fails an
above the upper limit means exceeding SEA, subject to the following provi-
5.95. The vehicle reaches a pass or fail sions:
decision relative to the adjusted bin (1) We may reinstate a suspended cer-
boundary based on one of the following tificate if you revise Falt-aero or make
criteria: other changes to your testing method-
(i) The vehicle passes if CdAwa-upper is ology to properly correlate your test-
less than or equal to the upper limit of ing to the reference method specified
the bin to which you certified the vehi- in § 1037.525.
cle. (2) We may require you to apply any
(ii) The vehicle fails if CdAwa-lower is adjustments and corrections deter-
greater than the upper limit of the bin mined under paragraph (c)(1) of this
to which you certified the vehicle. section to your other emission families
(iii) The vehicle passes if you perform in any future application for certifi-
100 coastdown runs and CdAwa-upper is cation.
greater than and CdAwa-lower is lower (d) If we test some of your vehicles in
than the upper limit of the bin to addition to your testing, we may de-
which you certified the vehicle. cide not to include your test results as
(iv) The vehicle fails if you choose to official data for those vehicles if there
stop testing before reaching a final de- is substantial disagreement between
termination under this paragraph your testing and our testing. We will
(a)(7). reinstate your data as valid if you
(b) If you reach a pass decision on the show us that we made an error and
first test vehicle, the emission family your data are correct. If we perform
passes the SEA and you may stop test- testing, we may choose to stop testing
ing. If you reach a fail decision on the after any number of tests and not de-
first test vehicle, repeat the testing determine a failure.
scribed in paragraph (a) of this section (e) If we rely on our test data instead
for two additional vehicles of the same of yours, we will notify you in writing
configuration, or of a different configu- of our decision and the reasons we be-
ration that we specify. Continue test- lieve your facility is not appropriate
ing two additional vehicles for each for doing the tests we require under
failing vehicle until you reach a pass or this paragraph (b). You may request in
252
ER25OC16.085</GPH>
writing that we consider your test re- you to test the engine on a dynamom-
sults from the same facility for future eter with no installed transmission as
testing if you show us that you have described in § 1037.551.
made changes to resolve the problem. (2) Recreate a set of test results for
(f) We may allow you to perform ad- each of three separate powertrains.
ditional replicate tests with a given ve- Generate GEM results for each of the
hicle or to test additional vehicles, configurations that are defined as the
consistent with good engineering judg- centers of each group of four points
ment. that define a boundary of cycle work
(g) You must assign the appropriate and average powertrain speed divided
CdA bin for your compliance dem- by average vehicle speed, for each of
onstration at the end of the model year the three selected powertrains. See 40
for every configuration you tested that CFR 1036.301(b)(2) for an example on
failed under this section. how these points are defined. Each
EFFECTIVE DATE NOTE: At 86 FR 34463, June unique map for a given configuration
29, 2021, § 1037.305 was amended, effective July with a particular powertrain con-
29, 2021. stitutes a separate test for purposes of
evaluating whether the vehicle family
§ 1037.310 Audit procedures for trail- meets the pass-fail criteria under 40
ers.
CFR 1068.420. The test result for a sin-
(a) We may audit trailer manufactur- gle test run in the audit is considered
ers to ensure that trailers are being passing if it is at or below the value se-
produced to conform with the certifi- lected as an input for GEM. Perform
cate of conformity. If this involves aer- testing with the same GEM configura-
odynamic measurements, we will speci- tions for additional powertrains as
fy how to adapt the protocol described needed to reach a pass-fail decision
in § 1037.305 to appropriately evaluate under 40 CFR 1068.240.
trailer performance.
(b) We may require device manufac- § 1037.320 Audit procedures for axles
turers that obtain preliminary ap- and transmissions.
proval under § 1037.211 to perform aero-
Selective enforcement audit provi-
dynamic testing of production samples
sions apply for axles and transmissions
of approved devices to ensure that the
relative to the efficiency demonstra-
devices conform to the approved con-
tions of §§ 1037.560 and 1037.565 as fol-
figuration.
lows:
§ 1037.315 Audit procedures related to (a) A selective enforcement audit for
powertrain testing. axles or transmissions would consist of
(a) For vehicles certified based on performing measurements with a pro-
powertrain testing as specified in duction axle or transmission to deter-
§ 1037.550, we may apply the selective mine mean power loss values as de-
enforcement audit requirements to the clared for GEM simulations, and run-
powertrain. If engine manufacturers ning GEM over one or more applicable
perform the powertrain testing and in- duty cycles based on those measured
clude those results in their certifi- values. The engine is considered pass-
cation under 40 CFR part 1036, they are ing for a given configuration if the new
responsible for selective enforcement modeled emission result for every ap-
audits related to those results. Other- plicable duty cycle is at or below the
wise, the certificate holder for the ve- modeled emission result corresponding
hicle is responsible for the selective en- to the declared GEM inputs.
forcement audit. (b) Run GEM for each applicable ve-
(b) The following provisions apply for hicle configuration identified in 40 CFR
a selective enforcement audit with re- 1036.540. For axle testing, this may re-
spect to powertrain testing: quire omitting several vehicle configu-
(1) A selective enforcement audit for rations based on selecting axle ratios
powertrains would generally consist of that correspond to the tested axle. The
performing a test with the complete GEM result for each vehicle configura-
powertrain (engine and transmission tion counts as a separate test for deter-
together). We may alternatively allow mining whether the family passes or
253
§ 1037.401 40 CFR Ch. I (7–1–21 Edition)
fails the audit. Select additional pro- (c) See 40 CFR 86.101 and 86.1813 for
duction axles or transmissions to per- measurement procedures that apply for
form additional tests as needed. evaporative and refueling emissions.
(d) Use the applicable fuels specified
40 CFR part 1065 to perform valid tests.
29, 2021. (1) For service accumulation, use the
test fuel or any commercially available
fuel that is representative of the fuel
Subpart E—In-Use Testing that in-use vehicles will use.
(2) For diesel-fueled vehicles, use the
§ 1037.401 General provisions.
appropriate diesel fuel specified for
(a) We may perform in-use testing of emission testing. Unless we specify
any vehicle subject to the standards of otherwise, the appropriate diesel test
this part. For example, we may test ve- fuel is ultra-low sulfur diesel fuel.
hicles to verify drag areas or other (3) For gasoline-fueled vehicles, use
GEM inputs as specified in paragraph the gasoline for ‘‘general testing’’ as
(b) of this section. specified in 40 CFR 86.1305.
(b) We may measure the drag area of (e) You may use special or alternate
a vehicle you produced after it has procedures as specified in 40 CFR
been placed into service. We may use 1065.10.
any of the procedures as specified in (f) This subpart is addressed to you
§§ 1037.525 through 1037.527 for meas- as a manufacturer, but it applies equal-
uring drag area. Your vehicle conforms ly to anyone who does testing for you,
to the regulations of this part with re- and to us when we perform testing to
spect to aerodynamic performance if determine if your vehicles meet emis-
we measure its drag area to be at or sion standards.
below the maximum drag area allowed (g) Apply this paragraph (g) whenever
for the bin to which that configuration we specify the use of standard trailers.
was certified. Unless otherwise specified, a tolerance
of ± 2 inches applies for all nominal
trailer dimensions.
Subpart F—Test and Modeling (1) The standard trailer for high-roof
Procedures tractors must meet the following cri-
teria:
§ 1037.501 General testing and mod-
eling provisions. (i) It is an unloaded two-axle dry van
53.0 feet long, 102 inches wide, and 162
This subpart specifies how to perform inches high (measured from the ground
emission testing and emission mod- with the trailer level).
eling required elsewhere in this part. (ii) It has a king pin located with its
(a) Except as specified in subpart B of center 36 ± 0.5 inches from the front of
this part, you must demonstrate that the trailer and a minimized trailer gap
you meet emission standards using (no greater than 45 inches).
emission modeling as described in (iii) It has a simple orthogonal shape
§§ 1037.515 and 1037.520. This modeling with smooth surfaces and nominally
depends on several measured values as flush rivets. Except as specified in
described in this subpart F. You may paragraph (g)(1)(v) of this section, the
use fuel-mapping information from the standard trailer does not include any
engine manufacturer as described in 40 aerodynamic features such as side fair-
CFR 1036.535 and 1036.540, or you may ings, rear fairings, or gap reducers. It
use powertrain testing as described in may have a scuff band no more than
§ 1037.550. 0.13 inches thick.
(b) Where exhaust emission testing is (iv) It includes dual 22.5 inch wheels,
required, use equipment and procedures standard tandem axle, standard
as described in 40 CFR part 1065 and mudflaps, and standard landing gear.
part 1066. Measure emissions of all the The centerline of the tandem axle as-
exhaust constituents subject to emis- sembly must be 145 ± 5 inches from the
sion standards as specified in 40 CFR rear of the trailer. The landing gear
part 1065 and part 1066. Use the applica- must be installed in a conventional
ble duty cycles specified in § 1037.510. configuration.
254
(v) For the Phase 2 standards, include Class 7 or Class 8 high-roof day cab
side skirts meeting the specifications with a 4 × 2 drive-axle configuration.
of this paragraph (g)(1)(v). The side
skirts must be mounted flush with 29, 2021, § 1037.501 was amended, effective July
both sides of the trailer. The skirts 29, 2021.
must be an isosceles trapezoidal shape.
Each skirt must have a height of 36 ± 2 § 1037.510 Duty-cycle exhaust testing.
inches. The top edge of the skirt must
be straight with a length of 341 ± 2 This section applies for powertrain
inches. The bottom edge of the skirt testing, cycle-average engine fuel map-
must be straight with a length of 268 ± ping, certain off-cycle testing under
2 inches and have a ground clearance of § 1037.610, and the advanced-technology
8 ± 2 inches through that full length. provisions of § 1037.615.
The sides of the skirts must be (a) Measure emissions by testing the
straight. The rearmost point of the vehicle on a chassis dynamometer or
skirts must be mounted 32 ± 2 inches in the powertrain on a powertrain dyna-
front of the centerline of the trailer mometer with the applicable duty cy-
tandem axle assembly. We may ap- cles. Each duty cycle consists of a se-
prove your request to use a skirt with ries of speed commands over time—
different dimensions if these specified variable speeds for the transient test
values are impractical or inappropriate and constant speeds for the highway
for your test trailer, and you propose cruise tests. None of these cycles in-
alternative dimensions that provide an clude vehicle starting or warmup.
equivalent or comparable degree of aer- (1) Perform testing for Phase 1 vehi-
odynamic drag for your test configura- cles as follows to generate credits or
tion. adjustment factors for off-cycle or ad-
(2) The standard trailer for mid-roof vanced technologies:
tractors is an empty two-axle tank (i) Transient cycle. The transient
trailer 42 ± 1 feet long by 140 inches cycle is specified in Appendix I of this
high and 102 inches wide. part. Warm up the vehicle. Start the
(i) It has a 40 ± 1 feet long cylindrical duty cycle within 30 seconds after con-
tank with a 7000 ± 7 gallon capacity, cluding the preconditioning procedure.
smooth surface, and rounded ends. Start sampling emissions at the start
(ii) The standard tank trailer does of the duty cycle.
not include any aerodynamic features (ii) Cruise cycle. For the 55 mi/hr and
such as side fairings, but does include a 65 mi/hr highway cruise cycles, warm
centered 20 inch manhole, side-cen- up the vehicle at the test speed, then
tered ladder, and lengthwise walkway. sample emissions for 300 seconds while
It includes dual 24.5 inch wheels. maintaining vehicle speed within ±1.0
(3) The standard trailer for low-roof mi/hr of the speed setpoint; this speed
tractors is an unloaded two-axle flat- tolerance applies instead of the ap-
bed trailer 53 ± 1 feet long and 102 proach specified in 40 CFR 1066.425(b)(1)
inches wide. and (2).
(i) The deck height is 60.0 ± 0.5 inches (2) For cycle-average engine fuel
in the front and 55.0 ± 0.5 inches in the mapping under 40 CFR 1036.540 or
rear. The standard trailer does not in- powertrain testing under §§ 1037.550 or
clude any aerodynamic features such 1037.555, perform testing as described in
as side fairings. this paragraph (a)(2) to generate GEM
(ii) It includes an air suspension and inputs for each simulated vehicle con-
dual 22.5 inch wheels on tandem axles. figuration, and for each of the four test
(h) Use a standard tractor for meas- runs representing different idle speed
uring aerodynamic drag of trailers. settings. You may perform any number
Standard tractors must be certified at of these test runs directly in succession
Bin III (or more aerodynamic if a Bin once the engine or powertrain is
III tractor is unavailable) for Phase 1 warmed up. If you interrupt the test
or Phase 2 under § 1037.520(b)(1) or (3). sequence with a break of up to 30 min-
The standard tractor for long trailers utes, such as to perform analyzer cali-
is a Class 8 high-roof sleeper cab. The bration, repeat operation over the pre-
standard tractor for short trailers is a vious duty cycle to precondition the
255
§ 1037.510 40 CFR Ch. I (7–1–21 Edition)
vehicle before restarting the test se- cational vehicles. Warm up the
quence. Perform testing as follows: powertrain by operating it at 65 mi/hr
(i) Transient cycle. The transient for 600 seconds. Within 60 seconds after
cycle is specified in Appendix I of this concluding the preconditioning cycle,
part. Initially warm up the engine or set the engine to operate at idle speed
powertrain by operating over one tran- for 600 seconds, with the transmission
sient cycle. Within 60 seconds after in park (or the transmission in neutral
concluding the warm up cycle, start with the parking brake applied for
emission sampling while the vehicle
manual transmissions), and sample
operates over the duty cycle.
emissions to determine mean emission
(ii) Highway cruise cycle. The grade
portion of the route corresponding to values (in g/s) over the full 600 seconds
the 55 mi/hr and 65 mi/hr highway of idling.
cruise cycles is specified in Appendix (3) Where applicable, perform testing
IV of this part. Initially warm up the on a chassis dynamometer as follows:
engine or powertrain by operating it (i) Transient cycle. The transient
over the duty cycle. Within 60 seconds cycle is specified in Appendix I of this
after concluding the preconditioning part. Warm up the vehicle by operating
cycle, start emission sampling while over one transient cycle. Within 60 sec-
the vehicle operates over the duty onds after concluding the warm up
cycle, maintaining vehicle speed be- cycle, start emission sampling and op-
tween ¥1.0 mi/hr and 3.0 mi/hr of the erate the vehicle over the duty cycle.
speed setpoint; this speed tolerance ap- (ii) Highway cruise cycle. The grade
plies instead of the approach specified portion of the route corresponding to
in 40 CFR 1066.425(b)(1) and (2). the 55 mi/hr and 65 mi/hr highway
(iii) Drive idle. Perform testing at a cruise cycles is specified in Appendix
loaded idle condition for Phase 2 voca- IV of this part. Warm up the vehicle by
tional vehicles. Warm up the
operating it at the appropriate speed
powertrain by operating it at 65 mi/hr
setpoint over the duty cycle. Within 60
for 600 seconds. Within 10 seconds after
concluding the preconditioning cycle, seconds after concluding the precondi-
set the engine to operate at idle speed tioning cycle, start emission sampling
for 90 seconds, with the brake applied and operate the vehicle over the duty
and the transmission in drive (or cycle, maintaining vehicle speed with-
clutch depressed for manual trans- in ±1.0 mi/hr of the speed setpoint; this
mission), and sample emissions to de- speed tolerance applies instead of the
termine mean emission values (in g/s) approach specified in 40 CFR
over the last 30 seconds of idling. 1066.425(b)(1) and (2).
(iv) Parked idle. Perform testing at an (b) Calculate the official emission re-
unloaded idle condition for Phase 2 vo- sult from the following equation:
256
ER25OC16.086</GPH>
Where: the transient cycle, and use 13.429 miles
for both of the highway cruise cycles.
eCO2comp = total composite mass of CO2 emis- Ô
sions in g/ton-mile, rounded to the near- m[cycle]-idle = CO2 emission rate at idle.
est whole number for vocational vehicles Example: Class 7 vocational vehicle meet-
and to the first decimal place for trac- ing the Phase 2 standards based on the Re-
tors. gional duty cycle.
PL = the standard payload, in tons, as speci- PL = 5.6 tons
fied in § 1037.705. v̄moving = 38.41 mi/hr
wtransient = 20% = 0.20
v̄moving = mean composite weighted driven ve-
wdrive-idle = 0% = 0
hicle speed, excluding idle operation, as
wparked-idle = 25% = 0.25
shown in Table 1 of this section for Phase
w55 = 24% = 0.24
2 vocational vehicles. For other vehicles, w65 = 56% = 0.56
let v̄moving = 1. mtransient = 4083 g
w[cycle] = weighting factor for the appropriate m55 = 13834 g
test cycle, as shown in Table 1 of this m65 = 17018 g
section. Dtransient = 2.8449 miles
m[cycle] = CO2 mass emissions over each test D55 = 13.429 miles
cycle (other than idle). D = 13.429 miles
Ô65
D[cycle] = the total driving distance for the in- m = 4188 g/hr
Ôdrive-idle
dicated duty cycle. Use 2.842 miles for mparked-idle = 3709 g/hr
(c) Weighting factors apply for each terizing vehicles by duty cycle to apply
type of vehicle and for each duty cycle proper weighting factors and average
as follows: speed values. Select either Urban, Re-
(1) GEM applies weighting factors for gional, or Multi-Purpose as the most
specific types of tractors as shown in appropriate duty cycle for modeling
Table 1 of this section. emission results with each vehicle con-
(2) GEM applies weighting factors for figuration, as specified in §§ 1037.140 and
vocational vehicles as shown in Table 1 1037.150.
of this section. Modeling for Phase 2
(3) Table 1 follows:
vocational vehicles depends on charac-
TABLE 1 OF § 1037.510—WEIGHTING FACTORS FOR DUTY CYCLES
Distance-weighted Time-weighted 1 Average
speed
during
55 mi/hr 65 mi/hr Drive idle Parked idle Non-idle non-idle
Transient cruise cruise (percent) (percent) (percent) cycles
(percent) (percent) (mi/hr) 2
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 con-
ventional
powertrain (Phase
1 only) .................... 42 21 37 .................... ....................
257
ER25OC16.087</GPH>
§ 1037.515 40 CFR Ch. I (7–1–21 Edition)
TABLE 1 OF § 1037.510—WEIGHTING FACTORS FOR DUTY CYCLES—Continued

Distance-weighted Time-weighted 1 Average
speed
during
55 mi/hr 65 mi/hr Drive idle Parked idle Non-idle non-idle
Transient cruise cruise (percent) (percent) (percent) cycles
(percent) (percent) (mi/hr) 2
Vocational Hybrid Ve-

hicles (Phase 1
only) ....................... 75 9 16
1 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.
2 These values apply even for vehicles not following the specified speed traces.
(d) For transient testing, compare ac- storage device as described in 40 CFR
tual second-by-second vehicle speed 1066.501.
with the speed specified in the test
cycle and ensure any differences are 29, 2021, § 1037.510 was amended, effective July
consistent with the criteria as specified 29, 2021.
in 40 CFR 1066.425. If the speeds do not
conform to these criteria, the test is § 1037.515 Determining CO2 emissions
not valid and must be repeated. to show compliance for trailers.
(e) Run test cycles as specified in 40 This section describes a compliance
CFR part 1066. For testing vehicles approach for trailers that is consistent
equipped with cruise control over the with the modeling for vocational vehi-
highway cruise cycles, use the vehicle’s cles and tractors described in § 1037.520,
cruise control to control the vehicle but is simplified consistent with the
speed. For vehicles equipped with ad- smaller number of trailer parameters
justable vehicle speed limiters, test the that affect CO2 emissions. Note that
vehicle with the vehicle speed limiter the calculated CO2 emission rate, eCO2,
at its highest setting. is equivalent to the value that would
(f) For Phase 1, test the vehicle using result from running GEM with the
its adjusted loaded vehicle weight, un- same input values.
less we determine this would be unrep- (a) Compliance equation. Calculate CO2
resentative of in-use operation as spec- emissions for demonstrating compli-
ified in 40 CFR 1065.10(c)(1). ance with emission standards for each
(g) For hybrid vehicles, correct for trailer configuration.
the net energy change of the energy (1) Use the following equation:
Where: toring systems with all wheels (or a mix

Ci = constant values for calculating CO2 of the two systems); otherwise, let C5 1.
emissions from this regression equation TRRL = tire rolling resistance level as speci-
derived from GEM, as shown in Table 1 of fied in paragraph (b) of this section.
this section. Let C5 = 0.988 for trailers DCdA = the DCdA value for the trailer as spec-
that have automatic tire inflation sys- ified in paragraph (c) of this section.
tems with all wheels, and let C5 = 0.990 WR = weight reduction as specified in para-
for trailers that have tire pressure moni- graph (d) or (e) of this section.
258
ER25OC16.088</GPH>
TABLE 1 OF § 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 Determine DCdA values for other trail-
calculating the mass of CO2 emissions, ers based on testing. Measure CdA and
eCO2, from a long dry box van that has determine DCdA values as described in
a tire pressure monitoring system for § 1037.526(a). You may use DCdA values
all wheels, an aluminum suspension as- from one trailer configuration to rep-
sembly, aluminum floor, and is des- resent any number of additional trail-
ignated as Bin IV: ers based on worst-case testing. This
C1 = 76.1 means that you may apply DCdA values
C2 = 1.67 from your measurements to any trailer
TRRL = 4.6 kg/tonne models of the same category with drag
C3 = –5.82 area at or below that of the tested con-
DCdA = 0.7 m2 figuration. For trailers in the short dry
C4 = –0.00103 box vans and short refrigerated box
WR = 655 lbs
C5 = 0.990
vans that are not 28 feet long, apply
eCO2 = (76.1 + 1.67 + (¥5.82 ·0.7) + (¥0.00103 the DCdA value established for a com-
·655)) ·0.990 parable 28-foot trailer model; you may
eCO2 = 78.24 g/ton-mile use the same devices designed for 28-
(b) Tire rolling resistance. Use the pro- foot trailers or you may adapt those
cedure specified in § 1037.520(c) to deter- devices as appropriate for the different
mine the tire rolling resistance level trailer length, consistent with good en-
for your tires. Note that you may base gineering judgment. For example, 48-
tire rolling resistance levels on meas- foot trailers may use longer side skirts
urements performed by tire manufac- than the skirts that were tested with a
turers, as long as those measurements 28-foot trailer. Trailer and device man-
meet this part’s specifications. ufacturers may seek preliminary ap-
(c) Drag area. You may use DCdA val- proval for these adaptations. Deter-
ues approved under § 1037.211 for device mine bin levels based on DCdA test re-
manufacturers if your trailers are sults as described in the following
properly equipped with those devices. table:
TABLE 2 OF § 1037.515—BIN DETERMINATIONS FOR TRAILERS BASED ON AERODYNAMIC TEST
RESULTS
[DCdA in m2]
and use the

following
If a trailer’s measured DCdA is . . . designate the trailer as . . . value for
DCdA
≤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 (1) Determine weight reduction for

weight reduction for a trailer configu- using lightweight materials for wheels
ration by summing all applicable val- as described in § 1037.520(e).
ues, as follows: (2) Apply weight reductions for other

components made with light-weight
259
§ 1037.520 40 CFR Ch. I (7–1–21 Edition)
materials as shown in the following

table:
TABLE 3 OF § 1037.515—WEIGHT REDUCTIONS FOR TRAILERS
[pounds]
Weight
Component Material reduction
(pounds)
Structure for Suspension Assembly 1 ............................ Aluminum ...................................................................... 280

Hub and Drum (per axle) ............................................... Aluminum ...................................................................... 80
Floor 2 ............................................................................. Aluminum ...................................................................... 375
Floor 2 ............................................................................. Composite (wood and plastic) ...................................... 245
Floor Crossmembers 2 ................................................... 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
1 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.
2 Calculate a smaller weight reduction for short trailers by multiplying the indicated values by 0.528 (28/53).
(e) Off-cycle. You may apply the off- § 1037.520 Modeling CO2 emissions to
cycle provisions of § 1037.610 to trailers show compliance for vocational ve-
as follows: hicles and tractors.
(1) You may account for weight re- This section describes how to use the
duction based on measured values in- Greenhouse gas Emissions Model
stead of using paragraph (d) of this sec- (GEM) (incorporated by reference in
tion. Quantify the weight reduction by § 1037.810) to show compliance with the
measuring the weight of a trailer in a CO2 standards of §§ 1037.105 and 1037.106
certified configuration and comparing for vocational vehicles and tractors.
it to the weight of an equivalent trailer Use GEM version 2.0.1 to demonstrate
without weight-reduction technologies. compliance with Phase 1 standards; use
This qualifies as A to B testing under GEM Phase 2, Version 3.0 to dem-
§ 1037.610. Use good engineering judg- onstrate compliance with Phase 2
ment to select an equivalent trailer standards. Use good engineering judg-
representing a baseline configuration. ment when demonstrating compliance
Use the calculated weight reduction in using GEM. See § 1037.515 for calcula-
Eq. 1037.515–1 to calculate the trailer’s tion procedures for demonstrating
CO2 emission rate. compliance with trailer standards.
(2) If your off-cycle technology re- (a) General modeling provisions. To run
duces emissions in a way that is pro- GEM, enter all applicable inputs as
portional to measured emissions as de- specified by the model.
scribed in § 1037.610(b)(1), multiply the (1) GEM inputs apply for Phase 1
trailer’s CO2 emission rate by the ap- standards as follows:
propriate improvement factor. (i) Model year and regulatory sub-
(3) If your off-cycle technology does category (see § 1037.230).
not yield emission reductions that are (ii) Coefficient of aerodynamic drag
proportional to measured emissions, as or drag area, as described in paragraph
described in § 1037.610(b)(2), calculate an (b) of this section (tractors only).
adjusted CO2 emission rate for your (iii) Steer and drive tire rolling re-
trailers by subtracting the appropriate sistance, as described in paragraph (c)
off-cycle credit. of this section.
(4) Note that these off-cycle provi- (iv) Vehicle speed limit, as described
sions do not apply for trailers subject in paragraph (d) of this section (trac-
to design standards. tors only).
(v) Vehicle weight reduction, as de-

29, 2021, § 1037.515 was amended, effective July scribed in paragraph (e) of this section
29, 2021. (tractors only for Phase 1).
260
(vi) Automatic engine shutdown sys- stead of what would otherwise apply
tems, as described in § 1037.660 (only for for, tire revolutions per mile, engine
Class 8 sleeper cabs). Enter a GEM information, transmission information,
input value of 5.0 g/ton-mile, or an ad- drive axle ratio, axle efficiency, and
justed value as specified in § 1037.660. aerodynamic improvement as specified
(2) For Phase 2 vehicles, the GEM in- in paragraphs (c)(1), (f), (g)(1), (g)(3), (i),
puts described in paragraphs (a)(1)(i) and (m) of this section, respectively.
through (v) of this section continue to Incorporate other GEM inputs as speci-
apply. Note that the provisions related fied in this section.
to vehicle speed limiters and auto- (b) Coefficient of aerodynamic drag and
matic engine shutdown systems are drag area for tractors. Determine the ap-
available for vocational vehicles in propriate drag area, CdA, for tractors
Phase 2. The rest of this section de- as described in this paragraph (b). Use
scribes additional GEM inputs for dem- the recommended method or an alter-
onstrating compliance with Phase 2 nate method to establish a value for
standards. Simplified versions of GEM CdA expressed in m2 to one decimal
apply for limited circumstances as fol- place, as specified in § 1037.525. Where
lows: we allow you to group multiple con-
(i) You may use default engine fuel figurations together, measure CdA of
maps for glider kits as described in the worst-case configuration.
§ 1037.635. (1) Except as specified in paragraph
(ii) If you certify vehicles to the cus- (b)(2) of this section, determine the
tom-chassis standards specified in Phase 1 bin level for your vehicle based
§ 1037.105(h), run GEM by identifying on measured CdA values as shown in
the vehicle type and entering ‘‘NA’’ in- the following tables: CdA
TABLE 1 OF § 1037.520—Cd INPUTS FOR PHASE 1 HIGH-ROOF TRACTORS
If your meas- Then your Cd
Tractor type Bin level ured DCdA input is . . .
(m2) is . . .
High-Roof Day Cabs .................................................................................... Bin I .................... ≥ 8.0 0.79

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 .................... ≥ 7.6 0.75

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 OF § 1037.520—Cd INPUTS FOR PHASE 1 LOW-ROOF AND MID-ROOF TRACTORS

If your meas- Then your Cd
Tractor type Bin level ured CdA (m2) input is . . .
is . . .
Low-Roof Day and Sleeper Cabs ................................................................ Bin I .................... ≥ 5.1 0.77
Bin II ................... ≤ 5.0 0.71
Mid-Roof Day and Sleeper Cabs ................................................................. Bin I .................... ≥ 5.6 0.87
Bin II ................... ≤ 5.5 0.82
(2) For Phase 1 low- and mid-roof tor is in Bin III, Bin IV, or Bin V, then
tractors, you may instead determine you may assume your equivalent low-
your drag area bin based on the drag and mid-roof tractors are in Bin II.
area bin of an equivalent high-roof (3) For Phase 2 tractors other than
tractor. If the high-roof tractor is in heavy-haul tractors, determine bin lev-
Bin I or Bin II, then you may assume els and CdA inputs as follows:
your equivalent low- and mid-roof trac-

tors are in Bin I. If the high-roof trac-
261
§ 1037.520 40 CFR Ch. I (7–1–21 Edition)
(i) Determine bin levels for high-roof sults as described in the following
tractors based on aerodynamic test re- table:
TABLE 3 OF § 1037.520—BIN DETERMINATIONS FOR PHASE 2 HIGH-ROOF TRACTORS BASED ON
AERODYNAMIC TEST RESULTS
[CdA in m2]
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII
Day Cabs .................................................. ≥7.2 6.6–7.1 6.0–6.5 5.5–5.9 5.0–5.4 4.5–4.9 ≤4.4
Sleeper Cabs ............................................ ≥6.9 6.3–6.8 5.7–6.2 5.2–5.6 4.7–5.1 4.2–4.6 ≤4.1
(ii) For low- and mid-roof tractors, tion, or you may determine your bin
you may either use the same bin level level based on aerodynamic test results
that applies for an equivalent high-roof as described in Table 4 of this section.
tractor as shown in Table 3 of this sec-
TABLE 4 OF § 1037.520—BIN DETERMINATIONS FOR PHASE 2 LOW-ROOF AND MID-ROOF TRACTORS
BASED ON AERODYNAMIC TEST RESULTS
[CdA in m2]
Low-Roof Cabs ......................................... ≥5.4 4.9–5.3 44.5–4.8 4.1–4.4 3.8–4.0 3.5–3.7 ≤3.4
Mid-Roof Cabs .......................................... ≥5.9 5.5–5.8 5.1–5.4 4.7–5.0 4.4–4.6 4.1–4.3 ≤4.0
(iii) Determine the CdA input accord-

ing to the tractor’s bin level as de-
scribed in the following table:
TABLE 5 OF § 1037.520—PHASE 2 CdA TRACTOR INPUTS BASED ON BIN LEVEL
High-Roof Day Cabs ................................. 7.45 6.85 6.25 5.70 5.20 4.70 4.20
High-Roof Sleeper Cabs ........................... 7.15 655 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 sizes that you do not test, we will treat
2027, GEM internally reduces CdA for your analytically derived revolutions
high-roof tractors by 0.3 m2 to simulate per mile the same as test results, and
adding a rear fairing to the standard we may perform our own testing to
trailer. verify your values. We may require you
(c) Tire revolutions per mile and rolling to test a sample of additional tire sizes
resistance. You must have a tire revolu- that we select.
tions per mile (TRPM) and a tire roll- (2) Measure tire rolling resistance in
ing resistance level (TRRL) for each kg per metric ton as specified in ISO
tire configuration. For purposes of this 28580 (incorporated by reference in
section, you may consider tires with § 1037.810), except as specified in this
the same SKU number to be the same
paragraph (c). Use good engineering
configuration. Determine TRRL input
judgment to ensure that your test re-
values separately for drive and steer
tires; determine TRPM only for drive sults are not biased low. You may ask
tires. us to identify a reference test labora-
(1) Use good engineering judgment to tory to which you may correlate your
determine a tire’s revolutions per mile test results. Prior to beginning the test
to the nearest whole number as speci- procedure in Section 7 of ISO 28580 for
fied in SAE J1025 (incorporated by ref- a new bias-ply tire, perform a break-in
erence in § 1037.810). Note that for tire procedure by running the tire at the
262
specified test speed, load, and pressure ed average of tire rolling resistance
for 60 ± 2 minutes. from multiple axles based on the typ-
(3) For each tire design tested, meas- ical load on each axle.
ure rolling resistance of at least three (7) For vehicles with a single rear
different tires of that specific design axle, enter ‘‘NA’’ as the TRRL value
and size. Perform the test at least once for drive axle 2.
for each tire. Calculate the arithmetic (d) Vehicle speed limit. If the vehicles
mean of these results to the nearest 0.1 will be equipped with a vehicle speed
kg/tonne and use this value or any limiter, input the maximum vehicle
higher value as your GEM input for speed to which the vehicle will be lim-
TRRL. You must test at least one tire ited (in miles per hour rounded to the
size for each tire model, and may use nearest 0.1 mile per hour) as specified
engineering analysis to determine the in § 1037.640. Use good engineering judg-
rolling resistance of other tire sizes of
ment to ensure the limiter is tamper
that model. Note that for tire sizes
resistant. We may require you to ob-
that you do not test, we will treat your
tain preliminary approval for your de-
analytically derived rolling resistances
signs.
the same as test results, and we may
perform our own testing to verify your (e) Vehicle weight reduction. Develop a
values. We may require you to test a weight-reduction as a GEM input as de-
small sub-sample of untested tire sizes scribed in this paragraph (e). Enter the
that we select. sum of weight reductions as described
(4) If you obtain your test results in this paragraph (e), or enter zero if
from the tire manufacturer or another there is no weight reduction. For pur-
third party, you must obtain a signed poses of this paragraph (e), high-
statement from the party supplying strength steel is steel with tensile
those test results to verify that tests strength at or above 350 MPa.
were conducted according to the re- (1) Vehicle weight reduction inputs
quirements of this part. Such state- for wheels are specified relative to
ments are deemed to be submissions to dual-wide tires with conventional steel
EPA. wheels. For purposes of this paragraph
(5) For tires marketed as light truck (e)(1), an aluminum alloy qualifies as
tires that have load ranges C, D, or E, light-weight if a dual-wide drive wheel
use as the GEM input TRRL multiplied made from this material weighs at
by 0.87. least 21 pounds less than a comparable
(6) For vehicles with at least three conventional steel wheel. The inputs
drive axles or for vehicles with more are listed in Table 6 of this section. For
than three axles total, use good engi- example, a tractor or vocational vehi-
neering judgment to combine tire roll- cle with aluminum steer wheels and
ing resistance into three values (steer, eight (4 × 2) dual-wide aluminum drive
drive 1, and drive 2) for use in GEM. wheels would have an input of 210
This may require performing a weight- pounds (2 × 21 + 8 × 21).
TABLE 6 OF § 1037.520—WHEEL-RELATED WEIGHT REDUCTIONS
Weight reduction— Weight reduction—
Weight-reduction technology Phase 1 Phase 2
(lb per wheel) (lb per wheel)
Wide-Base Single Drive Tire with: 1

Steel Wheel ..................................................................................................... 84 84
Aluminum Wheel ............................................................................................. 139 147
Light-Weight Aluminum Alloy Wheel .............................................................. 147 147
Wide-Base Single Trailer Tire with: 1
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 Wheel .............................................................. 30 25
1 The weight reduction for wide-base tires accounts for reduced tire weight relative to dual-wide tires.
263
§ 1037.520 40 CFR Ch. I (7–1–21 Edition)
(2) Weight reduction inputs for trac-

tor components other than wheels are
specified in the following table:
TABLE 7 OF § 1037.520—NONWHEEL-RELATED WEIGHT REDUCTIONS FROM ALTERNATIVE MATERIALS
FOR TRACTORS
[Pounds]
High-strength
Weight reduction technologies Aluminum Thermoplastic
steel
Door ................................................................................................................... 20 6
Roof ................................................................................................................... 60 18
Cab rear wall ..................................................................................................... 49 16
Cab floor ............................................................................................................ 56 18
Hood Support Structure System ....................................................................... 15 3
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 (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 voca- wheels are specified in the following
tional-vehicle components other than table:
FOR PHASE 2 VOCATIONAL VEHICLES
[Pounds]
Vehicle type
Component Material
Light HDV Medium HDV 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
264

FOR PHASE 2 VOCATIONAL VEHICLES—Continued
[Pounds]
Vehicle type
Component Material
Light HDV Medium HDV Heavy HDV
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
(4) Apply vehicle weight inputs for (1) Transmission make, model, and
changing technology configurations as type. Also identify the gear ratio for
follows: every available forward gear to two
(i) For Class 8 tractors or for Class 8 decimal places, and identify the lowest
vocational vehicles with a permanent 6 gear involving a locked torque con-
× 2 axle configuration, apply a weight verter, if applicable. For vehicles with
reduction input of 300 pounds. This a manual transmission, GEM applies a
does not apply for coach buses certified 2% emission increase relative to auto-
to custom-chassis standards under mated manual transmissions. If your
§ 1037.105(h). vehicle has a dual-clutch transmission,
(ii) For Class 8 tractors with 4 × 2 use good engineering judgment to de-
axle configuration, apply a weight re- termine if it can be accurately rep-
duction input of 400 pounds. resented in GEM as an automated man-
(iii) For tractors with installed en- ual transmission. We may require you
gines with displacement below 14.0 li- to perform a powertrain test with dual-
ters, apply a weight reduction of 300 clutch transmissions to show that they
pounds. can be properly simulated as an auto-
(iv) For tractors with single-piece mated manual transmission.
driveshafts with a total length greater (2) Drive axle configuration. Select a
than 86 inches, apply a weight reduc- drive axle configuration to represent
tion of 43 pounds for steel driveshafts your vehicle for modeling.
and 63 pounds for aluminum (i) 4 × 2: One drive axle and one non-
driveshafts. drive axle.
(5) You may ask to apply the off- (ii) 6 × 2: One drive axle and two non-
cycle technology provisions of § 1037.610 drive axles.
for weight reductions not covered by (iii) 6 × 4: Two or more drive axles, or
this paragraph (e). more than three total axles. Note that
(f) Engine characteristics. Enter infor- this includes, for example, a vehicle
mation from the engine manufacturer with two drive axles out of four total
to describe the installed engine and its axles (otherwise known as an 8×4 con-
operating parameters as described in 40 figuration).
CFR 1036.510. The fuel-mapping infor- (iv) 6 × 4D: An axle that can auto-
mation must apply for the vehicle’s matically switch between 6 × 2 and 6 ×
GVWR; for example, if you install a 4 configuration. When the axle is in the
medium heavy-duty engine in a Class 8 6 × 2 configuration the input and out-
vehicle, the engine must have addi- put of the disconnectable axle must be
tional fuel-mapping information for mechanically disconnected from the
the heavier vehicle. Note that you do drive shaft and the wheels to qualify.
not need fuel consumption at idle for (3) Drive axle ratio, ka. If a vehicle is
tractors. designed with two or more user-select-
(g) Vehicle characteristics. Enter the able axle ratios, use the drive axle
following information to describe and ratio that is expected to be engaged for
the vehicle and its operating param- the greatest driving distance. If the ve-
eters: hicle does not have a drive axle, such
265
§ 1037.520 40 CFR Ch. I (7–1–21 Edition)
as a hybrid vehicle with direct electric more than one item applies, enter the
drive, let ka = 1. sum of those values:
(4) GEM inputs associated with (i) If vocational vehicles have elec-
powertrain testing include powertrain trically powered pumps for steering,
family, transmission calibration iden- enter 0.5 for vocational vehicles cer-
tifier, test data from § 1037.550, and the tified with the Regional duty cycle,
powertrain test configuration (dyna- and enter 1 for tractors and other voca-
mometer connected to transmission tional vehicles.
output or wheel hub). You do not need (ii) If tractors have electrically pow-
to identify or provide inputs for trans- ered pumps for both steering and en-
mission gear ratios, fuel map data, or gine cooling, enter 1.
engine torque curves, which would oth- (iii) If vehicles have a high-efficiency
erwise be required under paragraph (f) air conditioning compressor, enter 0.5
of this section. for tractors and vocational Heavy
(h) Idle-reduction technologies. Iden- HDV, and enter 1 for other vocational
tify whether your vehicle has quali- vehicles. This includes mechanically
fying idle-reduction technologies, sub- powered compressors meeting the spec-
ject to the qualifying criteria in ifications described in 40 CFR 86.1868–
§ 1037.660, as follows: 12(h)(5), and all electrically powered
compressors.
(1) Stop-start technology and auto-
(3) Tire-pressure systems. Enter 1.2 for
matic engine shutdown systems apply
vehicles with automatic tire inflation
for vocational vehicles. See paragraph
systems on all axles (1.1 for Multi-Pur-
(j) of this section for automatic engine
pose and Urban vocational vehicles).
shutdown systems for tractors.
Enter 1.0 for vehicles with tire pressure
(2) Neutral idle applies for tractors monitoring systems on all axles (0.9 for
and vocational vehicles. Multi-Purpose and Urban vocational
(i) Axle and transmission efficiency. vehicles). If vehicles use a mix of the
You may use axle efficiency maps as two systems, treat them as having only
described in § 1037.560 and transmission tire pressure monitoring systems.
efficiency maps as described in (4) Extended-idle reduction. Enter val-
§ 1037.565 to replace the default values ues as shown in the following table for
in GEM. If you obtain your test results sleeper cabs equipped with idle-reduc-
from the axle manufacturer, trans- tion technology meeting the require-
mission manufacturer, or another third ments of § 1037.660 that are designed to
party, you must obtain a signed state- automatically shut off the main engine
ment from the party supplying those after 300 seconds or less:
test results to verify that tests were
conducted according to the require- TABLE 9 OF § 1037.520—GEM INPUT VALUES
ments of this part. Such statements FOR AES SYSTEMS
are deemed to be submissions to EPA.
GEM input values
(j) Additional reduction technologies. Technology
Enter input values in GEM as follows Adjustable Tamper-resistant
to characterize the percentage CO2 Standard AES system 1 4
emission reduction corresponding to With diesel APU ........ 3 4
certain technologies and vehicle con- With battery APU ....... 5 6
figurations, or enter 0: With automatic stop-
start ........................ 3 3
(1) Intelligent controls. Enter 2 for Fuel-operated heater 2 3
tractors with predictive cruise control.
This includes any cruise control sys- (5) Other. Additional GEM inputs
tem that incorporates satellite-based may apply as follows:
global-positioning data for controlling (i) Enter 1.7 and 0.9, respectively, for
operator demand. For other vehicles, school buses and coach buses that have
enter 1.5 if they have neutral coasting, at least seven available forward gears.
unless good engineering judgment indi- (ii) If we approve off-cycle tech-
cates that a lower percentage should nology under § 1037.610 in the form of an
apply. improvement factor, enter the im-
(2) Accessory load. Enter the following provement factor expressed as a per-
values related to accessory loads; if centage reduction in CO2 emissions.
266
(NOTE: In the case of approved off-cycle a box van meeting the requirements for
technologies whose benefit is quan- the standard trailer.
tified as a g/ton-mile credit, apply the (1) Aerodynamic measurements may
credit to the GEM result, not as a GEM involve any of several different proce-
input value.) dures. Measuring with different proce-
(k) Vehicles with hybrid power take-off. dures introduces variability, so we
For vocational vehicles, determine the identify the coastdown method in
delta PTO emission result of your en- § 1037.528 as the primary (or reference)
gine and hybrid power take-off system procedure. You may use other proce-
as described in § 1037.540. dures with our advance approval as de-
(l) [Reserved] scribed in paragraph (d) of this section,
(m) Aerodynamic improvements for vo- but we require that you adjust your
cational vehicles. For vocational vehi- test results from other test methods to
cles certified using the Regional duty correlate with coastdown test results.
cycle, enter ΔCdA values to account for All adjustments must be consistent
using aerodynamic devices as follows: with good engineering judgment. Sub-
(1) Enter 0.2 for vocational vehicles mit information describing how you
with an installed rear fairing if the ve- quantify aerodynamic drag from
hicle is at least 7 m long with a min- coastdown testing, whether or not you
imum frontal area of 8 m2. use an alternate method.
(2) For vehicles at least 11 m long (2) Test high-roof tractors with a
with a minimum frontal area of 9 m2,
standard trailer as described in
enter 0.5 if the vehicle has both skirts
§ 1037.501(g)(1). Note that the standard
and a front fairing, and enter 0.3 if it
trailer for Phase 1 tractors is different
has only one of those devices.
from that of later model years. Note
(3) You may determine input values
also that GEM may model a different
for these or other technologies based
on aerodynamic measurements as de- configuration than the test configura-
scribed in § 1037.527. tion, but accounts for this internally.
(n) Alternate fuels. For fuels other Test low-roof and mid-roof tractors
than those identified in GEM, perform without a trailer; however, you may
the simulation by identifying the vehi- test low-roof and mid-roof tractors
cle as being diesel-fueled if the engine with a trailer to evaluate off-cycle
is subject to the compression-ignition technologies.
standard, or as being gasoline-fueled if (b) Adjustments to correlate with
the engine is subject to the spark-igni- coastdown testing. Adjust aerodynamic
tion standards. Correct the engine or drag values from alternate methods to
powertrain fuel map for mass-specific be equivalent to the corresponding val-
net energy content as described in 40 ues from coastdown measurements as
CFR 1036.535(b). follows:
EFFECTIVE DATE NOTE: At 86 FR 34467, June (1) Determine the functional rela-
29, 2021, § 1037.520 was revised, effective July tionship between your alternate meth-
29, 2021. od and coastdown testing. Unless good
engineering judgment dictates other-
§ 1037.525 Aerodynamic measurements wise, assume that coastdown drag is
for tractors. proportional to drag measured using
This section describes a methodology alternate methods. This means you
for quantifying aerodynamic drag for may apply a constant adjustment fac-
use in determining input values for tor, Falt-aero, for a given alternate drag
tractors as described in § 1037.520. measurement method using the fol-
(a) General provisions. The GEM input lowing equation, where the effective
for a tractor’s aerodynamic perform- yaw angle, ψeff, is assumed to be zero
ance is a Cd value for Phase 1 and a CdA degrees for Phase 1 and is determined
value for Phase 2. The input value is from coastdown test results for Phase
measured or calculated for a tractor in
2:
a specific test configuration with a
trailer, such as a high-roof tractor with
267
§ 1037.525 40 CFR Ch. I (7–1–21 Edition)
(2) Determine Falt-aero by performing model, consistent with good engineer-

coastdown testing and applying your ing judgment. Testing under this para-
alternate method on the same vehicles. graph (b)(4) continues to be valid for
Consider all applicable test data in- later model years until you change the
cluding data collected during selective tractor model in a way that causes the
enforcement audits. Where you have test results to no longer represent pro-
test results from multiple vehicles ex- duction vehicles. You must also deter-
pected to have the same Falt-aero, you mine unique values of Falt-aero for low-
may either average the Falt-aero values or roof and mid-roof tractors if you deter-
select any greater value. Unless we ap- mine CdA values based on low or mid-
prove another vehicle, one vehicle roof tractor testing as shown in Table
must be a Class 8 high-roof sleeper cab 4 of § 1037.520. For Phase 1 testing, if
with a full aerodynamics package pull- good engineering judgment allows it,
ing a standard trailer. Where you have you may calculate a single, constant
more than one tractor model meeting value of Falt-aero for your whole product
these criteria, use the tractor model line by dividing the coastdown drag
with the highest projected sales. If you area, CdAcoastdown, by CdAalt.
do not have such a tractor model, you (5) Determine Falt-aero to at least three
may use your most comparable tractor decimal places. For example, if your
model with our prior approval. In the coastdown testing results in a drag
case of alternate methods other than area of 6.430, but your wind tunnel
those specified in this subpart, good en- method results in a drag area of 6.200,
gineering judgment may require you to Falt-aero would be 1.037 (or a higher value
determine your adjustment factor you declare).
based on results from more than the (6) If a tractor and trailer cannot be
specified minimum number of vehicles. configured to meet the gap require-
(3) Measure the drag area using your ments, test with the trailer positioned
alternate method for a Phase 2 tractor as close as possible to the specified gap
used to determine Falt-aero with testing dimension and use good engineering
at yaw angles of 0°, ±1°, ±3°, ±4.5°, ±6°, judgment to correct the results to be
and ±9° (you may include additional an- equivalent to a test configuration
gles), using direction conventions de- meeting the specified gap dimension.
scribed in Figure 2 of SAE J1252 (incor- (c) Yaw sweep corrections. Aero-
porated by reference in § 1037.810). Also, dynamic features can have a different
determine the drag area at the effectiveness for reducing wind-aver-
coastdown effective yaw angle, aged drag than is predicted by zero-yaw
CdAeffective-yaw-alt, by taking the average drag. The following procedures describe
drag area at yeff and ¥yeff for your vehi- how to determine a tractor’s CdA val-
cle using the same alternate method. ues to account for wind-averaged drag
(4) For Phase 2 testing, determine and differences from coastdown test-
separate values of Falt-aero for a mining:
imum of one high-roof day cab and one (1) For Phase 2 testing with an alter-
high-roof sleeper cab for 2021, 2024, and nate method, apply the following meth-
2027 model years based on testing as de- od using your alternate method for aer-
scribed in paragraph (b)(2) of this sec- odynamic testing:
tion (six tests total). For any untested (i) For all testing, calculate the
tractor models, apply the value of wind-averaged drag area from the al-
Falt-aero from the tested tractor model ternate method, CdAwa-alt, using an aver-
that best represents the aerodynamic age of measurements at ¥4.5 and +4.5
characteristics of the untested tractor degrees.
268
ER25OC16.089</GPH>
(ii) Determine your wind-averaged imal place, using the following equa-
drag area, CdAwa, rounded to one dec- tion:
(2) For Phase 2 coastdown test re- urements at ¥4.5 and +4.5 degrees,
sults, apply the following method: CdAwa-alt) to the drag area at the effec-
(i) For all coastdown testing, deter- tive yaw angle, CdAeffective-yaw.
mine your effective yaw angle from (iii) Determine your wind-averaged
coastdown, CdAeffective-yaw-coastdown. drag area, CdAwa, rounded to one dec-
(ii) Use an alternate method to cal- imal place, using the following equa-
culate the ratio of the wind-averaged tion:
drag area (using an average of meas-
(3) Different approximations apply for your vehicle using the same alter-
for Phase 1. For Phase 1 testing, you nate method as specified in this sub-
may correct your zero-yaw drag area as part. Measure the drag area for 0°, ¥6°,
follows if the ratio of the zero-yaw drag and +6°. Use the arithmetic mean of
area divided by yaw-sweep drag area the ¥6° and +6° drag areas as the ±6°
for your vehicle is greater than 0.8065 drag area, CdA±6.
(which represents the ratio expected (ii) Calculate your yaw-sweep correc-
for a typical Class 8 high-roof sleeper tion factor, CFys, using the following
cab): equation:
(i) Determine the zero-yaw drag area,
CdAzero-yaw, and the yaw-sweep drag area
ER25OC16.091</GPH> ER25OC16.092</GPH>
(iii) Calculate your corrected drag dures. For example, apply CFys to drag
area for determining the aerodynamic areas measured using the coastdown
bin by multiplying the measured zero- method. If you use an alternate meth-
yaw drag area by CFys, as determined od, apply an alternate correction,
using Eq. 1037.525–4, as applicable. You Falt-aero, and calculate the final drag area
may apply the correction factor to using the following equation:

drag areas measured using other proce-
269
ER25OC16.090</GPH>
§ 1037.526 40 CFR Ch. I (7–1–21 Edition)
(iv) You may ask us to apply CFys to to this method (e.g., source location/ad-
similar vehicles incorporating the dress, background/history).
same design features. EFFECTIVE DATE NOTE: At 86 FR 34473, June
(v) As an alternative, you may cal- 29, 2021, § 1037.525 was revised, effective July
culate the wind-averaged drag area ac- 29, 2021.
cording to SAE J1252 (incorporated by
reference in § 1037.810) and substitute § 1037.526 Aerodynamic measurements
this value into Eq. 1037.525–4 for the ±6° for trailers.
drag area. This section describes a methodology
(d) Approval of alternate methods. You for determining aerodynamic drag
must obtain preliminary approval be- area, CdA for use in determining input
fore using any method other than values for box vans as described in
coastdown testing to quantify aero- §§ 1037.515 and 1037.520.
dynamic drag. We will approve your re- (a) A trailer’s aerodynamic perform-
quest if you show that your procedures ance for demonstrating compliance
produce data that are the same as or with standards is based on a ΔCdA value
better than coastdown testing with re- relative to a baseline trailer. Deter-
spect to repeatability and unbiased mine these ΔCdA values by performing
correlation. Note that the correlation A to B testing, as follows:
is not considered to be biased if there is (1) Determine a baseline CdA value
a bias before correction, but you re- for a standard tractor pulling a test
move the bias using Falt-aero. Send your trailer representing a production con-
request for approval to the Designated figuration; use a 53-foot test trailer to
Compliance Officer. Keep records of the represent long trailers and a 28-foot
information specified in this paragraph test trailer to represent short trailers.
(d). Unless we specify otherwise, in- Repeat this testing with the same trac-
clude this information with your re- tor and the applicable baseline trailer.
quest. You must provide any informa- For testing long trailers, the baseline
tion we require to evaluate whether trailer is a trailer meeting the speci-
you may apply the provisions of this fications for a Phase 1 standard trailer
section. Include additional information in § 1037.501(g)(1); for testing refrig-
related to your alternate method as de- erated box vans, use a baseline trailer
scribed in §§ 1037.530 through 1037.534. If with an installed HVAC unit that prop-
you use a method other than those erly represents a baseline configura-
specified in this subpart, include all tion correlated with the production
the following information, as applica- configuration. For testing short trail-
ble: ers, use a 28-foot baseline trailer with a
single axle that meets the same speci-
(1) Official name/title of the proce-
fications as the Phase 1 standard trail-
dure.
er, except as needed to accommodate
(2) Description of the procedure. the reduced trailer length.
(3) Cited sources for any standardized (2) Use good engineering judgment to
procedures that the method is based perform paired tests that accurately
on. demonstrate the reduction in aero-
(4) Description and rationale for any dynamic drag associated with the im-
modifications/deviations from the proved design. For example, the gap di-
standardized procedures. mension should be the same for all
(5) Data comparing the procedure to paired tests, and effective yaw angle
the coastdown reference procedure. between paired tests should differ by
(6) Additional information specified no more than 1.0°.
for the alternate methods described in (3) Measure CdA in m2 to two decimal
§§ 1037.530 through 1037.534 as applicable places. Calculate ΔCdA by subtracting
270
ER25OC16.093</GPH>
the drag area for the test trailer from section before you start testing. We
the drag area for the baseline trailer. will evaluate whether plans for wind-
(b) The default method for measuring tunnel testing meet the specifications
is the wind-tunnel procedure as speci- of § 1037.530, and will tell you if you
fied in § 1037.530. You may test using al- may or must use any other method to
ternate methods as follows: determine drag coefficients. We will
(1) If we approve it in advance, you approve your request to use an alter-
may instead use one of the alternate nate method if you show that your pro-
methods specified in §§ 1037.528 through cedures produce data that are the same
1037.532, consistent with good engineer- as or better than wind-tunnel testing
ing judgment, which may require that with respect to repeatability and unbi-
you adjust your test results from the ased correlation. Note that the correla-
alternate test method to correlate with tion is not considered to be biased if
the primary method. If you request our there is a bias before correction, but
approval to determine ΔCdA using an you apply a correction to remove the
alternate method, you must submit ad- bias. Send your testing plan to the Des-
ditional information as described in ignated Compliance Officer. Keep
paragraph (d) of this section. records of the information specified in
(2) The principles of 40 CFR this paragraph (d). Unless we specify
1065.10(c)(1) apply for aerodynamic test otherwise, include this information
methods. Specifically, we may require with your request. You must provide
that you use coastdown measurements any information we require to evaluate
if we determine that certain tech- whether you may apply the provisions
nologies are not suited to evaluation of this section. Include additional in-
with wind-tunnel testing or CFD, such formation related to your alternate
as nonrigid materials whose physical method as described in §§ 1037.528
characteristics change in scaled-model through 1037.534.
testing. You may similarly reference 40
CFR 1065.10(c)(1) in your request to use § 1037.527 Aerodynamic measurements
coastdown testing as an alternate for vocational vehicles.
method. This section describes a methodology
(c) The following provisions apply for for determining aerodynamic drag
combining multiple devices under this area, CdA, for use in determining input
section for the purpose of certifying values for vocational vehicles as de-
trailers: scribed in § 1037.520. This measurement
(1) If the device manufacturer estab- is optional.
lishes a ΔCdA value in a single test with (a) Determine ΔCdA values by per-
multiple aerodynamic devices in- forming A to B testing as described for
stalled, trailer manufacturers may use trailers in § 1037.526, with any appro-
that ΔCdA value directly for the same priate adjustments, consistent with
combination of aerodynamic devices good engineering judgment.
installed on production trailers. (b) [Reserved]
(2) Trailer manufacturers may com-
bine ΔCdA values for aerodynamic de- § 1037.528 Coastdown procedures for
vices that are not tested together, as calculating drag area (CdA).
long as each device does not signifi- The coastdown procedures in this
cantly impair the effectiveness of an- section describe how to calculate drag
other, consistent with good engineer- area, CdA, for Phase 2 tractors, trailers,
ing judgment. To approximate the and vocational vehicles, subject to the
overall benefit of multiple devices, cal- provisions of §§ 1037.525 through
culate a composite ΔCdA value for mul- 1037.527. These procedures are consid-
tiple aerodynamic devices by applying ered the primary procedures for trac-
the full ΔCdA value for the device with tors, but alternate procedures for trail-
the greatest aerodynamic improve- ers. Follow the provisions of Sections 1
ment, adding the second-highest ΔCdA through 9 of SAE J2263 (incorporated
value multiplied by 0.9, and adding any by reference in § 1037.810), with the
other ΔCdA values multiplied by 0.8. clarifications and exceptions described
(d) You must send us a description of in this section. Several of these excep-
your plan to perform testing under this tions are from SAE J1263 (incorporated
271
§ 1037.528 40 CFR Ch. I (7–1–21 Edition)
by reference in § 1037.810). The (2) The average of the component of

coastdown procedures in 40 CFR the wind speed parallel to the road
1066.310 apply instead of the provisions must not exceed 6.0 mi/hr. This con-
of this section for Phase 1 tractors. straint is in addition to those in Sec-
(a) The terms and variables identified tion 7.3 of SAE J1263.
in this section have the meaning given (3) If road grade is greater than 0.02%
in SAE J1263 (incorporated by ref- over the length of the test surface, you
erence in § 1037.810) and J2263 unless must determine elevation as a function
specified otherwise. of distance along the length of the test
(b) To determine CdA values for a surface and incorporate this into the
tractor, perform coastdown testing analysis.
with a tractor-trailer combination
(4) Road grade may exceed 0.5% for
using the manufacturer’s tractor and a
limited portions of the test surface as
standard trailer. To determine CdA val-
long as it does not affect coastdown re-
ues for a trailer, perform coastdown
testing with a tractor-trailer combina- sults, consistent with good engineering
tion using a standard tractor. Prepare judgment.
tractors and trailers for testing as fol- (5) The road surface temperature
lows: must be at or below 50 °C. Use good en-
(1) Install instrumentation for per- gineering judgment to measure road
forming the specified measurements. surface temperature.
(2) After adding vehicle instrumenta- (d) CdA calculations are based on
tion, verify that there is no brake drag measured speed values while the vehi-
or other condition that prevents the cle coasts down through a high-speed
wheels from rotating freely. Do not range from 70 to 60 mi/hr, and through
apply the parking brake at any point a low-speed range from 20 to 10 mi/hr.
between this inspection and the end of Disable any vehicle speed limiters that
the measurement procedure. prevent travel above 72 mi/hr. Measure
(3) Install tires mounted on steel vehicle speed at a minimum recording
rims in a dual configuration (except for frequency of 10 Hz, in conjunction with
steer tires). The tires must— time-of-day data. Determine vehicle
(i) Be SmartWay-Verified or have a speed using either of the following
coefficient of rolling resistance at or methods:
below 5.1 kg/metric ton. (1) Complete coastdown runs. Operate
(ii) Have accumulated at least 2,000 the vehicle at a top speed above 72.0 mi/
miles but have no less than 50 percent hr and allow the vehicle to coast down
of their original tread depth, as speci- to 8.0 mi/hr or lower. Collect data for
fied for truck cabs in SAE J1263.
the high-speed range over a test seg-
(iii) Not be retreads or have any ap-
ment that includes speeds from 72.0
parent signs of chunking or uneven
down to 58.0 mi/hr, and collect data for
wear.
the low-speed range over a test seg-
(iv) Be size 295/75R22.5 or 275/80R22.5.
(v) Be inflated to the proper tire pres- ment that includes speeds from 22.0
sure as specified in Sections 6.6 and 8.1 down to 8.0 mi/hr.
of SAE J2263. (2) Split coastdown runs. Collect data
(vi) Be of the same tire model for a during a high-speed coastdown while
given axle. the vehicle coasts through a test seg-
(4) Perform an inspection or wheel ment that includes speeds from 72.0 mi/
alignment for both the tractor and the hr down to 58.0 mi/hr. Similarly, col-
trailer to ensure that wheel position is lect data during a low-speed coastdown
within the manufacturer’s specifica- while the vehicle coasts through a test
tions. segment that includes speeds from 22.0
(c) The test condition specifications mi/hr down to 8.0 mi/hr. Perform one
described in Sections 7.1 through 7.4 of high-speed coastdown segment or two
SAE J1263 apply, with the following ex- consecutive high-speed coastdown seg-
ceptions and additional provisions: ments in one direction, followed by the
(1) We recommend that you not per- same number of low-speed coastdown
form coastdown testing if winds are ex- segments in the same direction, and
pected to exceed 6.0 mi/hr. then perform that same number of
272
measurements in the opposite direc- (g) Perform the following calcula-

tion. You may not split runs as de- tions to filter and correct measured
scribed in Section 9.3.1 of SAE J2263 ex- data:
cept as allowed under this paragraph (1) For any measured values not iden-
(d)(2). tified as outliers, use those measured
(e) Measure wind speed, wind direc- values directly in the calculations
tion, air temperature, and air pressure specified in this section. Filter air
at a recording frequency of 10 Hz, in speed, yaw angle, wind speed, wind di-
conjunction with time-of-day data. Use rection, and vehicle speed measure-
at least one stationary electro-me- ments to replace outliers for every
chanical anemometer and suitable data measured value as follows:
loggers meeting SAE J1263 specifica- (i) Determine a median measured
tions, subject to the following addi- value to represent the measurement
tional specifications for the anemom- point and the measurements 3 seconds
eter placed along the test surface: before and after that point. In the first
(1) You must start a coastdown meas- and last three seconds of the coastdown
urement within 24 hours after com- run, use all available data to determine
pleting zero-wind and zero-angle cali- the median measured value. The meas-
brations. urement window for determining the
(2) Place the anemometer at least 50 median value will accordingly include
feet from the nearest tree and at least 61 measurements in most cases, and
25 feet from the nearest bush (or equiv- will always include at least 31 measure-
alent features). Position the anemom- ments (for 10 Hz recording frequency).
eter adjacent to the test surface, near (ii) Determine the median absolute
the midpoint of the length of the track, deviation corresponding to each meas-
between 2.5 and 3.0 body widths from urement window from paragraph
the expected location of the test vehi- (g)(1)(i) of this section. This generally
cle’s centerline as it passes the ane- results from calculating 61 absolute de-
mometer. Record the location of the viations from the median measured
anemometer along the test track, to value and determining the median
the nearest 10 feet. from those 61 deviations. Calculate the
(3) Mount the anemometer at a standard deviation for each measure-
height that is within 6 inches of half ment window by multiplying the me-
the test vehicle’s body height. dian absolute deviation by 1.4826; cal-
(4) The height of vegetation sur- culate three standard deviations by
rounding the anemometer may not ex- multiplying the median absolute devi-
ceed 10% of the anemometer’s mounted ation by 4.4478. Note that the factor
height, within a radius equal to the 1.4826 is a statistical constant that re-
anemometer’s mounted height. lates median absolute deviations to
(f) Measure air speed and relative standard deviations.
wind direction (yaw angle) onboard the (iii) A measured value is an outlier if
vehicle at a minimum recording fre- the measured value at a given point
quency of 10 Hz, in conjunction with differs from the median measured
time-of-day data, using an anemometer value by more than three standard de-
and suitable data loggers that meet the viations. Replace each outlier with the
requirements of Sections 5.4 of SAE median measured value from paragraph
J2263. The yaw angle must be measured (g)(1)(i) of this section. This technique
to a resolution and accuracy of ±0.5°. for filtering outliers is known as the
Mount the anemometer such that it Hampel method.
measures air speed at 1.5 meters above (2) For each high-speed and each low-
the top of the leading edge of the trail- speed segment, correct measured air
er. If obstructions at the test site do speed using the wind speed and wind di-
not allow for this mounting height, rection measurements described in
then mount the anemometer such that paragraph (e) of this section as follows:
it measures air speed at least 0.85 me- (i) Calculate the theoretical air
ters above the top of the leading edge speed, vair,th, for each 10-Hz set of meas-
of the trailer. urements using the following equation:
273
§ 1037.528 40 CFR Ch. I (7–1–21 Edition)
Where: <veh = the vehicle direction. Use <veh = 0° for

w = filtered wind speed. travel in the first direction, and use <veh
v = filtered vehicle speed. = 180° for travel in the opposite direction.
<w = filtered wind direction. Let <w = 0° for Example:
air flow in the first travel direction, with w = 7.1 mi/hr
values increasing counterclockwise. For v = 64.9 mi/hr
example, if the vehicle starts by trav- <w = 47.0°
eling eastbound, then <w = 270° means a <veh = 0°
wind from the south.
vair,th = 69.93 mi/hr speed, vair,meas, to determine the air-

(ii) Perform a linear regression using speed correction coefficients, α0 and α1,
paired values of vair,th and measured air based on the following equation:
(iii) Correct each measured value of

air speed using the following equation:
ER25OC16.097</GPH>
(3) Correct measured air direction (i) Calculate the theoretical air di-
using the wind speed and wind direc- rection, ψ;air,th, using the following
tion measurements described in para- equation:
graph (e) of this section as follows:
ER25OC16.095</GPH> ER25OC16.096</GPH>
274
ER25OC16.094</GPH>
Example: <w = 47.0°

w = 7.1 mi/hr <veh = 0°
v = 64.9 mi/hr
ψair,th = 4.26° direction, ψair,meas, to determine the air-

(ii) Perform a linear regression using direction correction coefficients, β0 and
paired values of ψair,th and measured air β1, based on the following equation:
(iii) Correct each measured value of

air direction using the following equa-
tion:
(h) Determine drag area, CdA, using vents it from exceeding 72 mi/hr, you
ER25OC16.101</GPH>
the following procedure instead of the must disable the speed limiter for test-
procedure specified in Section 10 of ing.
SAE J1263: (3) Calculate mean vehicle speed at
(1) Calculate the vehicle’s effective each speed start point (70 and 20 mi/hr)
mass, Me, to account for rotational in- and end point (60 and 10 mi/hr) as fol-
ertia by adding 56.7 kg to the measured
ER25OC16.099</GPH> ER25OC16.100</GPH>
lows:
vehicle mass, M, (in kg) for each tire (i) Calculate the mean vehicle speed
making road contact. to represent the start point of each
(2) Operate the vehicle and collect
speed range as the arithmetic average
data over the high-speed range and
of measured speeds throughout the
low-speed range as specified in para-
graph (d)(1) or (2) of this section. If the speed interval defined as 2.00 mi/hr
vehicle has a speed limiter that pre- above the nominal starting speed point
275
ER25OC16.098</GPH>
§ 1037.528 40 CFR Ch. I (7–1–21 Edition)
to 2.00 mi/hr below the nominal start- at which the vehicle reaches the end
ing speed point, expressed to at least speed, and the mean vehicle speed rep-
two decimal places. Determine the resenting the end point of each speed
timestamp corresponding to the start- range.
ing point of each speed range as the (iii) If you incorporate grade into
time midpoint of the ±2.00 mi/hr speed your calculations, use the average val-
interval. ues for the elevation and distance trav-
(ii) Repeat the calculations described eled over each interval.
in paragraph (h)(3)(i) of this section (4) Calculate the road-load force, F,
corresponding to the end point speed for each speed range using the fol-
(60 or 10 mi/hr) to determine the time lowing equation:
Where: road to the start or end of each speed

Me = the vehicle’s effective mass. range expressed to at least one decimal
v̄ = average vehicle speed at the start or end place.
of each speed range, as described in para- Example:
graph (h)(3) of this section. Me = 17,129 kg (18 tires in contact with the
t̄ = timestamp at which the vehicle reaches road surface)
the starting or ending speed expressed to v̄start = 69.97 mi/hr = 31.28 m/s
at least one decimal place. v̄end = 59.88 mi/hr = 26.77 m/s
M = the vehicle’s measured mass. t̄start = 3.05 s
ag = acceleration of Earth’s gravity, as de- t̄end = 19.11 s
scribed in 40 CFR 1065.630. M = 16,108 kg
h̄ = average elevation at the start or end of ag = 9.8061 m/s2
each speed range expressed to at least h̄start = 0.044 m
two decimal places. h̄end = 0.547 m
D̄ = distance traveled on the road surface D̄start = 706.8 ft = 215.4 m
from a fixed reference location along the D̄end = 2230.2 ft = 697.8 m
F = 4645.5 N tractor being tested for this coastdown

(5) For tractor testing, calculate the procedure.
drive-axle spin loss force at high and (ii) Perform a second-order regres-
low speeds, Fspin[speed], and determine sion of axle power loss in W from only
ΔFspin as follows: the zero-torque test points with wheel
(i) Use the results from the axle effi- speed, fnwheel, in r/s from the axle effi-
ciency test described in § 1037.560 for ciency test to determine coefficients c0,
the drive axle model installed in the c1, and c2.
ER25OC16.103</GPH>
276
ER25OC16.102</GPH>
(iii) Calculate Fspin[speed] using the fol-

lowing equation:
Where: Example:
v̄seg[speed] = the mean vehicle speed of all vehi- v̄seghi = 28.86 m/s
cle speed measurements in each low- v̄seglo = 5.84 m/s
speed and high-speed segment. TRPM = 508 r/mi = 0.315657 r/m
TRPM = tire revolutions per mile for the c0 = ¥206.841 W
drive tire model installed on the tractor c1 = 239.8279 W·s/r
being tested according to § 1037.520(c)(1). c2 = 21.27505 W·s2/r2
Fspinhi = 129.7 N (iv) Calculate ΔFspin using the fol-

Fspinlo = 52.7 N lowing equation:
Example: TABLE 1 OF § 1037.528—STEPWISE

ΔFspin = 129.7¥52.7 = 77.0 N COASTDOWN TEST POINTS FOR DETERMINING ER25OC16.107</GPH>
(6) For tractor testing, calculate the TIRE ROLLING RESISTANCE AS A FUNCTION OF
tire rolling resistance force at high and SPEED
low speeds for steer, drive, and trailer
Inflation
axle positions, FTRR[speed,axle], and deter- Step # Load pressure
(% of max)
mine ΔFTRR as follows: (% of max)
ER25OC16.105</GPH> ER25OC16.106</GPH>
(i) Conduct a stepwise coastdown tire 1 ......................................... 20 100

rolling resistance test with three tires 2 ......................................... 55 70
for each tire model installed on the ve- 3 ......................................... 85 120
hicle using SAE J2452 (incorporated by 4 ......................................... 85 100
reference in § 1037.810) for the following 5 ......................................... 100 95
test points (which replace the test

points in Table 3 of SAE J2452):
277
ER25OC16.104</GPH>
§ 1037.528 40 CFR Ch. I (7–1–21 Edition)
(ii) Calculate FTRR[speed,axle] using the

following equation:
Where: nt,drive = 8
nt,[axle] = number of tires at the axle position. Pdrive = 689.5 kPa
P[axle] = the inflation pressure set and meas- Ldrive = 55958.4 N
ured on the tires at the axle position at αdrive = ¥0.3146
the beginning of the coastdown test. βdrive = 0.9914
L[axle] = the load over the axle at the axle po- adrive = 0.0504
sition on the coastdown test vehicle. bdrive = 1.11·10¥4
α[axle],β[axle], a[axle], b[axle], and c[axle] = regression cdrive = 2.86·10¥7
coefficients from SAE J2452 that are spe-
nt,trailer = 8
cific to axle position.
Ptrailer = 689.5 kPa
Example: Ltrailer = 45727.5 N
nt,steer = 2
αtrailer = ¥0.3982
Psteer = 758.4 kPa
Lsteer = 51421.2 N βtrailer = 0.9756
αsteer = ¥0.2435 atrailer = 0.0656
βsteer = 0.9576 btrailer = 1.51·10¥4
asteer = 0.0434 ctrailer = 2.94·10¥7
bsteer = 5.4·10¥5 v̄seghi = 28.86 m/s = 103.896 km/hr
csteer = 5.53·10¥7 v̄seglo = 5.84 m/s = 21.024 km/hr
FTRRhi,steer = 365.6 N FTRRlo,trailer = 189.0 N

FTRRhi,drive = 431.4 N (iii) Calculate FTRR[speed] by summing
FTRRhi,trailer = 231.7 N the tire rolling resistance calculations
FTRRlo,steer = 297.8 N at a given speed for each axle position
FTRRlo,drive = 350.7 N and determine ΔFTRR as follows:
ER25OC16.109</GPH> ER25OC16.110</GPH>
Example: (iv) Adjust FTRR[speed] to the ambient

FTRRhi = 365.6 + 431.4 + 231.7 = 1028.7 N temperature during the coastdown seg-
FTRRlo = 297.8 + 350.7 + 189.0 = 837.5 N ment as follows:
278
ER25OC16.108</GPH>
Where: T̄seghi = 25.5 °C

T̄seg[speed] = the average ambient temperature T̄seglo = 25.1 °C
during the low or high speed segments. FTRRhi,adj = 1028.7·[1 + 0.006·(24¥25.5)] = 1019.4 N
Example: FTRRlo,adj = 837.5·[1 + 0.006·(24¥25.1)] = 832.0 N
FTRRhi = 1028.7 N
FTRRlo = 837.5 N
(v) Determine ΔFTRR as follows:
Example: the ambient temperature instead of

ΔFTRR = 1019.4 ¥ 832.0 = 187.4 N performing a rolling resistance test, as
(7) For trailer testing, determine follows:
ΔFTRR using a default value adjusted to
Where: every two Flo and v̄2air,lo values. If run-

ΔFTRR,def = default rolling resistance force ning two high-speed segments per di-
speed adjustment; Use 215 N for long box rection as described in paragraph (d)(2),
vans and 150 N for short box vans. average every four Flo and v̄2air,lo values.
T̄coast = the average ambient temperature dur- Use these values as Flo,pair and v̄2air,lo,pair
ing both low and high speed segments.
in the calculations in this paragraph
Example: (h) to apply to each of the two or four
ΔFTRR,def = 215 N high-speed segments from the same
T̄coast = 25.5 °C
runs as the low-speed segments used to
ΔFTRR = 215·[1 + 0.0006·(24¥25.5)] =
213.1 N
determine Flo,pair and v̄2air,lo,pair.
(10) Calculate average air tempera-
(8) Square the air speed measure- ture T̄ and air pressure P̄act during each
ments and calculate average squared high-speed run.
air speed during each speed range for
ER25OC16.112</GPH> ER25OC16.113</GPH>
(11) Calculate drag area, CdA, in m2

each run,v̄2air,hi and v̄2air,lo. for each high-speed segment using the
(9) Average the Flo and v̄2air,lo values following equation, expressed to at
for each pair of runs in opposite direc- least three decimal places:
tions. If running complete coastdowns
as described in paragraph (d)(1) or one
high-speed segment per direction as de-

scribed in paragraph (d)(2), average
279
ER25OC16.111</GPH>
§ 1037.528 40 CFR Ch. I (7–1–21 Edition)
Where: as described in paragraph (h)(9) of this

Fhi = road load force at high speed deter- section.
mined from Eq. 1037.528–7. R = specific gas constant = 287.058 J/(kg·K).
Flo,pair = the average of Flo values for a pair of T̄ = mean air temperature expressed to at
opposite direction runs calculated as de- least one decimal place.
scribed in paragraph (h)(9) of this sec- P̄act = mean absolute air pressure expressed to
tion. at least one decimal place.
ΔFspin = the difference in drive-axle spin loss
force between high-speed and low-speed Example:
coastdown segments. This is described in Fhi = 4645.5 N
paragraph (h)(5) of this section for trac- Flo,pair = 1005.0 N
tor testing. Let ΔFspin = 110 N for trailer ΔFspin = 77.0 N
testing. ΔFTRR = 187.4 N
ΔFTRR = the difference in tire rolling resist- v̄2air,hi = 933.4 m2/s2
ance force between high-speed and low- v̄2air,lo,pair = 43.12 m2/s2
speed coastdown segments as described R = 287.058 J/(kg·K)
in paragraphs (h)(6) or (7) of this section.
T̄ = 285.97 K
v̄ air,lo,pair = the average of v̄2air,lo values for a
2
pair of opposite direction runs calculated P̄act = 101.727 kPa = 101727 Pa
CdA = 6.120 m2 result of the coastdown test,

(12) Calculate your final CdA value CdAeffective-yaw-coastdown.
from the high-speed segments as fol- (i) [Reserved]
lows: (j) Include the following information
(i) Eliminate all points where there in your application for certification:
were known equipment problems or (1) The name, location, and descrip-
other measurement problems. tion of your test facilities, including
(ii) Of the remaining points, cal- background/history, equipment and ca-
culate the median of the absolute value pability, and track and facility ele-
of the yaw angles, ψmed, and eliminate vation, along with the grade and size/
all CdA values that differ by more than length of the track.
1.0° from ψmed. (2) Test conditions for each test re-
(iii) Of the remaining points, cal-
sult, including date and time, wind
culate the mean and standard devi-
speed and direction, ambient tempera-
ation of CdA and eliminate all values
that differ by more than 2.0 standard ture and humidity, vehicle speed, driv-
deviations from the mean value. ing distance, manufacturer name, test
(iv) There must be at least 24 points vehicle/model type, model year, appli-
remaining. Of the remaining points, re- cable family, tire type and rolling re-
calculate the mean yaw angle. Round sistance, weight of tractor-trailer (as
the mean yaw angle to the nearest 0.1°. tested), and driver identifier(s).
This final result is the effective yaw (3) Average CdA and yaw angle results
angle, ψeff, for coastdown testing. and all the individual run results (in-
ER25OC16.115</GPH>
(v) For the same set of points, recal- cluding voided or invalid runs).
culate the mean CdA. This is the final
280
ER25OC16.114</GPH>
EFFECTIVE DATE NOTE: At 86 FR 34474, June and a standard trailer. To determine
29, 2021, § 1037.528 was amended, effective July CdA values for certifying trailers, per-
29, 2021. form wind-tunnel testing with a trac-
§ 1037.530 Wind-tunnel procedures for tor-trailer combination using a stand-
calculating drag area (CdA). ard tractor. Use a moving/rolling floor
if the facility has one. For Phase 1
The wind-tunnel procedure specified
tractors, conduct the wind tunnel tests
in this section is considered to be the
at a zero yaw angle. For Phase 2 vehi-
primary procedure for trailers, but is
cles, conduct the wind tunnel tests by
an alternate procedure for tractors.
(a) You may measure drag areas con- measuring the drag area at yaw angles
sistent with published SAE procedures of +4.5° and ¥4.5° and calculating the
as described in this section using any average of those two values.
wind tunnel recognized by the Subsonic (d) In your request to use wind-tun-
Aerodynamic Testing Association, sub- nel testing for tractors, or in your ap-
ject to the provisions of §§ 1037.525 plication for certification for trailers,
through 1037.527. If your wind tunnel describe how you meet all the speci-
does not meet the specifications de- fications that apply under this section,
scribed in this section, you may ask us using terminology consistent with SAE
to approve it as an alternate method J1594 (incorporated by reference in
under § 1037.525(d) or § 1037.526(d). All § 1037.810). If you request our approval
wind tunnels and wind tunnel tests to use wind-tunnel testing even though
must meet the specifications described you do not meet all the specifications
in SAE J1252 (incorporated by ref- of this section, describe how your
erence in § 1037.810), with the following method nevertheless qualifies as an al-
exceptions and additional provisions: ternate method under § 1037.525(d) or
(1) The Overall Vehicle Reynolds 1037.526(d) and include all the following
number, Re#w, must be at least 1.0·106. information:
Tests for Reynolds effects described in (1) Identify the name and location of
Section 7.1 of SAE J1252 are not re- the test facility for your wind-tunnel
quired. method.
(2) For full-scale wind tunnel tractor (2) Background and history of the
testing, use good engineering judgment wind tunnel.
to select a trailer that is a reasonable (3) The wind tunnel’s layout (with
representation of the trailer used for diagram), type, and construction
reference coastdown testing. For exam-
(structural and material).
ple, where your wind tunnel is not long
enough to test the tractor with a (4) The wind tunnel’s design details:
standard 53 foot box van, it may be ap- The type and material for corner turn-
propriate to use a shorter box van. In ing vanes, air settling specification,
such a case, the correlation developed mesh screen specification, air straight-
using the shorter trailer would only be ening method, tunnel volume, surface
valid for testing with the shorter trail- area, average duct area, and circuit
er. length.
(3) For reduced-scale wind tunnel (5) Specifications related to the wind
testing, use a one-eighth or larger scale tunnel’s flow quality: Temperature
model of a tractor and trailer that is control and uniformity, airflow qual-
sufficient to simulate airflow through ity, minimum airflow velocity, flow
the radiator inlet grill and across an uniformity, angularity and stability,
engine geometry that represents en- static pressure variation, turbulence
gines commonly used in your test vehi- intensity, airflow acceleration and de-
cle. celeration times, test duration flow
(b) Open-throat wind tunnels must quality, and overall airflow quality
also meet the specifications of SAE achievement.
J2071 (incorporated by reference in (6) Test/working section information:
§ 1037.810). Test section type (e.g., open, closed,
(c) To determine CdA values for certi- adaptive wall) and shape (e.g., circular,
fying tractors, perform wind-tunnel square, oval), length, contraction ratio,
testing with a tractor-trailer combina- maximum air velocity, maximum dy-

tion using the manufacturer’s tractor namic pressure, nozzle width and
281
§ 1037.532 40 CFR Ch. I (7–1–21 Edition)
height, plenum dimensions and net vol- CFD code, follow the additional steps
ume, maximum allowed model scale, in paragraph (e) of this section.
maximum model height above road, (3) Simulate a Reynolds number of 5.1
strut movement rate (if applicable), million and an air speed of 65 mi/hr.
model support, primary boundary layer (4) Perform the General On-Road
slot, boundary layer elimination meth- Simulation (not the Wind Tunnel Sim-
od, and photos and diagrams of the test ulation).
section. (5) Use a free stream turbulence in-
(7) Fan section description: Fan type, tensity of 0.0%.
diameter, power, maximum rotational (6) Choose time steps that can accu-
speed, maximum speed, support type, rately resolve intrinsic flow instabil-
mechanical drive, and sectional total ities, consistent with good engineering
weight. judgment.
(8) Data acquisition and control (7) The result must be drag area
(where applicable): Acquisition type,
(CdA), not drag coefficient (Cd), based
motor control, tunnel control, model
on an air speed of 65 mi/hr.
balance, model pressure measurement,
wheel drag balances, wing/body panel (8) Submit information as described
balances, and model exhaust simula- in paragraph (g) of this section.
tion. (b) For Phase 1 tractors, apply the
(9) Moving ground plane or rolling procedures as specified in paragraphs
road (if applicable): Construction and (c) through (f) of this section. Para-
material, yaw table and range, moving graphs (c) through (f) of section apply
ground length and width, belt type, for Phase 2 vehicles only as specified in
maximum belt speed, belt suction paragraph (a) of this section.
mechanism, platen instrumentation, (c) To determine CdA values for certi-
temperature control, and steering. fying a tractor, perform CFD modeling
(10) Facility correction factors and based on a tractor-trailer combination
purpose. using the manufacturer’s tractor and a
standard trailer. To determine CdA val-
EFFECTIVE DATE NOTE: At 86 FR 34476, June ues for certifying a trailer, perform
29, 2021, § 1037.530 was amended, effective July CFD modeling based on a tractor-trail-
29, 2021.
er combination using a standard trac-
§ 1037.532 Using computational fluid tor. Perform all CFD modeling as fol-
dynamics to calculate drag area lows:
(CdA). (1) Specify a blockage ratio at or
This section describes how to use below 0.2% to simulate open-road con-
commercially available computational ditions.
fluid dynamics (CFD) software to de- (2) Assume zero yaw angle.
termine CdA values, subject to the pro- (3) Model the tractor with an open
visions of §§ 1037.525 through 1037.527. grill and representative back pressures
This is considered to be an alternate based on available data describing the
method for both tractors and trailers. tractor’s pressure characteristics.
(a) For Phase 2 vehicles, use SAE (4) Enable the turbulence model and
J2966 (incorporated by reference in mesh deformation.
§ 1037.810), with the following clarifica- (5) Model tires and ground plane in
tions and exceptions: motion to simulate a vehicle moving
(1) Vehicles are subject to the re- forward in the direction of travel.
quirement to meet standards based on (6) Apply the smallest cell size to
the average of testing at yaw angles of local regions on the tractor and trailer
+4.5° or ¥4.5°; however, you may sub- in areas of high flow gradients and
mit your application for certification smaller-geometry features (e.g., the A-
with CFD results based on only one of pillar, mirror, visor, grille and acces-
those yaw angles. sories, trailer-leading edge, trailer-
(2) For CFD code with a Navier- trailing edge, rear bogey, tires, and
Stokes based solver, follow the addi- tractor-trailer gap).
tional steps in paragraph (d) of this (7) Simulate a vehicle speed of 55 mi/
section. For Lattice-Boltzmann based hr.
282
(d) Take the following steps for CFD hicle’s in-use performance. We may re-
code with a Navier-Stokes formula quire that you supply data dem-
solver: onstrating that your selected param-
(1) Perform an unstructured, time-ac- eters and criteria will provide a suffi-
curate analysis using a mesh grid size cient level of detail to yield an accu-
with a total volume element count of rate analysis. If you request an alter-
at least 50 million cells of hexahedral native approach because it will yield
and/or polyhedral mesh cell shape, sur- better results, we may require that you
face elements representing the geom- perform CFD analysis using both your
etry consisting of no less than 6 mil- recommended criteria and parameters
lion elements, and a near-wall cell size and the criteria and parameters speci-
corresponding to a y+ value of less fied in this section to compare the re-
than 300. sulting key aerodynamic characteris-
(2) Perform the analysis with a tur- tics, such as pressure profiles, drag
bulence model and mesh deformation build-up, and turbulent/laminar flow at
enabled (if applicable) with boundary key points around the tractor-trailer
layer resolution of ±95%. Once the re- combination.
sults reach this resolution, dem- (g) Include the following information
onstrate the convergence by supplying in your request to determine CdA val-
multiple, successive convergence values using CFD:
ues for the analysis. The turbulence (1) The name of the software.
model may use k-epsilon (k-e), shear (2) The date and version number of
stress transport k-omega (SST k-w), or the software.
other commercially accepted methods. (3) The name of the company pro-
(e) For Lattice-Boltzmann based CFD ducing the software and the cor-
code, perform an unstructured, time- responding address, phone number, and
accurate analysis using a mesh grid Web site.
size with total surface elements of at (4) Identify whether the software uses
least 50 million cells using cubic vol- Navier-Stokes or Lattice-Boltzmann
ume elements and triangular and/or equations.
quadrilateral surface elements with a (5) Describe the input values you will
near-wall cell size of no greater than 6 use to simulate the vehicle’s aero-
mm on local regions of the tractor and dynamic performance for comparing to
trailer in areas of high flow gradients coastdown results.
and smaller geometry features, with EFFECTIVE DATE NOTE: At 86 FR 34476, June
cell sizes in other areas of the mesh 29, 2021, § 1037.532 was amended, effective July
grid starting at twelve millimeters and 29, 2021.
increasing in size from this value as
the distance from the tractor and trail- § 1037.534 Constant-speed procedure
er increases. for calculating drag area (CdA).
(f) You may ask us to allow you to This section describes how to use
perform CFD analysis using param- constant-speed aerodynamic drag test-
eters and criteria other than those ing to determine CdA values, subject to
specified in this section, consistent the provisions of § 1037.525. This is con-
with good engineering judgment. In sidered to be an alternate method for
your request, you must demonstrate tractors.
that you are unable to perform mod- (a) Test track. Select a test track that
eling based on the specified conditions meets the specifications described in
(for example, you may have insuffi- § 1037.528(c)(3).
cient computing power, or the com- (b) Ambient conditions. At least two
putations may require inordinate tests are required. For one of the tests,
time), or you must demonstrate that ambient conditions must remain with-
different criteria (such as a different in the specifications described in
mesh cell shape and size) will yield bet- § 1037.528(c) throughout the precondi-
ter results. In your request, you must tioning and measurement procedure.
also describe your recommended alter- The other tests must also meet those
native parameters and criteria, and de- specifications except for the wind con-
scribe how this approach will produce ditions. The wind conditions must be
results that adequately represent a ve- such that 80 percent of the values of
283
§ 1037.534 40 CFR Ch. I (7–1–21 Edition)
yaw angle, y≈air, from the 50 mi/hr and 70 and then drive the vehicle at 50 mi/hr
mi/hr test segments are between 4° and for at least 30 minutes.
10° or between ¥4° and ¥10°. (ii) If you are using any other kind of
(c) Vehicle preparation. Perform test- torque meter, drive the vehicle at 50
ing with a tractor-trailer combination mi/hr for at least 30 minutes, and then
using the manufacturer’s tractor and a allow the vehicle to coast down from
standard trailer. Prepare tractors and full speed to a complete standstill
trailers for testing as described in while the clutch is disengaged or the
§ 1037.528(b). Install measurement in- transmission is in neutral, without
struments meeting the requirements of braking. Zero the torque meters within
40 CFR part 1065, subpart C, that have 60 seconds after the vehicle stops mov-
been calibrated as described in 40 CFR ing by recording the torque signals for
part 1065, subpart D, as follows: at least 30 seconds, and directly resume
(1) Measure torque at each of the vehicle preconditioning at 50 mi/hr for
drive wheels using a hub torque meter at least 1.25 mi.
or a rim torque meter. If testing a trac- (iii) You may calibrate instruments
tor with two drive axles, you may dis- during the preconditioning drive.
connect one of the drive axles from re- (2) Perform testing as described in
ceiving torque from the driveshaft, in paragraph (d)(3) of this section over a
which case you would measure torque sequence of test segments at constant
at only the wheels that receive torque vehicle speed as follows:
from the driveshaft. Set up instru- (i) 300±30 seconds in each direction at
ments to read engine rpm for calcu- 10 mi/hr.
lating rotational speed at the point of (ii) 450±30 seconds in each direction
the torque measurements, or install in- at 70 mi/hr.
struments for measuring the rotational (iii) 450±30 seconds in each direction
speed of the wheels directly. at 50 mi/hr.
(iv) 450±30 seconds in each direction
(2) Install instrumentation to meas-
at 70 mi/hr.
ure vehicle speed at 10 Hz, with an ac-
(v) 450±30 seconds in each direction at
curacy and resolution of 0.1 mi/hr. Also
50 mi/hr.
install instrumentation for reading en-
(vi) 300±30 seconds in each direction
gine rpm from the engine’s onboard
at 10 mi/hr.
computer.
(3) When the vehicle preconditioning
(3) Mount an anemometer on the
described in paragraph (d)(1) of this
trailer as described in § 1037.528(f).
section is complete, stabilize the vehi-
(4) Fill the vehicle’s fuel tanks so cle at the specified speed for at least
they are at maximum capacity at the 200 meters and start taking measure-
start of the measurement procedure. ments. The test segment starts when
(5) Measure the weight over each axle you start taking measurements for all
to the nearest 20 kg, with a full fuel parameters.
tank, including the driver and any pas- (4) During the test segment, continue
sengers that will be in the vehicle dur- to operate the vehicle at the speed set-
ing the test. point, maintaining constant speed and
(d) Measurement procedure. The meas- torque within the ranges specified in
urement sequence consists of vehicle paragraph (e) of this section. Drive the
preconditioning followed by stabiliza- vehicle straight with minimal steering;
tion and measurement over five con- do not change gears. Perform measure-
secutive constant-speed test segments ments as follows during the test seg-
with three different speed setpoints (10, ment:
50, and 70 mi/hr). Each test segment is (i) Measure the rotational speed of
divided into smaller increments for the driveshaft, axle, or wheel where the
data analysis. torque is measured, or calculate it
(1) Precondition the vehicle and zero from engine rpm in conjunction with
the torque meters as follows: gear and axle ratios, as applicable.
(i) If you are using rim torque me- (ii) Measure vehicle speed in conjunc-
ters, zero the torque meters by lifting tion with time-of-day data.
each instrumented axle and recording (iii) Measure ambient conditions, air
torque signals for at least 30 seconds, speed, and air direction as described in
284
§ 1037.528(e) and (f). Correct air speed responding 10 second mean vehicle
and air direction as described in para- speed must be within ±0.2 mi/hr of that
graphs (f)(1) and (2) of this section. 10 second mean vehicle speed. Perform
(5) You may divide a test segment the same data analysis for testing at 10
into multiple passes by suspending and mi/hr, but apply a validation threshold
resuming measurements. Stabilize ve- of ±0.1 mi/hr.
hicle speed before resuming measure- (2) Drive torque. All ten of the 1 sec-
ments for each pass as described in ond mean torque values used to cal-
paragraph (d)(3) of this section. Ana- culate a corresponding 10 second mean
lyze the data from multiple passes by torque value must be within ±50% of
combining them into a single sequence that 10 second mean torque value.
of measurements for each test seg- (3) Torque drift. Torque meter drift
ment. may not exceed ±1%. Determine torque
(6) Divide measured values into even meter drift by repeating the procedure
10 second increments. If the last incre- described in paragraph (d)(1) of this
ment for each test segment is less than section after testing is complete, ex-
10 seconds, disregard measured values cept that driving the vehicle is nec-
from that increment for all calcula- essary only to get the vehicle up to 50
tions under this section. mi/hr as part of coasting to standstill.
(e) Validation criteria. Analyze meas- (f) Calculations. Analyze measured
urements to confirm that the test is data for each time segment after time-
valid. Analyze vehicle speed and drive aligning all the data. Use the following
torque by calculating the mean speed calculations to determine CdA:
and torque values for each successive 1 (1) Onboard air speed. Correct onboard
second increment, for each successive anemometer measurements for air
10 second increment, and for each test speed using onboard measurements and
segment. The test is valid if the data measured ambient conditions as de-
conform to all the following specifica- scribed in § 1037.528(f), except that you
tions: must first divide the test segment into
(1) Vehicle speed. The mean vehicle consecutive 10 second increments. Dis-
speed for the test segment must be regard data from the final increment of
within 1.00 mi/hr of the speed setpoint. the test segment if it is less than 10
In addition, for testing at 50 mi/hr and seconds. This analysis results in the
70 mi/hr, all ten of the 1 second mean following equation for correcting air
vehicle speeds used to calculate a cor- speed measurements:
(2) Yaw angle. Correct the onboard regard data from the final increment of
anemometer measurements for air di- the test segment if it is less than 10
rection for each test segment as fol- seconds.
lows: (ii) Calculate the theoretical air di-
(i) Calculate arithmetic mean values rection, y≈air,th, for each 10 second incre-
for vehicle speed, v̄, wind speed, w̄, and ment using the following equation:
wind direction, f≈w, over each 10 second
increment for each test segment. Dis-
285
ER25OC16.116</GPH>
§ 1037.534 40 CFR Ch. I (7–1–21 Edition)
Where: w̄ = 7.1 mi/hr

fveh = the vehicle direction, as described in v̄ = 69.9 mi/hr
§ 1037.528(f)(2). f≈w = 47.0°
Example: f≈veh = 0°
y≈air,th = 3.97° second increment for all 50 mi/hr and 70

(iii) Perform a linear regression mi/hr test segments to determine the
using paired values of y≈air,th and meas- air-direction correction coefficients, β0
ured air direction, y≈air,meas, from each 10 and β1, based on the following equation:
(iv) For all 50 mi/hr and 70 mi/hr test of air direction using the following
segments, correct each measured value equation:
ER25OC16.120</GPH>
(3) Road load force. (i) Average the (ii) Calculate a mean road load force,
sum of the corrected torques, the aver- F̄RL[speed], for each 10 second increment
age of the wheel speed measurements, using the following equation:
and the vehicle speed over every 10 sec-
ER25OC16.118</GPH> ER25OC16.119</GPH>
ond increment to determine, T̄total,

f̄nwheel, and v̄.
286
ER25OC16.117</GPH>
Where: road to the start or end of each 10 second

T̄total = mean of all corrected torques at a increment, expressed to at least one dec-
point in time. imal place.
v̄ = mean vehicle speed. Example:
f̄nwheel = mean wheel speed. T̄total = 2264.9 N·m
M = the measured vehicle mass. v̄ = 31.6 m/s
ag = acceleration of Earth’s gravity, as de- f̄nwheel =598.0 r/min
scribed in 40 CFR 1065.630. M = 16508 kg
hinc = elevation at the start or end of each 10 ag = 9.8061 m/s2
second increment expressed to at least hinc,start = 0.044 m
two decimal places. hinc,end = 0.574 m
Dinc = distance traveled on the road surface Dinc,start = 215.4 m
from a fixed reference location along the Dinc,end = 697.8 m
F̄RL70 = 4310.6 N F̄aero[speed], from the 50 mi/hr and 70 mi/hr

(4) Determination of drag area. Cal- test segments by subtracting F̄RL10,test
culate a vehicle’s drag area as follows: from F̄RL[speed].
(i) Calculate the mean road load (iii) Average the corrected air speed
force from all 10 second increments and corrected yaw angle over every 10
from the 10 mi/hr test segments from second segment from the 50 mi/hr and
the test that was within the wind lim- 70 mi/hr test segments to determine v̄air
its specified in § 1037.528(c), F̄RL10,test. and y≈air.
This value represents the mechanical (iv) Calculate CdA for each 10 second
drag force acting on the vehicle. increment from the 50 mi/hr and 70 mi/
(ii) Calculate the mean aerodynamic hr test segments using the following
force for each 10 second increment, equation:
ER25OC16.122</GPH> ER25OC16.123</GPH>
Where: v̄air[speed] = mean aerodynamic force over a

CdAi[speed] = the mean drag area for each 10 given 10 second increment.
second increment, i. R = specific gas constant = 287.058 J/(kg·K).
F̄aero[speed] = mean aerodynamic force over a T̄ = mean air temperature.
given 10 second increment = F̄RL[speed] ¥ P̄act = mean absolute air pressure.

F̄RL10,test.
287
ER25OC16.121</GPH>
§ 1037.540 40 CFR Ch. I (7–1–21 Edition)
Example: v̄2air70 = 1089.5 m2/s2
F̄RL70 = 4310.6 N R = 287.058 J/(kg·K)
F̄RL10,test = 900.1 N T̄ = 293.68 K
F̄aero70 = 4310.6 ¥ 900.1 = 3410.5 N P̄act = 101300 Pa
CdAi70 = 5.210 m2 yaw angle for each 10 second incre-

(v) Plot all CdA values from the 50 mi/ ment. Create a regression based on a
hr and 70 mi/hr test segments against fourth-order polynomial regression
the corresponding values for corrected equation of the following form:
(vi) Determine CdAwa-alt as the average § 1037.540 Special procedures for test-
of CdA values at 4.5° and ¥4.5° by applying vehicles with hybrid power
ing Eq. 1037.534–7 at those angles. take-off.
(g) Documentation. Keep the following This section describes optional proce-
records related to the constant-speed dures for quantifying the reduction in
procedure for calculating drag area:
greenhouse gas emissions for vehicles
(1) The measurement data for calcu-
as a result of running power take-off
lating CdA as described in this section.
(2) A general description and pictures (PTO) devices with a hybrid energy de-
of the vehicle tested. livery system. See § 1037.550 for
(3) The vehicle’s maximum height powertrain testing requirements that
and width. apply for drivetrain hybrid systems.
(4) The measured vehicle mass. The procedures are written to test the
(5) Mileage at the start of the first PTO by ensuring that the engine pro-
test segment and at the end of the last duces all of the energy with no net
test segment. change in stored energy (charge-sus-
(6) The date of the test, the starting taining), and for plug-in hybrid vehi-
time for the first test segment, and the cles, also allowing for drawing down
ending time for the last test segment. the stored energy (charge-depleting).
(7) The transmission gear used for The full charge-sustaining test for the
each test segment. hybrid vehicle is from a fully charged
(8) The data describing how the test renewable energy storage system
was valid relative to the specifications (RESS) to a depleted RESS and then
and criteria described in paragraphs (b) back to a fully charged RESS. You
and (e) of this section. must include all hardware for the PTO
(9) A description of any unusual system. You may ask us to modify the
events, such as a vehicle passing the provisions of this section to allow test-
test vehicle, or any technical or human ing hybrid vehicles other than electric-
errors that may have affected the CdA battery hybrids, consistent with good
determination without invalidating the engineering judgment. For plug-in hy-
test. brids, use a utility factor to properly
weight charge-sustaining and charge-
ER25OC16.125</GPH>

29, 2021, § 1037.534 was amended, effective July depleting operation as described in
29, 2021. paragraph (f)(3) of this section.
288
ER25OC16.124</GPH>
(a) Select two vehicles for testing as transducers at the outlet of the hy-
follows: draulic pump for each circuit. Perform
(1) Select a vehicle with a hybrid en- pressure measurements with a fre-
ergy delivery system to represent the quency of at least 1 Hz.
range of PTO configurations that will (2) Operate the PTO system with no
be covered by the test data. If your test load for at least 15 seconds. Measure
data will represent more than one PTO gauge pressure and record the average
configuration, use good engineering value over the last 10 seconds (p̄min).
judgment to select the configuration For hybrid PTO systems the measured
with the maximum number of PTO cir- pressure with no load is typically zero.
cuits that has the smallest potential Apply maximum operator demand to
reduction in greenhouse gas emissions. the PTO system until the pressure re-
(2) Select an equivalent conventional lief valve opens and pressure stabilizes;
vehicle as specified in § 1037.615. measure gauge pressure and record the
(b) Measure PTO emissions from the average value over the last 10 seconds
fully warmed-up conventional vehicle (p̄max).
as follows: (3) Denormalize the PTO duty cycle
(1) Without adding a restriction, in- in Appendix II of this part using the
strument the vehicle with pressure following equation:
Where: TABLE 1 OF § 1037.540—STATISTICAL CRITERIA

prefi = the reference pressure at each point i FOR VALIDATING EACH TEST RUN OVER THE
in the PTO cycle. DUTY CYCLE
pi = the normalized pressure at each point i
Parameter 1 Pressure
in the PTO cycle (relative to p̄max).
p̄max = the mean maximum pressure measured Slope, a1 ................................ 0.950 ≤ a1 ≤ 1.030.
in paragraph (b)(2) of this section. Absolute value of intercept, ≤ 2.0% of maximum mapped
p̄min = the mean minimum pressure measured |a0|. pressure.
Standard error of estimate, ≤ 10% of maximum mapped
in paragraph (b)(2) of this section. SEE. pressure.
Coefficient of determination, ≥ 0.970.
(4) If the PTO system has two cir- r2.
cuits, repeat paragraph (b)(2) and (3) of 1 Determine values for specified parameters as described in
this section for the second PTO circuit. 40 CFR 1065.514(e) by comparing measured values to
(5) Install a system to control pres- denormalized pressure values from the duty cycle in Appendix
II of this part.
sures in the PTO system during the
cycle. (c) Measure PTO emissions from the
(6) Start the engine. fully warmed-up hybrid vehicle as fol-
lows:
(7) Depending on the number of cir-
(1) Perform the steps in paragraphs
cuits the PTO system has, operate the (b)(1) through (5) of this section.
vehicle over one or concurrently over (2) Prepare the vehicle for testing by
both of the denormalized PTO duty cy- operating it as needed to stabilize the
cles in Appendix II of this part. Meas- RESS at a full state of charge (or
ure emissions during operation over equivalent for non-electric RESS).
each duty cycle using the provisions of (i) For plug-in hybrid electric vehi-
40 CFR part 1066. cles, we recommend charging the bat-
(8) Measured pressures must meet the tery with an external electrical source.
cycle-validation specifications in the (ii) For other vehicles, we rec-
following table for each test run over ommend running back-to-back PTO
the duty cycle: tests until engine operation is initiated

to charge the RESS. The RESS should
289
ER25OC16.126</GPH>
§ 1037.540 40 CFR Ch. I (7–1–21 Edition)
be fully charged once engine operation mize the variability in testing between
stops. The ignition should remain in the two types of vehicles.
the ‘‘on’’ position. (6) For plug-in hybrid electric vehi-
(3) Turn the vehicle and PTO system cles, follow 40 CFR 1066.501 to divide
off while the sampling system is being the test into charge-depleting and
prepared. charge-sustaining operation.
(4) Turn the vehicle and PTO system (7) Apply cycle-validation criteria as
on such that the PTO system is func- described in paragraph (b)(8) of this
tional, whether it draws power from section to both charge-sustaining and
the engine or a battery. charge-depleting operation.
(d) Calculate the equivalent distance
(5) Operate the vehicle over one or
driven based on operating time for each
both of the denormalized PTO duty cy-
section of the PTO portion of the test
cles without turning the vehicle off, as applicable by determining the time
until the engine starts and then shuts of the test and applying the conversion
down. This may require running mul- factor in paragraph (d)(4) of this sec-
tiple repeats of the PTO duty cycles. tion. For testing where fractions of a
For non-PHEV systems the test cycle cycle were run (for example, where
is completed once the engine shuts three cycles are completed and the
down. For plug-in hybrid systems, con- halfway point of a fourth PTO cycle is
tinue running until the PTO hybrid is reached before the engine starts and
running in a charge-sustaining mode shuts down again), calculate the time
such that the ‘‘End of Test’’ require- of the test, ttest, as follows:
ments defined in 40 CFR 1066.501 are (1) Add up the time run for all com-
met. Measure emissions as described in plete tests.
paragraph (b)(7) of this section. Use (2) For fractions of a test, use the fol-
good engineering judgment to mini- lowing equation to calculate the time:
Where: (3) Sum the time from the complete

i = an indexing variable that represents one cycles and from the partial cycle.
recorded value. (4) Divide the total PTO operating
N = number of measurement intervals. time from paragraph (d)(3) of this sec-
pcircuit-1,i = normalized pressure command from tion by a conversion factor of 0.0144 hr/
circuit 1 of the PTO cycle for each point,
i, starting from i = 1. mi for Phase 1 and 0.0217 hr/mi for
pcircuit-2,i = normalized pressure command from Phase 2 to determine the equivalent
circuit 2 of the PTO cycle for each point, distance driven. The conversion factors
i, starting from i = 1. Let pcircuit-2 = 0 if are based on estimates of average vehi-
there is only one circuit. cle speed and PTO operating time as a
p̄circuit-1 = the mean normalized pressure com- percentage of total engine operating
mand from circuit 1 over the entire PTO
time; the Phase 2 conversion factor is
cycle.
p̄circuit-2 = the mean normalized pressure com- calculated from an average speed of
mand from circuit 2 over the entire PTO 27.1 mi/hr and PTO operation 37% of en-
cycle. Let p̄circuit-2 = 0 if there is only one gine operating time, as follows:
circuit.
Δt = the time interval between measure-
ments. For example, at 100 Hz, Δt = 0.0100

seconds.
290
ER25OC16.127</GPH>
(e) For Phase 1, calculate combined (f) For Phase 2, calculate the delta
cycle-weighted emissions of the four PTO fuel results for input into GEM
duty cycles for vocational vehicles, for during vehicle certification as follows:
both the conventional and hybrid PTO (1) Calculate fuel consumption in
vehicle tests, as follows: grams per test, mfuelPTO, without round-
(1) Calculate the CO2 emission rates ing, as described in 40 CFR 1036.540(d)(4)
in grams per test without rounding for and (5) for both the conventional vehi-
both the conventional vehicle and the cle and the charge-sustaining and
charge-sustaining and charge-depleting charge-depleting portions of the test
for the hybrid vehicle as applicable.
portions of the test for the hybrid vehi-
(2) Divide the fuel mass by the appli-
cle as applicable.
cable distance determined in paragraph
(2) Divide the CO2 mass from the PTO (d)(4) of this section and the appro-
cycle by the distance determined in priate standard payload to determine
paragraph (d)(4) of this section and the the fuel rate in g/ton-mile.
standard payload to get the CO2 emis- (3) For plug-in hybrid electric vehi-
sion rate in g/ton-mile. For plug-in hy- cles calculate the utility factor weight-
brid electric vehicles follow paragraph ed fuel consumption in g/ton-mile, as
(f)(3) of this section to calculate utility follows:
factor weighted CO2 emissions in g/ton- (i) Determine the utility factor frac-
mile. tion for the PTO system from the table
(3) Calculate the g/ton-mile emission in Appendix V of this part using inter-
rate for the driving portion of the test polation based on the total time of the
specified in § 1037.510 and add this to charge-depleting portion of the test as
the CO2 g/ton-mile emission rate for determined in paragraphs (c)(6) and
the PTO portion of the test. (d)(3) of this section.
(4) Follow the provisions of § 1037.615 (ii) Weight the emissions from the
to calculate improvement factors and charge-sustaining and charge-depleting
benefits for advanced technologies. portions of the test using the following
equation:
Where: this section using good engineering

mPTO,CD = mass of fuel per ton-mile while in judgment.
charge-depleting mode.
UFtCD = utility factor fraction at time tCD as EFFECTIVE DATE NOTE: At 86 FR 34477, June
determined in paragraph (f)(3)(i) of this 29, 2021, § 1037.540 was amended, effective July
section. 29, 2021.
mPTO,CS = mass of fuel per ton-mile while in
charge-sustaining mode. § 1037.550 Powertrain testing.
(4) Calculate the difference between (a) This section describes how to de-
the conventional PTO emissions result termine engine fuel maps using a meas-
and the hybrid PTO emissions result urement procedure that involves test-
for input into GEM. ing an engine coupled with a
ER25OC16.129</GPH>
(g) If the PTO system has more than powertrain to simulate vehicle oper-
two circuits, apply the provisions of ation. Engine fuel maps are part of
291
ER25OC16.128</GPH>
§ 1037.550 40 CFR Ch. I (7–1–21 Edition)
demonstrating compliance with Phase (c) Select an engine and powertrain

2 vehicle standards under this part for testing as described in § 1037.231.
1037; this fuel-mapping information (d) Set up the engine according to 40
may come from different types of test- CFR 1065.110. The default test configu-
ing as described in 40 CFR 1036.510. ration involves connecting the
(b) Perform powertrain testing to es- powertrain’s transmission output shaft
tablish measured fuel-consumption directly to the dynamometer. You may
rates over applicable duty cycles for instead set up the dynamometer to
several different vehicle configura- connect at the wheel hubs if your
tions. The following general provisions powertrain configuration requires it,
apply: such as for hybrid powertrains, or if
(1) Measure NOX emissions for each you want to represent the axle per-
sampling period in grams. You may formance with powertrain test results.
perform these measurements using a If you connect at the wheel hubs, input
your test results into GEM to reflect
NOX emission-measurement system
this.
that meets the requirements of 40 CFR
(e) Cool the powertrain during test-
part 1065, subpart J. Include these
ing so temperatures for intake-air, oil,
measured NOX values any time you re-
coolant, block, head, transmission, bat-
port to us your greenhouse gas emis-
tery, and power electronics are within
sions or fuel consumption values from their expected ranges for normal oper-
testing under this section. If a system ation. You may use auxiliary coolers
malfunction prevents you from meas- and fans.
uring NOX emissions during a test (f) Set the dynamometer to operate
under this section but the test other- in speed-control mode. Record data as
wise gives valid results, you may con- described in 40 CFR 1065.202. Command
sider this a valid test and omit the NOX and control dynamometer speed at a
emission measurements; however, we minimum of 5 Hz. If you choose to com-
may require you to repeat the test if mand the dynamometer at a slower
we determine that you inappropriately rate than the calculated dynamometer
voided the test with respect to NOX speed setpoint, use good engineering
emission measurement. judgment to subsample the calculated
(2) This section uses engine param- setpoints for use in commanding the
eters and variables that are consistent dynamomemter speed setpoint. Design
with 40 CFR part 1065. a vehicle model to use the measured
(3) While this section includes the de- torque and calculate the dynamometer
tailed equations, you need to develop speed setpoint at a rate of at least 100
your own driver model and vehicle Hz, as follows:
model; we recommend that you use the (1) Calculate the dynamometer’s an-
MATLAB/Simulink code provided at gular speed target, ƒnref,dyno, based on
www.epa.gov/otaq/climate/gem.htm. the simulated linear speed of the tires:
Where: r[speed] = tire radius as determined in para-

ka[speed] = drive axle ratio as determined in graph (h) of this section.
paragraph (h) of this section.
vrefi = simulated vehicle reference speed. Use
the unrounded result for calculating

ƒnrefi,dyno.
292
ER25OC16.130</GPH>
Where: paragraph (f)(2) of this section, use Eƒƒaxle

i = a time-based counter corresponding to = 1.0.
each measurement during the sampling M = vehicle mass for a vehicle class as deter-
mined in paragraph (h) of this section.
period. Let vref1 = 0; start calculations at
g = gravitational constant = 9.81 m/s2.
i = 2. A 10-minute sampling period will
Crr = coefficient of rolling resistance for a ve-
generally involve 60,000 measurements.
hicle class as determined in paragraph
T = instantaneous measured torque. (h) of this section.
Eƒƒaxle = axle efficiency. Use Eƒƒaxle = 0.955 for Gi-1 = the percent grade interpolated at dis-
T > 0, and use Eƒƒaxle = 1/0.955 for T < 0. To tance, Di-1, from the duty cycle in Appen-
calculate ƒnrefi,dyno for a dynamometer con- dix IV corresponding to measurement
nected at the wheel hubs, as described in (i¥1).
ρ = air density at reference conditions. Use r Fbrake = instantaneous braking force applied
= 1.20 kg/m3. by the driver model.
CdA = drag area for a vehicle class as deter-
mined in paragraph (h) of this section.
Δt = the time interval between measure- speed automatic transmission at B speed

ments. For example, at 100 Hz, Δt = 0.0100 (Test 4 in Table 2 of 40 CFR 1036.540).
seconds. kaB = 4.0
Mrotating = inertial mass of rotating compo- rB = 0.399 m
nents. Let Mrotating = 340 kg for vocational T1000–1 = 500.0 N·m
Light HDV or vocational Medium HDV.
Crr = 6.9 kg/tonne = 6.9·10¥3 kg/kg
ER25OC16.132</GPH> ER25OC16.310</GPH>
See paragraph (h) of this section for trac-

tors and for vocational Heavy HDV. M = 11408 kg
CdA = 5.4 m2
Example:
This example is for a vocational Light G1000–1 = 1.0% = 0.018
HDV or vocational Medium HDV with 6
293
ER25OC16.131</GPH>
§ 1037.550 40 CFR Ch. I (7–1–21 Edition)
Fbrake1000–1 = 0 N Δt = 0.0100 s
vref1000–1 = 20.0 m/s Mrotating = 340 kg
Fgrade1001–1 = 11408·9.81·sin(atan(0.018)) =
2014.1N
vref1000 = 20.00129 m/s
(2) For testing with the dynamom- culate fnref,dyno using the following equa-
eter connected at the wheel hubs, cal- tion:
(g) Design a driver model to simulate speed from the test cycle. Include a
a human driver modulating the throt- delay before changing the brake signal
tle and brake pedals to follow the test to prevent dithering, consistent with
cycle as closely as possible. The driver good engineering judgment.
model must meet the speed require- (2) Allow braking only if throttle po-
ER25OC16.312</GPH>
ments for operation over the highway sition is zero.

cruise cycles as described in § 1037.510 (3) Compensate for the distance driv-
and for operation over the transient en over the duty cycle over the course
cycle as described in 40 CFR 1066.425(b). of the test. Use the following equation
The exceptions in 40 CFR 1066.425(b)(4)
ER25OC16.134</GPH> ER25OC16.311</GPH>
to perform the compensation in real

apply to the transient cycle and the
time to determine your time in the
highway cruise cycles. Design the driv-
cycle:
er model to meet the following speci-
fications:
(1) Send a brake signal when throttle
position is zero and vehicle speed is

greater than the reference vehicle
294
ER25OC16.133</GPH>
Where: the different configurations in numer-

vvehicle = measured vehicle speed. ical order starting with Test 1. If an in-
vcycle = reference speed from the test cycle. If frequent regeneration event occurs
vcycle,i-1 < 1.0 m/s, set vcycle,i-1 = vvehicle,i-1. during testing, void the test, but con-
(h) Configure the vehicle model in tinue operating the vehicle to allow
the test cell to test the powertrain the regeneration event to finish, then
using at least three equally spaced axle precondition the engine to the same
ratios or tire sizes and three different condition as would apply for normal
road loads (nine configurations), or at testing and restart testing at the start
least four equally spaced axle ratios or of the same duty cycle for that test
tire sizes and two different road loads configuration. For PHEV powertrains,
(eight configurations) to cover the precondition the battery and then com-
range of intended vehicle applications. plete all back to back tests for each
Select axle ratios to represent the full test configuration according to 40 CFR
range of expected vehicle installations. 1066.501 before moving to the next test
Determine the vehicle model inputs for configuration. You may send signals to
vehicle mass, CdA, and Crr for a set of the engine controller during the test,
vehicle configurations as described in such as cycle road grade and vehicle
40 CFR 1036.540(c)(3). You may instead speed, if that allows powertrain oper-
test to simulate eight or nine vehicle ation during the test to better rep-
configurations from different vehicle resent real-world operation.
categories if you limit your (j) Collect and measure emissions as
powertrains to a certain range of vehi- described in 40 CFR part 1065. For hy-
cles. For example, if your powertrain brid powertrains with no plug-in capa-
will be installed only in vocational Me- bility, correct for the net energy
dium HDV and vocational Heavy HDV, change of the energy storage device as
you may perform testing to represent described in 40 CFR 1066.501. For PHEV
eight or nine vehicle configurations powertrains, follow 40 CFR 1066.501 to
using vehicle masses for Medium HDV determine End-of-Test for charge-de-
and Heavy HDV, the predefined CdA for pleting operation. You must get our
those vehicles, and the lowest and approval in advance for your utility
highest Crr of the tires that will be in- factor curve; we will approve it if you
stalled on those vehicles. Also, instead can show that you created it from suf-
of selecting specific axle ratios and tire ficient in-use data of vehicles in the
size as described in this paragraph (h), same application as the vehicles in
you may select equally spaced axle ra- which the PHEV powertrain will be in-
tios and tire sizes that cover the range stalled.
of minimum and maximum engine (k) For each test point, validate the
speed over vehicle speed when the measured output speed with the cor-
transmission is in top gear for the ve- responding reference values. If the
hicles the powertrain will be installed range of reference speed is less than 10
in. percent of the mean reference speed,
(i) Operate the powertrain over each you need to meet only the standard
of the duty cycles specified in error of estimate in Table 1 of this sec-
§ 1037.510(a)(2), and for each applicable tion. You may delete points when the
test configuration identified in 40 CFR vehicle is stopped. Apply cycle-valida-
1036.540(c). For each duty cycle, pre- tion criteria for each separate tran-
condition the powertrain using the sient or highway cruise cycle based on
Test 1 vehicle configuration and test the following parameters:
295
ER25OC16.135</GPH>
§ 1037.550 40 CFR Ch. I (7–1–21 Edition)
TABLE 1 OF § 1037.550—STATISTICAL CRITERIA (m) Calculate mass of fuel consumed

FOR VALIDATING DUTY CYCLES for all duty cycles except idle as de-
scribed in 40 CFR 1036.540(d)(4).
Parameter 1 Speed control
(n) Determine the mass of fuel con-
Slope, a1 ................................ 0.990 ≤ a1 ≤ 1.010. sumed at idle for the applicable duty
Absolute value of intercept, ≤2.0% of maximum test cycles as follows:
|a0|. speed. (1) Measure fuel consumption with a
Standard error of estimate, ≤2.0% of maximum test fuel flow meter and report the mean
SEE. speed.
fuel mass flow rate for each duty cycle
Coefficient of determination, ≥0.990. Ô
r2. as applicable, mfuelidle.
1 Determine values for specified parameters as described in
(2) For measurements that do not in-
40 CFR 1065.514(e) by comparing measured and reference volve measured fuel mass flow rate,
values for fnref,dyno. calculate the fuel mass flow rate for
Ô
(l) [Reserved] each duty cycle, mfuelidle, for each set of
vehicle settings, as follows:
Ô
Where: mH2O2DEF= the mean CO2 mass emission rate
MC = molar mass of carbon. resulting from diesel exhaust fluid de-
wCmeas = carbon mass fraction of fuel (or mix- composition over the duty cycle as deter-
ture of test fuels) as determined by in mined in 40 CFR 1036.535(b)(10). If your
CFR 1065.655(d), except that you may not engine does not use diesel exhaust fluid,
use the default properties in Table 1 of 40 or if you choose not to perform this cor-
Ô
CFR 1065.655 to determine α, β, and wC for rection, set mCO2DEF equal to 0.
liquid fuels. MCO2 = molar mass of carbon dioxide.
Ô
nexh = the mean raw exhaust molar flow rate Example:
from which you measured emissions ac- MC = 12.0107 g/mol
cording to 40 CFR 1065.655. w = 0.867
Ô Cmeas
x̄Ccombdry = the mean concentration of carbon nexh = 25.534 mol/s
from fuel and any injected fluids in the x̄Ccombdry = 2.805·10¥3 mol/mol
exhaust per mole of dry exhaust. x̄H2Oexhdry = 3.53·10¥2 mol/mol
Ô
x̄H2Oexhdry = the mean concentration of H2O in mCO2DEF = 0.0726 g/s
exhaust per mole of dry exhaust. MCO2 = 44.0095
Ô
mfuelidle = 0.405 g/s = 1458.6 g/hr These declared values may not be lower
(o) Use the results of powertrain test- than any corresponding measured val-
ing to determine GEM inputs for the ues determined in this section. You
different simulated vehicle configura- may select any value that is at or
tions as follows: above the corresponding measured
(1) Select fuel-consumption rates, value. These declared fuel-consumption
mfuel[cycle], in g/cycle. In addition, declare rates, which serve as emission stand-
ER25OC16.137</GPH>
a fuel mass consumption rate for each ards, represent collectively as the cer-
Ô tified powertrain fuel map.
applicable idle duty cycle, mfuelidle.
296
ER25OC16.136</GPH>
(2) Powertrain output speed per unit the rear axle that was used in the test.
of vehicle speed. If the test is done with If the vehicle does not have a drive
the dynamometer connected at the axle, such as hybrid vehicles with di-
wheel hubs set ka to the axle ratio of rect electric drive, let ka = 1.
(3) Positive work, W[cycle], over the (4) The following table illustrates the
duty cycle at the transmission output GEM data inputs corresponding to the
or wheel hubs from the powertrain different vehicle configurations:
test.
(p) Correct the measured or cal- § 1037.551 Engine-based simulation of

culated fuel mass, mfuel, and idle fuel powertrain testing.
Ô
mass flow rate, mfuelidle if applicable, for Section 1037.550 describes how to
each test result to a mass-specific net measure fuel consumption over specific
energy content of a reference fuel as duty cycles with an engine coupled to a
described in § 1036.535(b)(11), replacing transmission; § 1037.550(q) describes how
Ô
mfuel with mfuel where applicable in Eq. to create equivalent duty cycles for re-
1036.535–3. peating those same measurements with
(q) For each test run, record the en- just the engine. This § 1037.551 describes
gine speed and torque as defined in 40 how to perform this engine testing to
CFR 1065.915(d)(5) with a minimum simulate the powertrain test. These en-
sampling frequency of 1 Hz. These engine-based measurements may be used
gine speed and torque values represent for confirmatory testing as described
a duty cycle that can be used for sepa- in § 1037.235, or for selective enforce-
rate testing with an engine mounted on ment audits as described in § 1037.301,
an engine dynamometer, such as for a as long as the test engine’s operation
selective enforcement audit as de- represents the engine operation ob-
scribed in § 1037.301. served in the powertrain test. If we use
[81 FR 74048, Oct. 25, 2016; 82 FR 29762, June this approach for confirmatory testing,
30, 2017] when making compliance determina-
tions, we will consider the uncertainty
associated with this approach relative
29, 2021, § 1037.550 was revised, effective July
to full powertrain testing. Use of this
ER25OC16.139</GPH>
29, 2021.
approach for engine SEAs is optional
for engine manufacturers.
297
ER25OC16.138</GPH>
§ 1037.555 40 CFR Ch. I (7–1–21 Edition)
(a) Use the procedures of 40 CFR part (c) Calculate the mass of fuel con-
1065 to set up the engine, measure sumed as described in § 1037.550(m) and
emissions, and record data. Measure in- (n). Correct each measured value for
dividual parameters and emission con- the test fuel’s mass-specific net energy
stituents as described in this section. content as described in 40 CFR 1036.530.
Measure NOX emissions for each sam- Use these corrected values to deter-
pling period in grams. You may per- mine whether the engine’s emission
form these measurements using a NOX levels conform to the declared fuel-con-
emission-measurement system that sumption rates from the powertrain
meets the requirements of 40 CFR part test.
1065, subpart J. Include these measured
NOX values any time you report to us EFFECTIVE DATE NOTE: At 86 FR 34483, June
your greenhouse gas emissions or fuel 29, 2021, § 1037.531 was amended, effective July
consumption values from testing under 29, 2021.
this section. If a system malfunction
prevents you from measuring NOX § 1037.555 Special procedures for test-
ing Phase 1 hybrid systems.
emissions during a test under this sec-
tion but the test otherwise gives valid This section describes the procedure
results, you may consider this a valid for simulating a chassis test with a
test and omit the NOX emission meas- pre-transmission or post-transmission
urements; however, we may require hybrid system for A to B testing of
you to repeat the test if we determine Phase 1 vehicles. These procedures may
that you inappropriately voided the also be used to perform A to B testing
test with respect to NOX emission with non-hybrid systems. See § 1037.550
measurement. For hybrid powertrains, for Phase 2 hybrid systems.
correct for the net energy change of (a) Set up the engine according to 40
the energy storage device as described CFR 1065.110 to account for work inputs
in 40 CFR 1066.501. and outputs and accessory work.
(b) Operate the engine over the appli- (b) Collect CO2 emissions while oper-
cable engine duty cycles corresponding ating the system over the test cycles
to the vehicle cycles specified in specified in § 1037.510(a)(1).
§ 1037.510(a)(2) for powertrain testing
(c) Collect and measure emissions as
over the applicable vehicle simulations
described in § 1037.550(h). Warm up the described in 40 CFR part 1066. Calculate
engine to prepare for the transient test emission rates in grams per ton-mile
or one of the highway cruise cycles by without rounding. Determine values
operating it one time over one of the for A, B, C, and M for the vehicle being
simulations of the corresponding duty simulated as specified in 40 CFR part
cycle. Warm up the engine to prepare 1066. If you will apply an improvement
for the idle test by operating it over a factor or test results to multiple vehi-
simulation of the 65-mi/hr highway cle configurations, use values of A, B,
cruise cycle for 600 seconds. Within 60 C, M, ka, and r that represent the vehi-
seconds after concluding the warm up cle configuration with the smallest po-
cycle, start emission sampling while tential reduction in greenhouse gas
the engine operates over the duty emissions as a result of the hybrid ca-
cycle. You may perform any number of pability.
test runs directly in succession once (d) Calculate the transmission output
the engine is warmed up. Perform cycle shaft’s angular speed target for the
validation as described in 40 CFR driver model, fnref,driver, from the linear
1065.514 for engine speed, torque, and speed associated with the vehicle cycle
power. using the following equation:
298
Where: mometer to follow the test cycle, as

vcyclei = vehicle speed of the test cycle for follows:
each point, i, starting from i = 1. (1) Calculate the transmission output
ka = drive axle ratio, as declared by the man-
ufacturer.
shaft’s angular speed target for the dy-
r = radius of the loaded tires, as declared by namometer, fnref,dyno, from the measured
the manufacturer. linear speed at the dynamometer rolls
using the following equation:
(e) Use speed control with a loop rate
of at least 100 Hz to program the dyna-
Where:
T = instantaneous measured torque at the validation criteria by treating the sam-

transmission output shaft. pling periods from the two tests as a
Fbrake = instantaneous brake force applied by continuous sampling period. Perform
the driver model to add force to slow
this validation based on the following
down the vehicle.
t = elapsed time in the driving schedule as
parameters:
measured by the dynamometer, in sec-
onds. TABLE 1 OF § 1037.555—STATISTICAL CRITERIA
FOR VALIDATING DUTY CYCLES
(2) For each test, validate the meas-
ured transmission output shaft’s speed Parameter Speed control
ER25OC16.141</GPH> ER25OC16.142</GPH>
with the corresponding reference val- Slope, a1 ................................ 0.950 ≤ a1 ≤ 1.030.

ues according to 40 CFR 1065.514(e). You Absolute value of intercept, ≤ 2.0% of maximum test
may delete points when the vehicle is |a0|. speed.
stopped. Perform the validation based Standard error of estimate, ≤ 5% of maximum test
SEE. speed.
on speed values at the transmission
Coefficient of determination, ≥ 0.970.

output shaft. For steady-state tests (55 r2.
mi/hr and 65 mi/hr cruise), apply cycle-
299
ER25OC16.140</GPH>
§ 1037.560 40 CFR Ch. I (7–1–21 Edition)
(f) Send a brake signal when throttle (2) If you have a family of axle as-
position is equal to zero and vehicle semblies with different axle ratios, you
speed is greater than the reference ve- may test multiple configurations using
hicle speed from the test cycle. Set a a common axle housing, wheel ends,
delay before changing the brake state and bearings.
to prevent the brake signal from (3) Install the axle on the dynamom-
dithering, consistent with good engi- eter with an input shaft angle perpen-
neering judgment. dicular to the axle.
(g) The driver model should be de- (i) For axle assemblies with or with-
signed to follow the cycle as closely as out a locking main differential, test
possible and must meet the require- the axle using one of the following
ments of § 1037.510 for steady-state test- methods:
ing and 40 CFR 1066.430(e) for transient (A) Lock the main differential and
testing. The driver model should be de- test it with one electric motor on the
signed so that the brake and throttle input shaft and a second electric motor
are not applied at the same time. on the output side of the output shaft
(h) Correct for the net energy change that has the speed-reduction gear at-
of the energy storage device as detached to it.
scribed in 40 CFR 1066.501. (B) Test with the main differential
(i) Follow the provisions of § 1037.510 unlocked and with one electric motor
to weight the cycle results and on the input shaft and electric motors
§ 1037.615 to calculate improvement fac- on the output sides of each of the out-
tors and benefits for advanced tech- put shafts.
nologies for Phase 1 vehicles. (ii) For drive-through tandem-axle
setups, lock the longitudinal and inter-
EFFECTIVE DATE NOTE: At 86 FR 34483, June wheel differentials.
29, 2021, § 1037.555 was amended, effective July (4) Add gear oil according to the axle
29, 2021.
manufacturer’s instructions. If the axle
§ 1037.560 Axle efficiency test. manufacturer specifies multiple gear
oils, select the one with the highest
This section describes a procedure for viscosity at operating temperature.
mapping axle efficiency through a de- You may use a lower-viscosity gear oil
termination of axle power loss. if we approve that as critical emission-
(a) You may establish axle power loss related maintenance under § 1037.125.
maps based on testing any number of Fill the gear oil to a level that rep-
axle configurations within an axle fam- resents in-use operation. You may use
ily as specified in § 1037.232. You may an external gear oil conditioning sys-
share data across a family of axle con- tem, as long as it does not affect meas-
figurations, as long as you test the axle ured values.
configuration with the lowest effi- (5) Install equipment for measuring
ciency from the axle family; this will the bulk temperature of the gear oil in
generally involve testing the axle with the oil sump or a similar location.
the highest axle ratio. For vehicles (6) Break in the axle assembly using
with tandem drive axles, always test good engineering judgment. Maintain
each drive axle separately. For tandem gear oil temperature at or below 100 °C
axles that can be disconnected, test throughout the break-in period.
both single-drive and tandem axle con- (7) Drain the gear oil following the
figurations. Alternatively, you may break-in procedure and repeat the fill-
ask us to approve power loss maps for ing procedure described in paragraph
untested configurations that are ana- (b)(3) of this section.
lytically derived from tested configura- (c) Measure input and output speed
tions within the same family (see and torque as described in 40 CFR
§ 1037.235(h)). 1065.210(b), except that you may use a
(b) Prepare an axle assembly for test- magnetic or optical shaft-position de-
ing as follows: tector with only one count per revolu-
(1) Select an axle assembly with less tion. Use a speed-measurement system
than 500 hours of operation before test- that meets an accuracy of ±0.05% of
ing. Assemble the axle in its housing, point. Use torque transducers that
along with wheel ends and bearings. meet an accuracy requirement of ±0.2%
300
of the maximum axle input torque or ing. Measure ambient temperature

output torque tested for loaded test within 1.0 m of the axle assembly.
points, and ±1.0 N·m for unloaded test Verify that critical axle settings (such
points. Calibrate and verify measure- as bearing preload, backlash, and oil
ment instruments according to 40 CFR sump level) are within specifications
part 1065, subpart C. Command speed before and after testing.
and torque at a minimum of 10 Hz, and (2) Maintain gear oil temperature at
record all data, including bulk oil tem- (81 to 83) °C. Measure gear oil tempera-
perature, as 1 Hz mean values. ture at the drain of the sump. You may
(d) The test matrix consists of output use an external gear oil conditioning
torque and wheel speed values meeting system, as long as it does not affect
the following specifications: measured values.
(1) Output torque includes both load- (3) Use good engineering judgment to
ed and unloaded operation. For meas- warm up the axle by operating it until
urement involving unloaded output the gear oil is within the specified tem-
torque, also called spin loss testing, perature range.
the wheel end is not connected to the
(4) Stabilize operation at each point
dynamometer and is left to rotate free-
in the test matrix for at least 10 sec-
ly; in this condition the input torque
onds, then measure the input torque,
(to maintain constant wheel speed)
output torque, and wheel speed for at
equals the power loss. Test axles at a
least 10 seconds, recording the mean
range of output torque values, as fol-
values for all three parameters. Cal-
lows:
culate power loss as described in para-
(i) 0, 500, 1000, 2000, 3000, and 4000 N·m
graph (f) of this section based on
for single drive axle applications for
torque and speed values at each test
tractors and for vocational Heavy HDV
with a single drive axle. point.
(ii) 0, 250, 500, 1000, 1500, and 2000 N·m (5) Perform the map sequence de-
for tractors, for vocational Heavy HDV scribed in paragraph (e)(4) of this sec-
with tandem drive axles, and for all vo- tion three times. Remove torque from
cational Light HDV or vocational Me- the input shaft and allow the axle to
dium HDV. come to a full stop before each repeat
(iii) You may exclude values that ex- measurement.
ceed your axle’s maximum torque rat- (6) You may need to perform addi-
ing. tional testing based on a calculation of
(2) Determine maximum wheel speed repeatability at a 95% confidence level.
corresponding to a vehicle speed of 65 Make a separate repeatability calcula-
mi/hr based on the smallest tire (as de- tion for the three data points at each
termined using § 1037.520(c)(1)) that will operating condition in the test matrix.
be used with the axle. If you do not If the confidence limit is greater than
know the smallest tire size, you may 0.10% for loaded tests or greater than
use a default size of 650 r/mi. Use wheel 0.05% for unloaded tests, perform an-
rotational speeds for testing that in- other repeat of the axle power loss map
clude 50 r/min and speeds in 100 r/min and recalculate the repeatability for
increments that encompass the max- the whole set of test results. Continue
imum wheel speed (150, 250, etc.). testing until the repeatability is at or
(3) You may test the axle at addi- below the specified values for all oper-
tional speed and torque setpoints. ating conditions.
(e) Determine axle efficiency using Calculate a confidence limit rep-
the following procedure: resenting the repeatability in estab-
(1) Maintain ambient temperature lishing a 95% confidence level using the
between (15 and 35) °C throughout test- following equation:
301
§ 1037.560 40 CFR Ch. I (7–1–21 Edition)
Where: Pmax = maximum output torque setting from

sPloss = standard deviation of power loss val- the test matrix.
ues at a given torque-speed setting (see Example:
40 CFR 1065.602(c)). sPloss = 165.0 W
N = number of repeat tests. N=3
Pmax = 314200 W
(7) Calculate mean input torque, T̄in (f) Calculate the mean power loss,
mean output torque, T̄out, and mean P̄loss, at each operating condition in the
wheel rotational speed, f̄nwheel, for each test matrix as follows:
point in the test matrix using the re-
sults from all the repeat tests.
(2) For each test calculate the mean

power loss, P̄loss, as follows:
ER25OC16.146</GPH>
ER25OC16.145</GPH>
Where: T̄in = 845.1 N·m f̄nwheel = 100 r/min = 10.472 rad/
T̄in = mean input torque. s
f̄nwheel = mean wheel rotational speed. ka = 3.731
ka = drive axle ratio, expressed to at least the T̄out = 3000 N·m
ER25OC16.320</GPH>
nearest 0.001. P̄loss = 845.1·10.472·3.731 ¥ 3000·10.472

T̄out = mean output torque. Let T̄out = 0 for all P̄loss = 1602.9 W = 1.6029 kW
unloaded tests. P̄loss,2 = 1601.9 W = 1.6019 kW
Example: P̄loss,3 = 1603.9 W = 1.6039 kW
ER25OC16.144</GPH></EXAMPLE>
302
ER25OC16.143</GPH>
(g) Create a table showing the mean

power loss,
corresponding to each mean output (1) Select a transmission with less

torque and mean wheel speed for input than 500 hours of operation before test-
into GEM. Express wheel speed in r/min ing.
to one decimal place; express output (2) Mount the transmission to the dy-
torque in N·m to two decimal places; namometer such that the geared shaft
express power loss in kW to four dec- in the transmission is aligned with the
imal places. Select mean power loss input shaft from the dynamometer.
values at or above the corresponding (3) Add transmission oil according to
value calculated in paragraph (f) of the transmission manufacturer’s in-
this section. Use good engineering structions. If the transmission manu-
judgment to select values that will be facturer specifies multiple trans-
at or above the mean power loss values mission oils, select the one with the
for your production axles. For vehicles highest viscosity at operating tempera-
with tandem drive axles, sum the ture. You may use a lower-viscosity
power losses and output torques of the transmission oil if we approve that as
individual axles when creating your critical emission-related maintenance
table. For tandem axles with a dis- under § 1037.125. Fill the transmission
connect, input a separate table into oil to a level that represents in-use op-
GEM for the single and tandem drive eration. You may use an external
axle configurations. Vehicle manufac- transmission oil conditioning system,
turers will use these declared mean as long as it does not affect measured
power loss values for certification. values.
EFFECTIVE DATE NOTE: At 86 FR 34484, June (4) Include any internal and external
29, 2021, § 1037.560 was revised, effective July pumps for hydraulic fluid and lubri-
29, 2021. cating oil in the test. Determine the
work required to drive an external
§ 1037.565 Transmission efficiency test. pump according to 40 CFR 1065.210.
This section describes a procedure for (5) Install equipment for measuring
mapping transmission efficiency the bulk temperature of the trans-
through a determination of transmission oil in the oil sump or a similar
mission power loss. location.
(a) You may establish transmission (6) If the transmission is equipped
power loss maps based on testing any with a torque converter, lock it for all
number of transmission configurations testing performed in this section.
within a transmission family as speci- (7) Break in the transmission using
fied in § 1037.232. You may share data good engineering judgment. Maintain
across any configurations within the transmission oil temperature at (87 to
family, as long as you test the trans- 93) °C for automatic transmissions and
mission configuration with the lowest transmissions having more than two
efficiency from the emission family. friction clutches, and at (77 to 83) °C for
Alternatively, you may ask us to ap- all other transmissions. You may ask
prove power loss maps for untested us to approve a different range of
configurations that are analytically transmission oil temperatures if you
derived from tested configurations have data showing that it better rep-
within the same family (see resents in-use operation.
§ 1037.235(h)). (c) Measure input and output shaft
(b) Prepare a transmission for testing speed and torque as described in 40 CFR
as follows: 1065.210(b), except that you may use a
303
ER25OC16.322</GPH>
§ 1037.565 40 CFR Ch. I (7–1–21 Edition)
magnetic or optical shaft-position de- (4) Perform unloaded transmission

tector with only one count per revolu- tests by disconnecting the trans-
tion. Use a-speed measurement system mission output shaft from the dyna-
that meets an accuracy of ±0.05% of mometer and letting it rotate freely. If
point. Use torque transducers that the transmission adjusts pump pres-
meet an accuracy requirement of ±0.2% sure based on whether the vehicle is
of the transmission’s maximum rated moving or stopped, set up the trans-
input torque or output torque for the mission for unloaded tests to operate
selected gear ratio, for loaded test as if the vehicle is moving.
points, and ±0.1% of the transmission’s (5) For transmissions that have mul-
maximum rated input torque for un- tiple configurations for a given gear
loaded test points. Calibrate and verify ratio, such as dual-clutch trans-
measurement instruments according to missions that can pre-select an upshift
40 CFR part 1065, subpart C. Command or downshift, set the transmission to
speed and torque at a minimum of 10 operate in the configuration with the
Hz, and record all data, including bulk greatest power loss. Alternatively, test
oil temperature, at a minimum of 1 Hz in each configuration and use good en-
mean values. gineering judgment to calculate a
(d) The test matrix consists of trans- weighted power loss for each test point
mission input shaft speeds and torque under this section based on field data
setpoints meeting the following speci- that characterizes the degree of in-use
fications for each gear tested: operation in each configuration.
(1) Include transmission input shaft (6) Operate the transmission in the
speeds at the maximum rated input top gear at a selected torque setpoint
shaft speed, 600 r/min, and three equal- with the input shaft speed at one of the
ly spaced intermediate speeds. The in- speed setpoints for at least 10 seconds,
termediate speed points may be ad- then measure the speed and torque of
justed to the nearest 50 or 100 r/min. the input and output shafts for at least
(2) Include one loaded torque setpoint 10 seconds. You may omit measure-
between 75% and 105% of the maximum ment of output shaft speeds if your
transmission input torque and one un- transmission is configured is a way
loaded (zero-torque) setpoint. You may that does not allow slip. Calculate
test at any number of additional arithmetic mean values for all speed
torque setpoints to improve accuracy. and torque values over each measure-
Note that GEM calculates power loss ment period. Repeat this stabilization,
between tested or default values by lin- measurement, and calculation for the
ear interpolation. other speed and torque setpoints from
(3) In the case of transmissions that the test matrix in any sequence. Cal-
automatically go into neutral when the culate power loss as described in para-
vehicle is stopped, also perform tests at graph (f) of this section based on
600 r/min and 800 r/min with the trans- torque and speed values at each test
mission in neutral and the trans- point.
mission output fixed at zero speed. (7) Repeat the procedure described in
(e) Determine transmission torque paragraph (e) for all gears, or for all
loss using the following procedure: gears down to a selected gear. GEM
(1) Maintain ambient temperature will use default values for any gears
between (15 and 35) °C throughout test- not tested.
ing. Measure ambient temperature (8) Perform the test sequence de-
within 1.0 m of the transmission. scribed in paragraphs (d)(6) and (7) of
(2) Maintain transmission oil tem- this section three times. You may do
perature as described in paragraph this repeat testing at any given test
(b)(7) of this section. You may use an point before you perform measure-
external transmission oil conditioning ments for the whole test matrix. Re-
system, as long as it does not affect move torque from the transmission
measured values. input shaft and bring the transmission
(3) Use good engineering judgment to to a complete stop before each repeat
warm up the transmission according to measurement.
the transmission manufacturer’s speci- (9) You may need to perform addi-
fications. tional testing based on a calculation of
304
repeatability at a 95% confidence level. the repeatability for the whole set of
Make a separate repeatability calcula- test results. Continue testing until the
tion for the three data points at each repeatability is at or below the speci-
operating condition in the test matrix. fied values for all operating conditions.
If the confidence limit is greater than Calculate a confidence limit rep-
0.10% for loaded tests or greater than resenting the repeatability in estab-
0.05% for unloaded tests, perform an- lishing a 95% confidence level using the
other repeat of measurements at that following equation:
operating condition and recalculate
Where: Prated = the transmission’s rated input power

sPloss = standard deviation of power loss val- for a given gear. For testing in neutral,
ues at a given test point (see 40 CFR use the value of Prated for the top gear.
1065.602(c)). Example:
N = number of repeat tests. sPloss = 120.0 W
N=3
Prated = 314200 W
Confidence Limit = 0.0432% point in the test matrix using the re-
(10) Calculate mean input shaft sults from all the repeat tests.
torque, T̄in, mean output shaft torque, (f) Calculate the mean power loss,
T̄out, mean input shaft speed, f̄nin, and P̄loss, at each operating condition in the
mean output shaft speed, f̄nout, for each test matrix as follows:
ER25OC16.149</GPH>
(2) For each test calculate the mean
power loss, P̄loss, as follows:
ER25OC16.148</GPH> ER25OC16.321</GPH>
Where:
305
ER25OC16.147</GPH>
§ 1037.570 40 CFR Ch. I (7–1–21 Edition)
T̄in = mean input shaft torque. Example:
f̄nin = mean input shaft speed. T̄in = 1000.0 N·m
T̄out = mean output shaft torque. Let T̄out = 0 f̄nin = 1000 r/min = 104.72 rad/sec
for all unloaded tests. T̄out = 2654.5 N·m
f̄nout = mean output shaft speed. Let f;¯nout= 0 f̄nout = 361.27 r/min = 37.832 rad/s
for all tests with the transmission in P̄loss,1 =1000.0·104.72 ¥ 2654.5·37.832
neutral. See paragraph (f)(3) of this sec- P̄loss = 4295 W = 4.295 kW
tion for calculating for certain trans- P̄loss,2 = 4285 W = 4.285 kW
mission configurations. P̄loss,3 = 4292 W = 4.292 kW
(3) For transmissions that are config- gear ratio using the following equa-
ured in a way that does not allow slip, tion:
you may calculate f̄nout based on the
Where: (g) Create a table showing the mean

kg = transmission gear ratio, expressed to at power loss,
least the nearest 0.001.
corresponding to each mean trans- EFFECTIVE DATE NOTE: At 86 FR 34486, June

mission input speed and mean input 29, 2021, § 1037.565 was revised, effective July
torque for input into GEM. Also in- 29, 2021.
clude mean power loss in neutral for
§ 1037.570 Procedures to characterize
each tested engines speed, if applicable. torque converters.
Express transmission input speed in r/
min to one decimal place; express input GEM includes input values related to
torque in N·m to two decimal places; torque converters. This section de-
express power loss in kW to four dec- scribes a procedure for mapping a
imal places. Select mean power loss torque converter’s capacity factors and
values at or above the corresponding torque ratios over a range of operating
value calculated in paragraph (f) of conditions. You may ask us to approve
ER25OC16.151</GPH> ER25OC16.322</GPH>
this section. Use good engineering analytically derived input values based
judgment to select values that will be on this testing for additional untested
at or above the mean power loss values configurations as described in
for your production axles. Vehicle § 1037.235(h).
manufacturers will use these declared (a) Prepare a torque converter for
mean power loss values for certifi- testing as follows:

cation.
306
ER25OC16.150</GPH>
(1) Select a torque converter with 1065.210(b). You must use a speed meas-
less than 500 hours of operation before urement system that meets an accu-
the start of testing. racy of ±0.1% of point or ±1 r/min,
(2) If the torque converter has a lock- whichever is greater. Use torque trans-
ing feature, unlock it for all testing ducers that meet an accuracy of ±1.0%
performed under this section. If the of the torque converter’s maximum
torque converter has a slipping lockup rated input and output torque, respec-
clutch, you may ask us to approve a tively. Calibrate and verify measure-
different strategy based on data show- ment instruments according to 40 CFR
ing that it represents better in-use op- part 1065, subpart D. Command speed
eration. and torque at a minimum of 10 Hz.
(3) Mount the torque converter with Record all speed and torque data at a
a transmission to the dynamometer in minimum of 1 Hz mean values. Note
series or parallel arrangement or that this section relies on the conven-
mount the torque converter without a tion of describing the input shaft as
transmission to represent a series con- the pump and the output shaft as the
figuration. turbine shaft.
(4) Add transmission oil according to (c) Determine torque converter char-
the torque converter manufacturer’s acteristics based on a test matrix using
instructions, with the following addi- either constant input speed or constant
tional specifications: input torque as follows:
(i) If the torque converter manufac- (1) Constant input speed. Test at con-
turer specifies multiple transmission stant input speed as follows:
oils, select the one with the highest
(i) Select a fixed pump speed, ƒnpum,
viscosity at operating temperature.
between (1000 and 2000) r/min.
You may use a lower-viscosity trans-
(ii) Test the torque converter at mul-
mission oil if we approve that as crit-
tiple speed ratios, v, in the range of v =
ical emission-related maintenance
0.00 to v = 0.95. Use a step width of 0.10
under § 1037.125.
for the range of v = 0.00 to 0.60 and 0.05
(ii) Fill the transmission oil to a
for the range of v = 0.60 to 0.95. Cal-
level that represents in-use operation.
culate speed ratio, v, as turbine shaft
If you are testing the torque converter
speed divided by pump speed.
without the transmission, keep output
pressure and the flow rate of trans- (2) Constant input torque. Test at con-
mission oil into the torque converter stant input torque as follows:
within the torque converter manufac- (i) Set the pump torque, Tpum, to a
turer’s limits. fixed positive value at ƒnpum = 1000 r/min
(iii) You may use an external trans- with the torque converter’s turbine
mission oil conditioning system, as shaft locked in a non-rotating state
long as it does not affect measured val- (i.e., turbine’s speed, ntur, = 0 r/min).
ues. (ii) Test the torque converter at mul-
(5) Install equipment for measuring tiple speed ratios, v, in the range of v =
the bulk temperature of the trans- 0.00 up to a value of ƒntur that covers the
mission oil in the oil sump or a similar usable range of v. Use a step width of
location and at the torque converter 0.10 for the range of v = 0.00 to 0.60 and
inlet. If the torque converter is tested 0.05 for the range of v = 0.60 to 0.95.
without a transmission, measure the (3) You may limit the maximum
oil temperature at the torque con- speed ratio to a value below 0.95 if you
verter inlet. have data showing this better rep-
(6) Break in the torque converter and resents in-use operation. You must use
transmission (if applicable) using good the step widths defined in paragraph
engineering judgment. Maintain trans- (c)(1) or (2) of this section and include
mission oil temperature at (87 to 93) °C. the upper limit as a test point. If you
You may ask us to approve a different choose a value less than 0.60, you must
range of transmission oil temperatures test at least seven evenly distributed
if you have data showing that it better points between v = 0 and your new
represents in-use operation. upper speed ratio.
(b) Measure pump and turbine shaft (d) Characterize the torque converter
speed and torque as described in 40 CFR using the following procedure:
307
§ 1037.570 40 CFR Ch. I (7–1–21 Edition)
(1) Maintain ambient temperature calculation for the other speed ratios
between (15 and 35) °C throughout test- from the test matrix in order of in-
ing. Measure ambient temperature creasing speed ratio. Adjust the speed
within 1.0 m of the torque converter. ratio by increasing the angular turbine
(2) Maintain transmission oil tem- shaft speed.
perature as described in paragraph (5) Complete a test run by performing
(a)(6) of this section. You may use an the test sequence described in para-
external transmission oil conditioning graph (d)(4) of this section two times.
system, as long as it does not affect (6) Invalidate the test run if the dif-
measured values. ference between the pair of mean
(3) Use good engineering judgment to torque values for the repeat tests at
warm up the torque converter accord- any test point differ by more than ±1
ing to the torque converter manufac-
N·m or by more than ±5% of the aver-
turer’s specifications.
age of those two values. This paragraph
(4) Test the torque converter at con-
(d)(6) applies separately for mean pump
stant input speed or constant input
torque and mean turbine shaft torque
torque as described in paragraph (c) of
at each test point.
this section. Operate the torque con-
verter at v = 0.00 for (5 to 60) seconds, (7) Invalidate the test run if any cal-
then measure pump torque, turbine culated value for mean angular pump
shaft torque, angular pump speed, an- speed does not stay within ±5 r/min of
gular turbine shaft speed, and the the speed setpoint or if any calculated
transmission oil temperature at the value for mean pump torque does not
torque converter inlet for (5 to 15) sec- stay within ±5 N·m of the torque set-
onds. Calculate arithmetic mean val- point.
ues for pump torque, T̄pum, turbine shaft (e) Calculate the mean torque ratio,
torque, T̄tur, angular pump speed, f̄npum, L, at each tested speed ratio, v, as fol-
and angular turbine shaft speed, f̄ntur, lows:
⊕
over the measurement period. Repeat (1) Calculate μ at each tested speed
this stabilization, measurement, and ratio as follows:
Where: (3) The following example illustrates

T̄tur = mean turbine shaft torque from para- a calculation of L:
graph (d)(4) of this section.
T̄tur,v=0,1 = 332.4 N·m
T̄pum = mean pump torque from paragraph
(d)(4) of this section. T̄pum,v=0,1 = 150.8 N·m
T̄tur,v=0,2 = 333.6 N·m
(2) Calculate L as the average of the
⊕ T̄pum,v=0,2 = 150.3 N·m
two values of μ at each tested speed
ratio.
308
ER29JN21.157</GPH>
(f) Calculate the mean capacity fac- (1) Calculate K at each tested speed
tor, K, at each tested speed ratio, v, as ratio as follows:
follows:
Where: (2) Calculate K as the average of the

f̄npum = mean angular pump speed from para- two values of K̄ at each tested speed
graph (d)(4) of this section. ratio.
T̄pum = mean pump torque from paragraph (3) The following example illustrates
(d)(4) of this section. a calculation of K:
f̄npum,v=0,1f̄npum,v=0,2 = 1000.0 r/min
T̄pum,v=0,1 = 150.8 N·m
ER29JN21.160</GPH>
ER29JN21.159</GPH>
309
ER29JN21.158</GPH>
§ 1037.601 40 CFR Ch. I (7–1–21 Edition)
(g) Create a table of GEM inputs such engines after March 31 without
showing L and K at each tested speed our prior approval is considered to be
ratio, v. Express L to two decimal prohibited stockpiling of engines. In a
places; express K to one decimal place; written request for our approval, you
express v to two decimal places. must describe how your circumstances
EFFECTIVE DATE NOTE: At 86 FR 34488, June led you and your engine supplier to
29, 2021, § 1037.570 was added, effective July 29, have normal inventories of engines
2021. that were not used up in the specified
time frame. We will approve your re-
Subpart G—Special Compliance quest for up to three additional months
Provisions to install up to 50 engines under this
paragraph (a)(2) if we determine that
§ 1037.601 General compliance provi- the excess inventory is a result of un-
sions. foreseeable circumstances and should
(a) Engine and vehicle manufactur- not be considered circumvention of
ers, as well as owners and operators of emission standards. Note that 40 CFR
vehicles subject to the requirements of 1068.105(a) allows vehicle manufactur-
this part, and all other persons, must ers to use up only normal inventories
observe the provisions of this part, the of engines meeting less stringent
applicable provisions of 40 CFR part standards; if, for example, a vehicle
1068, and the applicable provisions of manufacturer’s normal practice is to
the Clean Air Act. The provisions of 40 receive a shipment of engines every
CFR part 1068 apply for heavy-duty ve- two weeks, it will deplete its potential
hicles as specified in that part, subject to install previous-tier engines under
to the provisions: this paragraph (a)(2) well before March
(1) Except as specifically allowed by 31 in the year that new standards
this part or 40 CFR part 1068, it is a apply.
violation of § 1068.101(a)(1) to introduce (3) The exemption provisions of 40
into U.S. commerce a tractor or voca- CFR 1068.201 through 1068.230, 1068.240,
tional vehicle containing an engine not and 1068.260 through 265 apply for
certified to the applicable require- heavy-duty motor vehicles. Other ex-
ments of this part and 40 CFR part 86. emption provisions, which are specific
Further, it is a violation to introduce to nonroad engines, do not apply for
into U.S. commerce a Phase 1 tractor heavy-duty vehicles or heavy-duty en-
containing an engine not certified for gines.
use in tractors; or to introduce into (4) The tampering prohibition in 40
U.S. commerce a vocational vehicle CFR 1068.101(b)(1) applies for alter-
containing a light heavy-duty or me- native fuel conversions as specified in
dium heavy-duty engine not certified 40 CFR part 85, subpart F.
for use in vocational vehicles. These (5) The warranty-related prohibitions
prohibitions apply especially to the ve- in section 203(a)(4) of the Act (42 U.S.C.
hicle manufacturer. Note that this 7522(a)(4)) apply to manufacturers of
paragraph (a)(1) allows the use of new heavy-duty highway vehicles in
Heavy heavy-duty tractor engines in addition to the prohibitions described
vocational vehicles. in 40 CFR 1068.101(b)(6). We may assess
(2) The provisions of 40 CFR a civil penalty up to $44,539 for each en-
1068.105(a) apply for vehicle manufac- gine or vehicle in violation.
turers installing engines certified (6) A vehicle manufacturer that com-
under 40 CFR part 1036 as further lim- pletes assembly of a vehicle at two or
ited by this paragraph (a)(2). If new en- more facilities may ask to use as the
gine emission standards apply in a date of manufacture for that vehicle
given model year, you may install nor- the date on which manufacturing is
mal inventories of engines from the completed at the place of main assem-
preceding model year under the provi- bly, consistent with provisions of 49
sions of 40 CFR 1068.105(a) through CFR 567.4. Note that such staged as-
March 31 of that year without our ap- sembly is subject to the corresponding
proval; you may not install such en- provisions of 40 CFR 1068.260. Include
gines after March 31 of that year unless your request in your application for
we approve it in advance. Installing certification, along with a summary of
310
your staged-assembly process. You § 1037.605 Installing engines certified

may ask to apply this allowance to to alternate standards for specialty
some or all of the vehicles in your vehi- vehicles.
cle family. Our approval is effective (a) General provisions. This section al-
when we grant your certificate. We will lows vehicle manufacturers to intro-
not approve your request if we deter- duce into U.S. commerce certain new
mine that you intend to use this allow- motor vehicles using engines certified
ance to circumvent the intent of this to alternate emission standards speci-
part. fied in 40 CFR part 86 for motor vehicle
(7) The provisions for selective en- engines used in specialty vehicles. You
forcement audits apply as described in may not install an engine certified to
40 CFR part 1068, subpart E, and sub- these alternate standards if there is an
engine certified to the full set of re-
part D of this part.
quirements of 40 CFR part 86 that has
(b) Vehicles exempted from the appli- the appropriate physical and perform-
cable standards of 40 CFR part 86 other ance characteristics to power the vehi-
than glider vehicles are exempt from cle. Note that, although these alter-
the standards of this part without re- nate emission standards are mostly
quest. Similarly, vehicles other than equivalent to standards that apply for
glider vehicles are exempt without re- nonroad engines under 40 CFR part 1039
quest if the installed engine is exempt- or 1048, they are specific to motor vehi-
ed from the applicable standards in 40 cle engines. The alternate standards
CFR part 86. for compression-ignition engines at or
(c) The prohibitions of 40 CFR above 56 kW are described in 40 CFR
1068.101 apply for vehicles subject to 86.007–11(g); the alternate standards for
the requirements of this part. The ac- spark-ignition engines are described in
tions prohibited under this provision 40 CFR 86.008–10(g). The provisions of
include the introduction into U.S. com- this section apply for the following
merce of a complete or incomplete ve- types of specialty vehicles:
hicle subject to the standards of this (1) All-terrain motor vehicles with
part where the vehicle is not covered portal axles (i.e., axles that are offset
by a valid certificate of conformity or from the corresponding wheel center-
exemption. line by a gear assembly) or any axle
configuration involving gear reduction
(d) The emergency vehicle field modi-
such that the wheels rotate more slow-
fication provisions of 40 CFR 85.1716 ly than the axle.
apply with respect to the standards of (2) Amphibious vehicles.
this part. (3) Vehicles with maximum speed at
(e) Under § 1037.801, certain vehicles or below 45 miles per hour. If your ve-
are considered to be new vehicles when hicle is speed-limited to meet this
they are imported into the United specification by reducing maximum
States, even if they have previously speed below what is otherwise possible,
been used outside the country. Inde- this speed limitation must be pro-
pendent Commercial Importers may grammed into the engine or vehicle’s
use the provisions of 40 CFR part 85, electronic control module in a way
subpart P, and 40 CFR 85.1706(b) to re- that is tamper-proof. If your vehicles
ceive a certificate of conformity for en- are not inherently limited to a max-
gines and vehicles meeting all the re- imum speed at or below 45 miles per
quirements of 40 CFR part 1036 and this hour, they may qualify under this
part 1037. paragraph (a)(3) only if we approve
(f) Standards apply to multi-fuel ve- your design to limit maximum speed as
hicles as described for engines in 40 being tamper-proof in advance.
(4) Through model year 2027, vehicles
CFR 1036.601(d).
with a hybrid powertrain in which the
EFFECTIVE DATE NOTE: At 86 FR 34489, June engine provides energy for the Re-
29, 2021, § 1037.601 was amended, effective July chargeable Energy Storage System.
29, 2021. (b) Notification and reporting require-
ments. Send the Designated Compliance

Officer written notification describing
311
§ 1037.610 40 CFR Ch. I (7–1–21 Edition)
your plans before using the provisions reductions resulting from vehicle tech-
of this section. In addition, by Feb- nologies that were not in common use
ruary 28 of each calendar year (or less with heavy-duty vehicles before model
often if we tell you), send the Des- year 2010 that are not reflected in
ignated Compliance Officer a report GEM. While you are not required to
with all the following information: prove that such technologies were not
(1) Identify your full corporate name, in common use with heavy-duty vehi-
address, and telephone number. cles before model year 2010, we will not
(2) List the vehicle models for which approve your request if we determine
you used this exemption in the pre- that they do not qualify. These may be
vious year and identify the engine described as off-cycle or innovative
manufacturer and engine model for technologies. You may apply these pro-
each vehicle model. Also identify the visions for CO2 emission reductions re-
total number of vehicles produced in flected in the specified test procedures
the previous year. if they are not reflected in GEM, ex-
(c) Production limits. You may cept as allowed under paragraph (g) of
produce up to 1,000 hybrid vehicles in a this section. We will apply these provi-
given model year through model year sions only for technologies that will re-
2027, and up to 200 of each type of vehi- sult in measurable, demonstrable, and
cle identified in paragraph (a)(1) verifiable real-world CO2 emission re-
through (3) of this section in a given ductions.
model year. This includes vehicles pro- (b) The provisions of this section may
duced by affiliated companies. If you be applied as either an improvement
exceed this limit, the number of vehi- factor or as a separate credit, con-
cles that exceed the limit for the model sistent with good engineering judg-
year will not be covered by a valid cer- ment. Note that the term ‘‘credit’’ in
tificate of conformity. For the purpose this section describes an additive ad-
of this paragraph (c), we will count all justment to emission rates and is not
vehicles labeled or otherwise identified equivalent to an emission credit in the
as exempt under this section.
ABT program of subpart H of this part.
(d) Vehicle standards. The vehicle
We recommend that you base your
standards of this part apply as follows
credit/adjustment on A to B testing of
for these vehicles:
pairs of vehicles differing only with re-
(1) Vehicles qualifying under para-
spect to the technology in question.
graphs (a)(1) through (3) of this section
are subject to evaporative emission (1) Calculate improvement factors as
standards of § 1037.103, but are exempt the ratio of in-use emissions with the
from the other requirements of this technology divided by the in-use emis-
part, except as specified in this section sions without the technology. Use the
and in § 1037.601. These vehicles must improvement-factor approach where
include a label as specified in good engineering judgment indicates
§ 1037.135(a) with the information from that the actual benefit will be propor-
§ 1037.135(c)(1) and (2) and the following tional to emissions measured over the
statement: ‘‘THIS VEHICLE IS EX- test procedures specified in this part.
EMPT FROM GREENHOUSE GAS (2) Calculate separate credits (g/ton-
STANDARDS UNDER 40 CFR 1037.605.’’ mile) based on the difference between
(2) Hybrid vehicles using the provi- the in-use emission rate with the tech-
sions of this section remain subject to nology and the in-use emission rate
the vehicle standards and all other re- without the technology. Subtract this
quirements of this part 1037. For exam- value from your GEM result and use
ple, you may need to use GEM in con- this adjusted value to determine your
junction with powertrain testing to FEL. Use the separate-credit approach
demonstrate compliance with emission where good engineering judgment indi-
standards under subpart B of this part. cates that the actual benefit will not
be proportional to emissions measured
§ 1037.610 Vehicles with off-cycle tech- over the test procedures specified in
nologies. this part.
(a) You may ask us to apply the pro- (3) We may require you to discount or
visions of this section for CO2 emission otherwise adjust your improvement
312
factor or credit to account for uncer- (1) A detailed description of the off-
tainty or other relevant factors. cycle technology and how it functions
(c) You may perform A to B testing to reduce CO2 emissions under condi-
by measuring emissions from the vehi- tions not represented on the duty cy-
cles during chassis testing or from in- cles required for certification.
use on-road testing. You may also ask (2) A list of the vehicle configura-
to use modified powertrain testing. If tions that will be equipped with the
you use on-road testing, we recommend technology.
that you test according to SAE J1321, (3) A detailed description and jus-
Fuel Consumption Test Procedure— tification of the selected test vehicles.
Type II, revised February 2012, or SAE (4) All testing and simulation data
J1526, SAE Fuel Consumption Test required under this section, plus any
Procedure (Engineering Method), Re-
other data you have considered in your
vised September 2015 (see § 1037.810 for
analysis. You may ask for our prelimi-
information on availability of SAE
nary approval of your test plan under
standards), subject to the following
§ 1037.210.
provisions:
(5) A complete description of the
(1) The minimum route distance is
100 miles. methodology used to estimate the off-
cycle benefit of the technology and all
(2) The route selected must be rep-
resentative in terms of grade. We will supporting data, including vehicle test-
take into account published and rel- ing and in-use activity data. Also in-
evant research in determining whether clude a statement regarding your rec-
the grade is representative. ommendation for applying the provi-
(3) Control vehicle speed over the sions of this section for the given tech-
route to be representative of the drive- nology as an improvement factor or a
cycle weighting adopted for each regu- credit.
latory subcategory, as specified in (6) An estimate of the off-cycle ben-
§ 1037.510(c), or apply a correction to ac- efit by vehicle model, and the fleetwide
count for the appropriate weighting. benefit based on projected sales of ve-
For example, if the route selected for hicle models equipped with the tech-
an evaluation of a combination tractor nology.
with a sleeper cab contains only inter- (7) A demonstration of the in-use du-
state driving at 65 mi/hr, the improve- rability of the off-cycle technology,
ment factor would apply only to 86 per- based on any available engineering
cent of the weighted result. analysis or durability testing data (ei-
(4) The ambient air temperature ther by testing components or whole
must be between (5 and 35) °C, unless vehicles).
the technology requires other tempera- (8) A recommended method for audit-
tures for demonstration. ing production vehicles consistent with
(5) We may allow you to use a Port- the intent of 40 CFR part 1068, subpart
able Emissions Measurement System E. We may approve your recommended
(PEMS) device for measuring CO2 emis- method or specify a different method.
sions during the on-road testing. (e) We may seek public comment on
(d) Send your request to the Des- your request, consistent with the pro-
ignated Compliance Officer. We rec- visions of 40 CFR 86.1866. However, we
ommend that you do not begin col- will generally not seek public comment
lecting test data (for submission to on credits or adjustments based on A
EPA) before contacting us. For tech-
to B chassis testing performed accord-
nologies for which the engine manufac-
ing to the duty-cycle testing require-
turer could also claim credits (such as
ments of this part or in-use testing per-
transmissions in certain cir-
cumstances), we may require you to informed according to paragraph (c) of
clude a letter from the engine manu- this section.
facturer stating that it will not seek (f) We may approve an improvement
credits for the same technology. Your factor or credit for any configuration
request must contain the following that is properly represented by your

items: testing.
313
§ 1037.615 40 CFR Ch. I (7–1–21 Edition)
(1) For model years before 2021, you this part. For purposes of this para-
may continue to use an approved im- graph (b), a conventional vehicle is
provement factor or credit for any ap- considered to be equivalent if it has the
propriate vehicle families in future same footprint (as defined in 40 CFR
model years through 2020. 86.1803), vehicle service class, aero-
(2) For model years 2021 and later, dynamic drag, and other relevant fac-
you may not rely on an approval for tors not directly related to the hybrid
model years before 2021. You must sep- powertrain. If you use § 1037.540 to
arately request our approval before ap- quantify the benefits of a hybrid sys-
plying an improvement factor or credit tem for PTO operation, the conven-
under this section for Phase 2 vehicles, tional vehicle must have the same
even if we approved an improvement number of PTO circuits and have
factor or credit for similar vehicle equivalent PTO power. If you do not
models before model year 2021. Note produce an equivalent vehicle, you may
that Phase 2 approval may carry over create and test a prototype equivalent
for multiple years. vehicle. The conventional vehicle is
(g) You normally may not calculate considered Vehicle A and the advanced
off-cycle credits or improvement fac- vehicle is considered Vehicle B. We
tors under this section for technologies may specify an alternate cycle if your
represented by GEM, but we may allow vehicle includes a power take-off.
you to do so by averaging multiple (2) Calculate an improvement factor
GEM runs for special technologies for and g/ton-mile benefit using the fol-
which a single GEM run cannot accu- lowing equations and parameters:
rately reflect in-use performance. For
(i) Improvement Factor = [(Emission
example, if you use an idle-reduction
Rate A)¥(Emission Rate B)]/(Emission
technology that is effective 80 percent
Rate A).
of the time, we may allow you to run
GEM with the technology active and (ii) g/ton-mile benefit = Improvement
with it inactive, and then apply an 80% Factor × (GEM Result B).
weighting factor to calculate the off- (iii) Emission Rates A and B are the
cycle credit or improvement factor. g/ton-mile CO2 emission rates of the
You may need to perform testing to es- conventional and advanced vehicles,
tablish proper weighting factors or oth- respectively, as measured under the
erwise quantify the benefits of the spe- test procedures specified in this sec-
cial technologies. tion. GEM Result B is the g/ton-mile
CO2 emission rate resulting from emis-
§ 1037.615 Advanced technologies. sion modeling of the advanced vehicle
(a) This section applies in Phase 1 for as specified in § 1037.520.
hybrid vehicles with regenerative brak- (3) If you apply an improvement fac-
ing, vehicles equipped with Rankine- tor to multiple vehicle configurations
cycle engines, electric vehicles, and using the same advanced technology,
fuel cell vehicles, and in Phase 2 use the vehicle configuration with the
through model year 2027 for plug-in hy- smallest potential reduction in green-
brid electric vehicles, electric vehicles, house gas emissions resulting from the
and fuel cell vehicles. You may not hybrid capability.
generate credits for Phase 1 engine (4) Use the equations of § 1037.705 to
technologies for which the engines gen- convert the g/ton-mile benefit to emis-
erate credits under 40 CFR part 1036. sion credits (in Mg). Use the g/ton-mile
(b) Generate Phase 1 advanced-tech- benefit in place of the (Std-FEL) term.
nology credits for vehicles other than (c) See § 1037.540 for special testing
electric vehicles as follows: provisions related to Phase 1 vehicles
(1) Measure the effectiveness of the equipped with hybrid power take-off
advanced system by chassis-testing a units.
vehicle equipped with the advanced (d) For Phase 2 plug-in hybrid elec-
system and an equivalent conventional tric vehicles and for fuel cells powered
vehicle, or by testing the hybrid sys- by any fuel other than hydrogen, cal-
tems and the equivalent non-hybrid culate CO2 credits using an FEL based
systems as described in § 1037.555. Test on emission measurements from

the vehicles as specified in subpart F of powertrain testing. Phase 2 advanced-
314
technology credits do not apply for hy- (2) We will apply the requirements of
brid vehicles that have no plug-in capa- subparts C and D of this part to the
bility. manufacturer that obtains the certifi-
(e) You may use an engineering anal- cate of conformity for the vehicle.
ysis to calculate an improvement fac- Other manufacturers are required to
tor for fuel cell vehicles based on meas- comply with the requirements of sub-
ured emissions from the fuel cell vehi- parts C and D of this part only when
cle. notified by us. In our notification, we
(f) For electric vehicles, calculate will specify a reasonable time period in
CO2 credits using an FEL of 0 g/ton- which you need to comply with the re-
mile. quirements identified in the notice.
(g) As specified in subpart H of this See § 1037.601 for the applicability of 40
part, advanced-technology credits gen- CFR part 1068 to these other manufac-
erated from Phase 1 vehicles under this turers and remanufacturers.
section may be used under this part (b) The provisions of § 1037.621, includ-
1037 outside of the averaging set in ing delegated assembly, apply for certi-
which they were generated, or they fying manufacturers that rely on other
may be used under 40 CFR 86.1819 or 40 manufacturers to finish assembly in a
CFR part 1036. Advanced-technology certified configuration. The provisions
credits generated from Phase 2 vehicles of § 1037.622 generally apply for manu-
are subject to all the averaging-set re- facturers that ship vehicles subject to
strictions that apply to other emission the requirements of this part to a cer-
credits. tifying secondary vehicle manufac-
(h) You may certify using both provi- turer. The provisions of § 1037.622 also
sions of this section and the off-cycle apply to the secondary vehicle manu-
technology provisions of § 1037.610, pro- facturer. If you hold the certificate of
vided you do not double count emission conformity for a vehicle only with re-
benefits. spect to exhaust or evaporative emis-
EFFECTIVE DATE NOTE: At 86 FR 34490, June sions, and a different company holds
29, 2021, § 1037.615 was amended, effective July the other certificate of conformity for
29, 2021. that vehicle, the provisions of § 1037.621
apply with respect to the certified con-
§ 1037.620 Responsibilities for multiple figuration as described in your applica-
manufacturers. tion for certification, and the provi-
This section describes certain cir- sions of § 1037.622 apply with respect to
cumstances in which multiple manu- the certified configuration as described
facturers share responsibilities for ve- in the other manufacturer’s applica-
hicles they produce together. This section for certification.
tion does not limit responsibilities that (c) Manufacturers of aerodynamic de-
apply under the Act or these regula- vices may perform the aerodynamic
tions for anyone meeting the definition testing described in § 1037.526 to quan-
of ‘‘manufacturer’’ in § 1037.801. Note tify ΔCdA values for trailers and submit
that the definition of manufacturer is that data to EPA verification under
broad and can include persons not com- § 1037.211. Trailer manufacturers may
mercially considered to be manufactur- use such verified data to establish
ers. input parameters for certifying their
(a) The following provisions apply trailers. Both device manufacturers
when there are multiple persons meet- and trailer manufacturers are subject
ing the definition of manufacturer in to 40 CFR part 1068, including the re-
§ 1037.801: call provisions described in 40 CFR part
(1) Each person meeting the defini- 1068, subpart F.
tion of manufacturer must comply (d) Component manufacturers (such
with the requirements of this part that as tire manufacturers) providing test
apply to manufacturers. However, if data to certifying vehicle manufactur-
one person complies with a specific re- ers are responsible as follows for test
quirement for a given vehicle, then all components and emission test results
manufacturers are deemed to have provided to vehicle manufacturers for
complied with that specific require- the purpose of certification under this
ment. part:
315
§ 1037.621 40 CFR Ch. I (7–1–21 Edition)
(1) Such test results are deemed ondary vehicle manufacturer holds the
under § 1037.825 to be submissions to certificate of conformity.)
EPA. This means that you may be sub- (b) You do not need an exemption to
ject to criminal penalties under 18 ship a vehicle that does not include in-
U.S.C. 1001 if you knowingly submit stallation or assembly of certain emis-
false test results to the certifying man- sion-related components if those com-
ufacturer. ponents are shipped along with the ve-
(2) You may not cause a vehicle man- hicle. For example, you may generally
ufacturer to violate the regulations by ship fuel tanks and aerodynamic de-
rendering inaccurate emission test re- vices along with vehicles rather than
sults you provide (or emission test re- installing them on the vehicle before
sults from testing of test components shipment. We may require you to de-
you provide) to the vehicle manufac- scribe how you plan to use this provi-
turer (see 40 CFR 1068.101(c)). sion.
(3) Your provision of test components (c) You may ask us at the time of
and/or emission test results to vehicle certification for an exemption to allow
manufacturers for the purpose of certi- you to ship your vehicles without emis-
fying under this part are deemed to be sion-related components. If we allow
an agreement to provide components to this, you must provide emission-re-
EPA for confirmatory testing under lated installation instructions as speci-
§ 1037.235. fied in § 1037.130. You must follow dele-
gated-assembly requirements in 40 CFR
(e) Component manufacturers may
1068.261 if you rely on secondary vehi-
contractually agree to process emis-
cle manufacturers to install certain
sion warranty claims on behalf of the
technologies or components as speci-
certifying manufacturer with respect
fied in paragraph (d) of this section.
to those components, as follows:
For other technologies or components,
(1) Your fulfillment of the warranty
we may specify conditions that we de-
requirements of this part is deemed to
termine are needed to ensure that ship-
fulfill the vehicle manufacturer’s war-
ping the vehicle without such compo-
ranty obligations under this part with
nents will not result in the vehicle
respect to components covered by your
being operated outside of its certified
warranty.
configuration; this may include a re-
(2) You may not cause a vehicle man- quirement to comply with the dele-
ufacturer to violate the regulations by gated-assembly provisions in paragraph
failing to fulfill the emission warranty (d) of this section. We may consider
requirements that you contractually your past performance when we specify
agreed to fulfill (see 40 CFR 1068.101(c)). the conditions that apply.
(f) We may require component manu- (d) Delegated-assembly provisions
facturers to provide information or apply as specified in this paragraph (d)
take other actions under 42 U.S.C. 7542. if the certifying vehicle manufacturer
For example, we may require compo- relies on a secondary vehicle manufac-
nent manufacturers to test components turer to procure and install auxiliary
they produce. power units, aerodynamic devices, hy-
brid components (for powertrain or
§ 1037.621 Delegated assembly. power take-off), or natural gas fuel
(a) This section describes provisions tanks. These provisions do not apply
that allow certificate holders to sell or for other systems or components, such
ship vehicles that are missing certain as air conditioning lines and fittings,
emission-related components if those except as specified in paragraph (c) of
components will be installed by a sec- this section. Apply the provisions of 40
ondary vehicle manufacturer. Para- CFR 1068.261, with the following excep-
graph (g) of this section similarly de- tions and clarifications:
scribes how dealers and distributors (1) Understand references to ‘‘en-
may modify new vehicles with your ad- gines’’ to refer to vehicles.
vance approval. (NOTE: See § 1037.622 for (2) Understand references to
provisions related to manufacturers in- ‘‘aftertreatment components’’ to refer
troducing into U.S. commerce partially to any relevant emission-related com-

complete vehicles for which a sec- ponents under this paragraph (d).
316
(3) Understand ‘‘equipment manufac- allowance no longer applies after you

turers’’ to be secondary vehicle manu- submit the final ABT report.
facturers. (3) The vehicle label must accurately
(4) The provisions of 40 CFR reflect the final vehicle configuration.
1068.261(b), (c)(7), (d), and (e) do not (4) You must keep records to docu-
apply. Accordingly, the provisions of 40 ment modifications under this para-
CFR 1068.261(c) apply regardless of pric- graph (g).
ing arrangements. (5) Dealers and distributors must
(e) Secondary vehicle manufacturers keep a record of your authorizing in-
must follow the engine manufacturer’s structions. Dealers and distributors
emission-related installation instruc- that fail to follow your instructions or
tions. Not meeting the manufacturer’s otherwise make unauthorized changes
emission-related installation instruc- may be committing a tampering viola-
tions is a violation of one or more of tion as described in 40 CFR 1068.105(b).
the prohibitions of § 1068.101. We may EFFECTIVE DATE NOTE: At 86 FR 34490, June
also require secondary vehicle manu- 29, 2021, § 1037.621 was amended, effective July
facturers to recall defective vehicles 29, 2021.
under 40 CFR 1068.505 if we determine
that their manufacturing practices § 1037.622 Shipment of partially com-
plete vehicles to secondary vehicle
caused vehicles to not conform to the manufacturers.
regulations. Secondary vehicle manu-
facturers may be required to meet ad- This section specifies how manufac-
ditional requirements if the certifying turers may introduce partially com-
vehicle manufacturer delegates final plete vehicles into U.S. commerce (or
assembly of emission controls as de- in the case of certain custom vehicles,
scribed in paragraph (d) of this section. introduce complete vehicles into U.S.
commerce for modification by a small
(f) Except as allowed by § 1037.622, the
manufacturer). The provisions of this
provisions of this section apply to man-
section are generally not intended for
ufacturers for glider kits they produce.
trailers, but they may apply in unusual
Note that under § 1037.620, glider kit
circumstances, such as when a sec-
manufacturers are generally presumed
ondary vehicle manufacturer will mod-
to be responsible (in whole or in part)
ify a trailer in a way that makes it ex-
for compliance with respect to vehicles
empt. The provisions of this section are
produced from their glider kits, even if
intended to accommodate normal busi-
a secondary vehicle manufacturer
ness practices without compromising
holds the certificate under § 1037.622.
the effectiveness of certified emission
(g) We may allow certifying vehicle controls. You may not use the provi-
manufacturers to authorize dealers or sions of this section to circumvent the
distributors to reconfigure vehicles intent of this part. For vehicles subject
after the vehicles have been introduced to both exhaust GHG and evaporative
into commerce if they have not yet standards, the provisions of this part
been delivered to the ultimate pur- apply separately for each certificate.
chaser as follows: (a) The provisions of this section
(1) This allowance is limited to allow manufacturers to ship partially
changes from one certified configura- complete vehicles to secondary vehicle
tion to another, as noted in the fol- manufacturers or otherwise introduce
lowing examples: them into U.S. commerce in the fol-
(i) If your vehicle family includes lowing circumstances:
certified configurations with different (1) Certified vehicles. Manufacturers
axle ratios, you may authorize chang- may introduce partially complete trac-
ing from one certified axle ratio to an- tors into U.S. commerce if they are
other. covered by certificates of conformity
(ii) You may authorize adding a cer- and are in certified configurations. See
tified APU to a tractor. § 1037.621 for vehicles not yet in a cer-
(2) Your final ABT report must accu- tified configuration when introduced
rately describe the vehicle’s certified into U.S. commerce.
configuration as delivered to the ulti- (2) Uncertified vehicles that will be cer-
mate purchaser. This means that the tified by secondary vehicle manufacturers.
317
§ 1037.622 40 CFR Ch. I (7–1–21 Edition)
Manufacturers may introduce into U.S. (ii) It obtains a vehicle with the in-
commerce partially complete vehicles tent to modify it to a certified configu-
for which they do not hold the required ration before it reaches the ultimate
certificate of conformity only as al- purchaser. For example, this may
lowed by paragraph (b) of this section; apply for converting a gasoline-fueled
however, the requirements of this sec- vehicle to operate on natural gas under
tion do not apply for tractors or voca- the terms of a valid certificate.
tional vehicles with a date of manufac- (2) Manufacturers may introduce par-
ture before January 1, 2022, that are tially complete vehicles into U.S. com-
produced by a secondary vehicle manu- merce as described in this paragraph
facturer if they are excluded from the (b) if they have a written request for
standards of this part under such vehicles from a secondary vehicle
§ 1037.150(c). manufacturer that will finish the vehi-
(3) Exempted vehicles. Manufacturers cle assembly and has certified the vehi-
may introduce into U.S. commerce par- cle (or the vehicle has been exempted
tially complete vehicles without a cer- or excluded from the requirements of
tificate of conformity if the vehicles this part). The written request must
are exempt under this part or under 40 include a statement that the secondary
CFR part 1068. This may involve the vehicle manufacturer has a certificate
secondary vehicle manufacturer quali- of conformity (or exemption/exclusion)
fying for the exemption. for the vehicle and identify a valid ve-
(4) Small manufacturers modifying cer- hicle family name associated with each
tified tractors. Small manufacturers vehicle model ordered (or the basis for
that build custom sleeper cabs or nat- an exemption/exclusion). The original
ural gas-fueled tractors may modify vehicle manufacturer must apply a re-
complete or incomplete vehicles cer- movable label meeting the require-
tified as tractors, as specified by para- ments of 40 CFR 1068.45(b) that identi-
graph (d) of this section. fies the corporate name of the original
(b) The provisions of this paragraph manufacturer and states that the vehi-
(b) generally apply where the sec- cle is exempt under the provisions of
ondary vehicle manufacturer has sub- § 1037.622. The name of the certifying
stantial control over the design and as- manufacturer must also be on the label
sembly of emission controls. They also or, alternatively, on the bill of lading
apply where a secondary vehicle manu- that accompanies the vehicles during
facturer qualifies for a permanent ex- shipment. The original manufacturer
emption. In unusual circumstances we may not apply a permanent emission
may allow other secondary vehicle control information label identifying
manufacturers to use these provisions. the vehicle’s eventual status as a cer-
In determining whether a manufac- tified vehicle. Note that an exemption
turer has substantial control over the allowing a glider assembler to install
design and assembly of emission con- an exempt engine does not necessarily
trols, we would consider the degree to exempt the vehicle from the require-
which the secondary vehicle manufac- ments of this part.
turer would be able to ensure that the (3) If you are the secondary vehicle
engine and vehicle will conform to the manufacturer and you will hold the
regulations in their final configura- certificate, you must include the fol-
tions. lowing information in your application
(1) A secondary vehicle manufacturer for certification:
may finish assembly of partially com- (i) Identify the original manufacturer
plete vehicles in the following cases: of the partially complete vehicle or of
(i) It obtains a vehicle that is not the complete vehicle you will modify.
fully assembled with the intent to (ii) Describe briefly how and where
manufacture a complete vehicle in a final assembly will be completed.
certified or exempted configuration. Specify how you have the ability to en-
For example, this would apply where a sure that the vehicles will conform to
glider vehicle assembler holds a certifi- the regulations in their final configura-
cate that allows the assembler to tion. (NOTE: This section prohibits
produce certified glider vehicles from using the provisions of this paragraph
glider kits. (b) unless you have substantial control
318
over the design and assembly of emis- hicle reaches the point of final assem-
sion controls.) bly identified in paragraph (b)(3)(ii) of
(iii) State unconditionally that you this section.
will not distribute the vehicles without (8) For purposes of this section, an al-
conforming to all applicable regula- lowance to introduce partially com-
tions. plete vehicles into U.S. commerce in-
(4) If you are a secondary vehicle cludes a conditional allowance to sell,
manufacturer and you are already a introduce, or deliver such vehicles into
certificate holder for other families, commerce in the United States or im-
you may receive shipment of partially port them into the United States. It
complete vehicles after you apply for a does not include a general allowance to
certificate of conformity but before the offer such vehicles for sale because this
certificate’s effective date. This exemp- exemption is intended to apply only for
tion allows the original manufacturer cases in which the certificate holder al-
to ship vehicles after you have applied ready has an arrangement to purchase
for a certificate of conformity. Manu- the vehicles from the original manu-
facturers may introduce partially com- facturer. This exemption does not
plete vehicles into U.S. commerce as allow the original manufacturer to sub-
described in this paragraph (b)(4) if sequently offer the vehicles for sale to
they have a written request for such a different manufacturer who will hold
vehicles from a secondary vehicle man- the certificate unless that second man-
ufacturer stating that the application ufacturer has also complied with the
for certification has been submitted requirements of this part. The exemp-
(instead of the information we specify tion does not apply for any individual
in paragraph (b)(2) of this section). We vehicles that are not labeled as speci-
may set additional conditions under fied in this section or which are
this paragraph (b)(4) to prevent cir- shipped to someone who is not a cer-
cumvention of regulatory require- tificate holder.
ments. (9) We may suspend, revoke, or void
(5) The provisions of this section also an exemption under this section, as fol-
apply for shipping partially complete lows:
vehicles if the vehicle is covered by a (i) We may suspend or revoke your
valid exemption and there is no valid exemption if you fail to meet the re-
family name that could be used to rep- quirements of this section. We may
resent the vehicle model. Unless we ap- suspend or revoke an exemption re-
prove otherwise in advance, you may lated to a specific secondary vehicle
do this only when shipping engines to manufacturer if that manufacturer
secondary vehicle manufacturers that sells vehicles that are in not in a cer-
are certificate holders. In this case, the tified configuration in violation of the
secondary vehicle manufacturer must regulations. We may disallow this ex-
identify the regulatory cite identifying emption for future shipments to the af-
the applicable exemption instead of a fected secondary vehicle manufacturer
valid family name when ordering en- or set additional conditions to ensure
gines from the original vehicle manu- that vehicles will be assembled in the
facturer. certified configuration.
(6) Both original and secondary vehi- (ii) We may void an exemption for all
cle manufacturers must keep the the affected vehicles if you inten-
records described in this section for at tionally submit false or incomplete in-
least five years, including the written formation or fail to keep and provide
request for exempted vehicles and the to EPA the records required by this
bill of lading for each shipment (if ap- section.
plicable). The written request is (iii) The exemption is void for a vehi-
deemed to be a submission to EPA. cle that is shipped to a company that is
(7) These provisions are intended not a certificate holder or for a vehicle
only to allow secondary vehicle manu- that is shipped to a secondary vehicle
facturers to obtain or transport vehi- manufacturer that is not in compliance
cles in the specific circumstances iden- with the requirements of this section.
tified in this section so any exemption (iv) The secondary vehicle manufac-
under this section expires when the ve- turer may be liable for penalties for
319
§ 1037.630 40 CFR Ch. I (7–1–21 Edition)
causing a prohibited act where the exclude the statement: ‘‘THIS TRACTOR
emption is voided due to actions on the WAS MODIFIED UNDER 40 CFR
part of the secondary vehicle manufac- 1037.622.’’
turer. (4) See § 1037.150 for additional in-
(c) Provide instructions along with terim options that may apply.
partially complete vehicles including (5) The provisions of this paragraph
all information necessary to ensure (d) may apply separately for vehicle
that an engine will be installed in its GHG and evaporative emission stand-
certified configuration. ards.
(d) Small manufacturers that build (6) Modifications under this para-
custom sleeper cabs or natural gas- graph (d) do not violate 40 CFR
fueled tractors may modify complete 1068.101(b)(1).
or incomplete vehicles certified as
tractors, subject to the provisions of § 1037.630 Special purpose tractors.
this paragraph (d). Such businesses are
(a) General provisions. This section al-
secondary vehicle manufacturers.
lows a vehicle manufacturer to reclas-
(1) Secondary vehicle manufacturers
sify certain tractors as vocational trac-
may not modify the vehicle body in
tors. Vocational tractors are treated as
front of the b-pillar or increase the ef-
vocational vehicles and are exempt
fective frontal area of the certified
from the standards of § 1037.106. Note
configuration including consideration
that references to ‘‘tractors’’ outside of
of the frontal area of the standard
this section mean non-vocational trac-
trailer. For high-roof custom sleeper
tors.
tractors, this would generally mean
that no part of the added sleeper com- (1) This allowance is intended only
partment may extend beyond 102 for vehicles that do not typically oper-
inches wide or 162 inches high (meas- ate at highway speeds, or would other-
ured from the ground), which are the wise not benefit from efficiency im-
dimensions of the standard trailer for provements designed for line-haul trac-
high-roof tractors under this part. Note tors. This allowance is limited to the
that these dimensions have a tolerance following vehicle and application
of ±2 inches. types:
(2) The certifying manufacturer may (i) Low-roof tractors intended for
have responsibilities for the vehicle intra-city pickup and delivery, such as
under this section, as follows: those that deliver bottled beverages to
(i) If the vehicle being modified is a retail stores.
complete tractor in a certified configu- (ii) Tractors intended for off-road op-
ration, the certifying manufacturer has eration (including mixed service oper-
no additional responsibilities for the ation that does not qualify for an ex-
vehicle under this section. emption under § 1037.631), such as those
(ii) If the vehicle being modified is with reinforced frames and increased
partially complete only because it ground clearance. This includes
lacks body components to the rear of drayage tractors.
the b-pillar (but is otherwise a com- (iii) Model year 2020 and earlier trac-
plete tractor in a certified configura- tors with a gross combination weight
tion), the certifying manufacturer has rating (GCWR) at or above 120,000
no additional responsibilities for the pounds. Note that Phase 2 tractors
vehicle under this section. meeting the definition of ‘‘heavy-haul’’
(iii) If the vehicle being modified is in § 1037.801 must be certified to the
an incomplete tractor not in a certified heavy-haul standards in §§ 1037.106 or
configuration, the certifying manufac- 1037.670.
turer must comply with the provisions (2) Where we determine that a manu-
of § 1037.621 for the vehicle. facturer is not applying this allowance
(3) The secondary vehicle manufac- in good faith, we may require the man-
turer must add a permanent supple- ufacturer to obtain preliminary ap-
mental label to the vehicle near the proval before using this allowance.
original manufacturer’s emission con- (b) Requirements. The following re-
trol information label. On the label quirements apply with respect to trac-
identify your corporate name and in- tors reclassified under this section:
320
(1) The vehicle must fully conform to cles (including certain vocational trac-
all requirements applicable to voca- tors) that are intended to be used ex-
tional vehicles under this part. tensively in off-road environments
(2) Vehicles reclassified under this such as forests, oil fields, and construc-
section must be certified as a separate tion sites. This section does not ex-
vehicle family. However, they remain empt engines used in vocational vehi-
part of the vocational regulatory sub- cles from the standards of 40 CFR part
category and averaging set that applies 86 or part 1036. Note that you may not
for their service class. include these exempted vehicles in any
(3) You must include the following credit calculations under this part.
additional statement on the vehicle’s (a) Qualifying criteria. Vocational ve-
emission control information label hicles intended for off-road use are ex-
under § 1037.135: ‘‘THIS VEHICLE WAS empt without request, subject to the
CERTIFIED AS A VOCATIONAL provisions of this section, if they are
TRACTOR UNDER 40 CFR 1037.630.’’ primarily designed to perform work
(4) You must keep records for three off-road (such as in oil fields, mining,
years to document your basis for be- forests, or construction sites), and they
lieving the vehicles will be used as de- meet at least one of the criteria of
scribed in paragraph (a)(1) of this sec- paragraph (a)(1) of this section and at
tion. Include in your application for least one of the criteria of paragraph
certification a brief description of your (a)(2) of this section. See § 1037.105(h)
basis. for alternate Phase 2 standards that
(c) Production limit. No manufacturer apply for vehicles meeting only one of
may produce more than 21,000 Phase 1 these sets of criteria.
vehicles under this section in any con- (1) The vehicle must have affixed
secutive three model year period. This components designed to work inher-
means you may not exceed 6,000 in a ently in an off-road environment (such
given model year if the combined total
as hazardous material equipment or
for the previous two years was 15,000.
off-road drill equipment) or be designed
The production limit applies with re-
to operate at low speeds such that it is
spect to all Class 7 and Class 8 Phase 1
unsuitable for normal highway oper-
tractors certified or exempted as voca-
ation.
tional tractors. No production limit ap-
(2) The vehicle must meet one of the
plies for tractors subject to Phase 2
following criteria:
standards.
(d) Off-road exemption. All the provi- (i) Have an axle that has a gross axle
sions of this section apply for voca- weight rating (GAWR) at or above
tional tractors exempted under 29,000 pounds.
§ 1037.631, except as follows: (ii) Have a speed attainable in 2.0
(1) The vehicles are required to com- miles of not more than 33 mi/hr.
ply with the requirements of § 1037.631 (iii) Have a speed attainable in 2.0
instead of the requirements that would miles of not more than 45 mi/hr, an un-
otherwise apply to vocational vehicles. loaded vehicle weight that is not less
Vehicles complying with the require- than 95 percent of its gross vehicle
ments of § 1037.631 and using an engine weight rating, and no capacity to carry
certified to the standards of 40 CFR occupants other than the driver and
part 1036 are deemed to fully conform operating crew.
to all requirements applicable to voca- (iv) Have a maximum speed at or
tional vehicles under this part. below 54 mi/hr. You may consider the
(2) The vehicles must be labeled as vehicle to be appropriately speed-lim-
specified under § 1037.631 instead of as ited if engine speed at 54 mi/hr is at or
specified in paragraph (b)(3) of this sec- above 95 percent of the engine’s max-
tion. imum test speed in the highest avail-
able gear. You may alternatively limit
§ 1037.631 Exemption for vocational vehicle speed by programming the en-
vehicles intended for off-road use. gine or vehicle’s electronic control
This section provides an exemption module in a way that is tamper-proof.
from the greenhouse gas standards of (b) Tractors. The provisions of this
this part for certain vocational vehi- section may apply for tractors only if
321
§ 1037.635 40 CFR Ch. I (7–1–21 Edition)
each tractor qualifies as a vocational standards apply for engines used in

tractor under § 1037.630. glider vehicles as follows:
(c) Recordkeeping and reporting. (1) (1) The engine must meet the GHG
You must keep records to document standards of 40 CFR part 1036 that
that your exempted vehicle configura- apply for the engine model year cor-
tions meet all applicable requirements responding to the vehicle’s date of
of this section. Keep these records for manufacture. For example, for a vehi-
at least eight years after you stop pro- cle with a 2024 date of manufacture, the
ducing the exempted vehicle model. We engine must meet the GHG standards
may review these records at any time. that apply for model year 2024.
(2) You must also keep records of the (2) The engine must meet the criteria
individual exempted vehicles you pollutant standards of 40 CFR part 86
produce, including the vehicle identi- that apply for the engine model year
fication number and a description of corresponding to the vehicle’s date of
the vehicle configuration. manufacture.
(3) Within 90 days after the end of (3) The engine may be from an earlier
each model year, you must send to the model year if the standards were iden-
Designated Compliance Officer a report tical to the currently applicable engine
with the following information: standards.
(i) A description of each exempted ve- (4) Note that alternate standards or
hicle configuration, including an expla- requirements may apply under
nation of why it qualifies for this ex- § 1037.150.
emption. (c) The engine standards identified in
(ii) The number of vehicles exempted paragraph (b) of this section do not
for each vehicle configuration. apply for certain engines when used in
(d) Labeling. You must include the glider kits. These engines remain sub-
following additional statement on the ject to the standards to which they
vehicle’s emission control information were previously certified.
label under § 1037.135: ‘‘THIS VEHICLE (1) The allowance in this paragraph
WAS EXEMPTED UNDER 40 CFR (c) applies only for following engines:
1037.631.’’ (i) Certified engines still within their
original useful life in terms of both
§ 1037.635 Glider kits and glider vehi- miles and years. Glider vehicles pro-
cles. duced using engines meeting this cri-
Except as specified in § 1037.150, the terion are exempt from the require-
requirements of this section apply be- ments of paragraph (a) of this section if
ginning January 1, 2017. the glider vehicle configuration is iden-
(a) Vehicles produced from glider tical to a configuration previously cer-
kits and other glider vehicles are sub- tified to the requirements of this part
ject to the same standards as other 1037 for a model year the same as or
new vehicles, including the applicable later than the model year of the en-
vehicle standards described in Subpart gine.
B of this part. Note that this require- (ii) Certified engines of any age with
ment for the vehicle generally applies less than 100,000 miles of engine oper-
even if the engine meets the criteria of ation. This is intended for specialty ve-
paragraph (c)(1) of this section. For en- hicles (such as fire trucks) that have
gines originally produced before 2017, if very low usage rates. These vehicles
you are unable to obtain a fuel map for are exempt from the requirements of
an engine you may ask to use a default paragraph (a) of this section, provided
map, consistent with good engineering the completed vehicle is returned to
judgment. the owner of the engine in a configura-
(b) Section 1037.601(a)(1) disallows the tion equivalent to that of the donor ve-
introduction into U.S. commerce of a hicle.
new tractor or vocational vehicle (in- (iii) Certified engines less than three
cluding a vehicle assembled from a years old with any number of accumu-
glider kit) unless it has an engine that lated miles of engine operation. Vehi-
is certified to the applicable standards cles using these engines must comply
in 40 CFR parts 86 and 1036. Except as with the requirements of paragraph (a)
specified otherwise in this part, the of this section.
322
(2) For remanufactured engines, EFFECTIVE DATE NOTE: At 86 FR 34490, June

these eligibility criteria apply based on 29, 2021, § 1037.635 was amended, effective July
the original date of manufacture rather 29, 2021.
than the date of remanufacture. For
§ 1037.640 Variable vehicle speed lim-
example, an engine originally manufac- iters.
tured in 2003 that is remanufactured in
2012 after 350,000 miles, then accumu- This section specifies provisions that
lates an additional 150,000 miles before apply for vehicle speed limiters (VSLs)
being installed in a model year 2020 that you model under § 1037.520. This
glider would be considered to be 17 does not apply for VSLs that you do
years old and to have accumulated not model under § 1037.520. (e) This sec-
500,000 miles. tion is written to apply for tractors;
(3) The provisions of this paragraph however, you may use good engineering
(c) apply only where you can show that judgment to apply equivalent adjust-
one or more criteria have been met. ments for Phase 2 vocational vehicles
For example, to apply the criterion of with vehicle speed limiters.
paragraph (c)(1)(i) or (ii), you must be (a) General. The regulations of this
able prove the number of miles the en- part do not constrain how you may de-
gine has accumulated. sign VSLs for your vehicles. For exam-
(d) All engines used in glider vehicles ple, you may design your VSL to have
(including remanufactured engines) a single fixed speed limit or a soft-top
must be in a certified configuration speed limit. You may also design your
and properly labeled. This requirement VSL to expire after accumulation of a
applies equally to any engine covered predetermined number of miles. How-
by this section. Depending on the ever, designs with soft tops or expira-
model year of the engine (and other ap- tion features are subject to proration
plicable provisions of this section), it provisions under this section that do
may be permissible for the engine to not apply to fixed VSLs that do not ex-
remain in its original certified configu- pire.
ration or another configuration of the (b) Definitions. The following defini-
same original model year. However, it tions apply for purposes of this section:
may be necessary to modify the engine (1) Default speed limit means the
to a newer certified configuration. speed limit that normally applies for
(e) The following additional provi- the vehicle, except as follows:
sions apply: (i) The default speed limit for adjust-
(1) The Clean Air Act definition of able VSLs must represent the speed
‘‘manufacturer’’ includes anyone who limit that applies when the VSL is ad-
assembles motor vehicles, including justed to its highest setting under
entities that install engines in or oth- paragraph (c) of this section.
erwise complete assembly of glider (ii) For VSLs with soft tops, the de-
kits. fault speed does not include speeds pos-
(2) Vehicle manufacturers (including sible only during soft-top operation.
assemblers) producing glider vehicles (iii) For expiring VSLs, the default
must comply with the reporting and does not include speeds that are pos-
recordkeeping requirements in sible only after expiration.
§ 1037.250. (2) Soft-top speed limit means the
(3) Manufacturers of glider kits pro- highest speed limit that applies during
viding glider kits for the purpose of al- soft-top operation.
lowing another manufacturer to assem- (3) Maximum soft-top duration means
ble vehicles under this section are sub- the maximum amount of time that a
ject to the provisions of §§ 1037.620 vehicle could operate above the default
through 1037.622, as applicable. For ex- speed limit.
ample, introducing an uncertified glid- (4) Certified VSL means a VSL con-
er kit into U.S. commerce may subject figuration that applies when a vehicle
you to penalties under 40 CFR 1068.101 is new and until it expires.
if the completed glider vehicle does not (5) Expiration point means the mile-
conform fully with the regulations of age at which a vehicle’s certified VSL
the part at any point before being expires (or the point at which tamper
placed into service. protections expire).
323
§ 1037.645 40 CFR Ch. I (7–1–21 Edition)
(6) Effective speed limit has the (d) Effective speed limit. (1) For VSLs
meaning given in paragraph (d) of this without soft tops or expiration points
section. that expire before 1,259,000 miles, the
(c) Adjustments. You may design your effective speed limit is the highest
VSL to be adjustable; however, this speed limit that results by adjusting
may affect the value you use in GEM. the VSL or other vehicle parameters
(1) Except as specified in paragraph consistent with the provisions of para-
(c)(2) of this section, any adjustments graph (c) of this section.
that can be made to the engine, vehi-
(2) For VSLs with soft tops and/or ex-
cle, or their controls that change the
VSL’s actual speed limit are consid- piration points, the effective speed
ered to be adjustable operating param- limit is calculated as specified in this
eters. Compliance is based on the vehi- paragraph (d)(2), which is based on 10
cle being adjusted to the highest speed hours of operation per day (394 miles
limit within this range. per day for day cabs and 551 miles per
(2) The following adjustments are not day for sleeper cabs). Note that this
adjustable parameters: calculation assumes that a fraction of
(i) Adjustments made only to ac- this operation is speed-limited (3.9
count for changing tire size or final hours and 252 miles for day cabs, and
drive ratio. 7.3 hours and 474 miles for sleeper
(ii) Adjustments protected by cabs). Use the following equation to
encrypted controls or passwords. calculate the effective speed limit,
(iii) Adjustments possible only after rounded to the nearest 0.1 mi/hr:
the VSL’s expiration point.
Where: allow this option where we determine

ExF = expiration point miles/1,259,000 miles. the credits being forfeited would likely
STF = the maximum number of allowable have expired.
soft top operation hours per day/3.9 hours
for day cabs (or maximum miles per day/
(a) You may ask us to increase a ve-
252), or the maximum number of allow- hicle family’s FEL after the end of the
able soft top operation hours per day/7.3 model year if you believe some of your
hours for sleeper cabs (or maximum in-use vehicles exceed the CO2 FEL
miles per day/474). that applied during the model year (or
STSL = the soft-top speed limit.
the CO2 emission standard if the family
DSL = the default speed limit.
did not generate or use emission cred-
§ 1037.645 In-use compliance with fam- its). We may consider any available in-
ily emission limits (FELs). formation in making our decision to
Section 1037.225 describes how to approve or deny your request.
change the FEL for a vehicle family (b) If we approve your request under
during the model year. This section, this section, you must apply emission
which describes how you may ask us to credits to cover the increased FEL for
increase a vehicle family’s FEL after all affected vehicles. Apply the emis-
the end of the model year, is intended sion credits as part of your credit dem-
to address circumstances in which it is onstration for the current production
in the public interest to apply a higher year. Include the appropriate calcula-
in-use FEL based on forfeiting an ap- tions in your final report under
propriate number of emission credits. § 1037.730.
For example, this may be appropriate (c) Submit your request to the Des-
where we determine that recalling ve-
ignated Compliance Officer. Include

hicles would not significantly reduce
the following in your request:
in-use emissions. We will generally not
324
ER25OC16.152</GPH>
(1) Identify the names of each vehicle longer approve a replacement FEL
family that is the subject of your re- under this section for any of your vehi-
quest. Include separate family names cles from that vehicle family, or from
for different model years any other vehicle family that relies on
(2) Describe why your request does equivalent emission controls.
not apply for similar vehicle models or
additional model years, as applicable. § 1037.655 Post-useful life vehicle
(3) Identify the FEL that applied dur- modifications.
ing the model year for each configura- (a) General. Vehicle modifications
tion and recommend replacement FELs during and after the useful life are pre-
for in-use vehicles; include a sup- sumed to violate 42 U.S.C. 7522(a)(3)(A)
porting rationale to describe how you if they involve removing or rendering
determined the recommended replace- inoperative any emission control de-
ment FELs. vice installed to comply with the re-
(4) Describe whether the needed emis- quirements of this part 1037. This sec-
sion credits will come from averaging, tion specifies vehicle modifications
banking, or trading. that may occur in certain cir-
(d) If we approve your request, we cumstances after a vehicle reaches the
will identify one or more replacement end of its regulatory useful life. EPA
FELs, as follows: may require a higher burden of proof
(1) Where your vehicle family in- with respect to modifications that
cludes more than one sub-family with occur within the useful life period, and
different FELs, we may apply a higher the specific examples presented here do
FEL within the family than was ap- not necessarily apply within the useful
plied to the vehicle’s configuration in life. This section also does not apply
your final ABT report. For example, if with respect to engine modifications or
your vehicle family included three sub- recalibrations.
families, with FELs of 200 g/ton-mile,
(b) Allowable modifications. You may
210 g/ton-mile, and 220 g/ton-mile, we
modify a vehicle for the purpose of re-
may apply a 220 g/ton-mile in-use FEL
ducing emissions, provided you have a
to vehicles that were originally des-
reasonable technical basis for knowing
ignated as part of the 200 g/ton-mile or
210 g/ton-mile sub-families. that such modification will not in-
(2) Without regard to the number of crease emissions of any other pollut-
sub-families in your certified vehicle ant. ‘‘Reasonable technical basis’’ has
family, we may specify one or more the meaning given in 40 CFR 1068.30.
new sub-families with higher FELs This generally requires you to have in-
than you included in your final ABT formation that would lead an engineer
report. We may apply these higher or other person familiar with engine
FELs as in-use FELs for your vehicles. and vehicle design and function to rea-
For example, if your vehicle family in- sonably believe that the modifications
cluded three sub-families, with FELs of will not increase emissions of any regu-
200 g/ton-mile, 210 g/ton-mile, and 220 g/ lated pollutant.
ton-mile, we may specify a new 230 g/ (c) Examples of allowable modifications.
ton-mile sub-family. The following are examples of allow-
(3) Our selected values for the re- able modifications:
placement FEL will reflect our best (1) It is generally allowable to re-
judgment to accurately reflect the ac- move tractor roof fairings after the end
tual in-use performance of your vehi- of the vehicle’s useful life if the vehicle
cles, consistent with the testing provi- will no longer be used primarily to pull
sions specified in this part. box vans.
(4) We may apply the higher FELs to (2) Other fairings may be removed
other vehicle families from the same or after the end of the vehicle’s useful life
different model years to the extent if the vehicle will no longer be used
they used equivalent emission controls. significantly on highways with a vehi-
We may include any appropriate condi- cle speed of 55 miles per hour or higher.
tions with our approval. (d) Examples of prohibited modifica-
(e) If we order a recall for a vehicle tions. The following are examples of
family under 40 CFR 1068.505, we will no modifications that are not allowable:
325
§ 1037.660 40 CFR Ch. I (7–1–21 Edition)
(1) No person may disable a vehicle provide. Any dealers making any modi-
speed limiter prior to its expiration fications before delivery to the ulti-
point. mate purchaser must notify you, and
(2) No person may remove aero- you must account for such modifica-
dynamic fairings from tractors that tions in your production and ABT re-
are used primarily to pull box vans on ports after the end of the model year.
highways. Dealers failing to provide prompt noti-
fication are in violation of the tam-
§ 1037.660 Idle-reduction technologies. pering prohibition of 40 CFR
This section specifies requirements 1068.101(b)(1). Dealer notifications are
that apply for idle-reduction tech- deemed to be submissions to EPA. Note
nologies modeled under § 1037.520. It that these adjustments may not be
does not apply for idle-reduction tech- made if the AES system was not ‘‘ad-
nologies you do not model under justable’’ when first delivered to the
§ 1037.520. ultimate purchaser.
(a) Minimum requirements. Idle-reduc- (v) For vocational vehicles, you may
tion technologies must meet all the use the provisions of § 1037.610 to apply
following requirements to be modeled for an appropriate partial emission re-
under § 1037.520 except as specified in duction for AES systems you identify
paragraphs (b) and (c) of this section: as ‘‘adjustable.’’
(1) Automatic engine shutdown (AES) (2) Neutral idle. Phase 2 vehicles with
systems. The system must shut down hydrokinetic torque converters paired
the engine within a threshold inac- with automatic transmissions qualify
tivity period of 60 seconds or less for for neutral-idle credit in GEM mod-
vocational vehicles and 300 seconds or eling if the transmission reduces
less for tractors when all the following torque equivalent to shifting into neu-
conditions are met:
tral throughout the interval during
(i) The transmission is set to park, or
which the vehicle’s brake pedal is de-
the transmission is in neutral with the
pressed and the vehicle is at a zero-
parking brake engaged. This is ‘‘parked
speed condition. If a vehicle reduces
idle.’’
torque partially but not enough to be
(ii) The operator has not reset the
equivalent to shifting to neutral, you
system timer within the specified
may use the provisions of § 1037.610(g)
threshold inactivity period by chang-
ing the position of the accelerator, to apply for an appropriate partial
brake, or clutch pedal; or by resetting emission reduction; this may involve A
the system timer with some other to B testing with the powertrain test
mechanism we approve. procedure in § 1037.550 or the spin-loss
(iii) You may identify systems as portion of the transmission efficiency
‘‘tamper-resistant’’ if you make no pro- test in § 1037.565.
vision for vehicle owners, dealers, or (3) Stop-start. Phase 2 vocational ve-
other service outlets to adjust the hicles qualify for stop-start reduction
threshold inactivity period. in GEM modeling if the engine shuts
(iv) For Phase 2 tractors, you may down no more than 5 seconds after the
identify AES systems as ‘‘adjustable’’ vehicle’s brake pedal is depressed when
if, before delivering to the ultimate the vehicle is at a zero-speed condition.
purchaser, you enable authorized deal- (b) Override conditions. The system
ers to modify the vehicle in a way that may limit activation of the idle-reduc-
disables the AES system or makes the tion technology while any of the condi-
threshold inactivity period longer than tions of this paragraph (b) apply. These
300 seconds. However, the vehicle may conditions allow the system to delay
not be delivered to the ultimate pur- engine shutdown, adjust engine re-
chaser with the AES system disabled starting, or delay disengaging trans-
or the threshold inactivity period set missions, but do not allow for resetting
longer than 300 seconds. You may allow timers. Engines may restart and trans-
dealers or repair facilities to make missions may re-engage during over-
such modifications; this might involve ride conditions if the vehicle is set up
password protection for electronic con- to do this automatically. We may ap-

trols, or special tools that only you prove additional override criteria as
326
needed to protect the engine and vehi- (i) For the PTO conditions specified
cle from damage and to ensure safe ve- in paragraph (b)(1)(v) of this section.
hicle operation. (ii) [Reserved]
(1) For AES systems on tractors, the (4) For stop-start, the system may
system may delay shutdown— limit activation—
(i) While an exhaust emission control (i) For any of the conditions specified
device is regenerating. The period con- in paragraphs (b)(2) or (b)(3)(ii) of this
sidered to be regeneration for purposes section.
of this allowance must be consistent (ii) When air brake pressure is too
with good engineering judgment and low according to the manufacturer’s
may differ in length from the period specifications for maintaining vehicle-
considered to be regeneration for other braking capability.
purposes. For example, in some cases it (iii) When the transmission is in re-
may be appropriate to include a cool verse gear.
down period for this purpose but not (iv) When recent vehicle speeds indi-
for infrequent regeneration adjustment cate an abnormally high shutdown and
factors. restart frequency, such as with con-
(ii) If necessary while servicing the gested driving. For example, a vehicle
vehicle, provided the deactivation of not exceeding 10 mi/hr for the previous
the AES system is accomplished using 300 seconds or since the most recent en-
a diagnostic scan tool. The system gine start would be a proper basis for
must be automatically reactivated overriding engine shutdown. You may
when the engine is shut down for more also design this override to protect
than 60 minutes. against system damage or malfunction
(iii) If the vehicle’s main battery of safety systems.
state-of-charge is not sufficient to (v) When the vehicle detects that a
allow the main engine to be restarted. system or component is worn or mal-
functioning in a way that could reason-
(iv) If the vehicle’s transmission,
ably prevent the engine from restart-
fuel, oil, or engine coolant temperature
ing, such as low battery voltage.
is too low or too high according to the
(c) Adjustments to AES systems for
manufacturer’s specifications for pro-
Phase 1. (1) The AES system may in-
tecting against system damage. This
clude an expiration point (in miles)
allows the engine to continue oper-
after which the AES system may be
ating until it is in a predefined tem-
disabled. If your vehicle is equipped
perature range, within which the shut-
with an AES system that expires be-
down sequence of paragraph (a) of this
fore 1,259,000 miles, adjust the model
section would resume.
input as follows, rounded to the near-
(v) While the vehicle’s main engine is
est 0.1 g/ton-mile: AES Input = 5 g CO2/
operating in power take-off (PTO) ton-mile × (miles at expiration/1,259,000
mode. For purposes of this paragraph miles).
(b), an engine is considered to be in (2) For AES systems designed to
PTO mode when a switch or setting limit idling to a specific number of
designating PTO mode is enabled. hours less than 1,800 hours over any 12-
(vi) If external ambient conditions month period, calculate an adjusted
prevent managing cabin temperatures AES input using the following equa-
for the driver’s safety. tion, rounded to the nearest 0.1 g/ton-
(2) For AES systems on vocational mile: AES Input = 5 g CO2/ton-mile ×
vehicles, the system may limit activa- (1—(maximum allowable number of
tion— idling hours per year/1,800 hours)). This
(i) If any condition specified in para- is an annual allowance that starts
graphs (b)(1)(i) through (vi) of this sec- when the vehicle is new and resets
tion applies. every 12 months after that. Manufac-
(ii) If internal cab temperatures are turers may propose an alternate meth-
too hot or too cold for the driver’s safe- od based on operating hours or miles
ty. instead of years.
(3) For neutral idle, the system may (d) Adjustable parameters. Provisions
delay shifting the transmission to neu- that apply generally with respect to
tral— adjustable parameters also apply to the
327
§ 1037.665 40 CFR Ch. I (7–1–21 Edition)
AES system operating parameters, ex- mine emission levels in g/hour for the
cept the following are not considered idle test and g/ton-mile for other duty
to be adjustable parameters: cycles.
(1) Accelerator, brake, and clutch (b) Send us an annual report with
pedals, with respect to resetting the your test results for each duty cycle
idle timer. Parameters associated with and the corresponding GEM results.
other timer reset mechanisms we ap- Send the report by the next October 1
prove are also not adjustable param- after the year we select the vehicles for
eters. testing, or a later date that we ap-
(2) Bypass parameters allowed for ve- prove. We may make your test data
hicle service under paragraph (b)(1)(ii) publicly available.
of this section. (c) We may approve your request to
(3) Parameters that are adjustable perform alternative testing that will
only after the expiration point. provide equivalent or better informa-
(e) PM limit for diesel APU. For model tion compared to the specified testing.
year 2020 and earlier tractors with a We may also direct you to do less test-
date of manufacture on or after Janu- ing than we specify in this section.
ary 1, 2018, the GEM credit for AES sys- (d) GHG standards do not apply with
tems with OEM-installed diesel APUs respect to testing under this section.
is valid only if the engine is certified Note however that NTE standards
under 40 CFR part 1039 with a deterio- apply for any qualifying operation that
rated emission level for particulate occurs during the testing in the same
matter at or below 0.15 g/kW-hr, or if way that it would during any other in-
the engine or APU is certified to the use testing.
standards specified in § 1037.106(g). EFFECTIVE DATE NOTE: At 86 FR 34491, June
EFFECTIVE DATE NOTE: At 86 FR 34490, June 29, 2021, § 1037.665 was amended, effective July
29, 2021, § 1037.660 was amended, effective July 29, 2021.
29, 2021.
§ 1037.670 Optional CO2 emission
§ 1037.665 Production and in-use trac- standards for tractors at or above
tor testing. 120,000 pounds GCWR.
Manufacturers with annual U.S.-di- (a) You may certify tractors at or
rected production volumes of greater above 120,000 pounds GCWR to the fol-
than 20,000 tractors must perform test- lowing CO2 standards instead of the
ing as described in this section. Trac- CO2 standards of § 1037.106:
tors may be new or used.
(a) The following test requirements TABLE 1 OF § 1037.670—OPTIONAL CO2
apply for model years 2021 and later: STANDARDS FOR TRACTORS ABOVE 120,000
(1) Each calendar year, select for POUNDS GCWR BY MODEL YEAR
[g/ton-mile]
testing three sleeper cabs and two day
cabs certified to Phase 1 or Phase 2 Phase 2
standards. If we do not identify certain standards
Subcategory for model
vehicle configurations for your testing, years 2021
select models that you project to be and later
among your 12 highest-selling vehicle Heavy Class 8 Low-Roof Day Cab ................... 51.8
configurations for the given year. Heavy Class 8 Low-Roof Sleeper Cab ............. 45.3
(2) Set up the tractors on a chassis Heavy Class 8 Mid-Roof Day Cab .................... 54.1
Heavy Class 8 Mid-Roof Sleeper Cab .............. 47.9
dynamometer and operate them over Heavy Class 8 High-Roof Day Cab .................. 54.1
all applicable duty cycles from Heavy Class 8 High-Roof Sleeper Cab ............ 46.9
§ 1037.510(a). You may use emission-
measurement systems meeting the (b) Determine subcategories as de-
specifications of 40 CFR part 1065, sub- scribed in § 1037.230 for tractors that are
part J. Calculate coefficients for the not heavy-haul tractors. For example,
road-load force equation as described the subcategory for tractors that
in Section 10 of SAE J1263 or Section 11 would otherwise be considered Class 8
of SAE J2263 (both incorporated by ref- low-roof day cabs would be Heavy Class
erence in § 1037.810). Use standard pay- 8 Low-Roof Day Cabs.
load. Measure emissions of NOX, PM, (c) Except for the CO2 standards of
CO, NMHC, CO2, CH4, and N2O. Deter- § 1037.106, all provisions applicable to
328
tractors under this part continue to (6) Seller means the entity that pro-
apply to tractors certified to the stand- vides emission credits during a trade.
ards of this section. Include the fol- (7) Standard means the emission
lowing compliance statement on your standard that applies under subpart B
label instead of the statement specified of this part for vehicles not partici-
in § 1037.135(c)(8): ‘‘THIS VEHICLE pating in the ABT program of this sub-
COMPLIES WITH U.S. EPA REGULA- part.
TIONS FOR [MODEL YEAR] HEAVY– (8) Trade means to exchange emission
DUTY VEHICLES UNDER 40 CFR credits, either as a buyer or seller.
1037.670.’’ (c) Emission credits may be ex-
(d) The optional emission standards changed only within an averaging set,
in this section are intended primarily except as specified in § 1037.740.
for tractors that will be exported; how- (d) You may not use emission credits
ever, you may include any tractors cer- generated under this subpart to offset
tified under this section in your emis- any emissions that exceed an FEL or
sion credit calculation under § 1037.705 standard, except as allowed by
if they are part of your U.S.-directed § 1037.645.
production volume.
(e) You may use either of the fol-
EFFECTIVE DATE NOTE: At 86 FR 34491, June lowing approaches to retire or forego
29, 2021, § 1037.670 was amended, effective July emission credits:
29, 2021. (1) You may trade emission credits
generated from any number of your ve-
Subpart H—Averaging, Banking, hicles to the vehicle purchasers or
and Trading for Certification other parties to retire the credits.
Identify any such credits in the reports
§ 1037.701 General provisions. described in § 1037.730. Vehicles must
(a) You may average, bank, and trade comply with the applicable FELs even
emission credits for purposes of certifi- if you donate or sell the corresponding
cation as described in this subpart and emission credits under this paragraph
in subpart B of this part to show com- (e). Those credits may no longer be
pliance with the standards of §§ 1037.105 used by anyone to demonstrate compli-
through 1037.107. Note that §§ 1037.105(h) ance with any EPA emission standards.
and 1037.107 specify standards involving (2) You may certify a family using an
limited or no use of emission credits FEL below the emission standard as
under this subpart. Participation in described in this part and choose not to
this program is voluntary. generate emission credits for that fam-
(b) The definitions of subpart I of this ily. If you do this, you do not need to
part apply to this subpart in addition calculate emission credits for those
to the following definitions: families and you do not need to submit
(1) Actual emission credits means emis- or keep the associated records de-
sion credits you have generated that scribed in this subpart for that family.
we have verified by reviewing your (f) Emission credits may be used in
final report. the model year they are generated.
(2) Averaging set means a set of vehi- Where we allow it, surplus emission
cles in which emission credits may be credits may be banked for future model
exchanged. Note that an averaging set years. Surplus emission credits may
may comprise more than one regu- sometimes be used for past model
latory subcategory. See § 1037.740. years, as described in § 1037.745.
(3) Broker means any entity that fa- (g) You may increase or decrease an
cilitates a trade of emission credits be- FEL during the model year by amend-
tween a buyer and seller. ing your application for certification
(4) Buyer means the entity that re- under § 1037.225. The new FEL may
ceives emission credits as a result of a apply only to vehicles you have not al-
trade. ready introduced into commerce.
(5) Reserved emission credits means (h) See § 1037.740 for special credit
emission credits you have generated provisions that apply for credits gen-
that we have not yet verified by re- erated under 40 CFR 86.1819(k)(7), 40
viewing your final report. CFR 1036.615, or § 1037.615.
329
§ 1037.705 40 CFR Ch. I (7–1–21 Edition)
(i) Unless the regulations explicitly UL = useful life of the vehicle, in miles, as
allow it, you may not calculate credits described in § 1037.105 and § 1037.106. Use
more than once for any emission reduc- 250,000 miles for trailers.
tion. For example, if you generate CO2 (c) As described in § 1037.730, compli-
emission credits for a given hybrid ve- ance with the requirements of this sub-
hicle under this part, no one may gen- part is determined at the end of the
erate CO2 emission credits for the hy- model year based on actual U.S.-di-
brid engine under 40 CFR part 1036. rected production volumes. Keep appro-
However, credits could be generated for priate records to document these pro-
identical engine used in vehicles that duction volumes. Do not include any of
did not generate credits under this the following vehicles to calculate
part. emission credits:
(j) You may use emission credits gen- (1) Vehicles that you do not certify
erated under the Phase 1 standards to the CO2 standards of this part be-
when certifying vehicles to Phase 2 cause they are permanently exempted
standards. No credit adjustments are under subpart G of this part or under 40
required other than corrections for dif- CFR part 1068.
ferent useful lives. (2) Exported vehicles.
(3) Vehicles not subject to the re-
EFFECTIVE DATE NOTE: At 86 FR 34491, June quirements of this part, such as those
29, 2021, § 1037.701 was amended, effective July excluded under § 1037.5.
29, 2021. (4) Any other vehicles, where we indi-
cate elsewhere in this part 1037 that
§ 1037.705 Generating and calculating they are not to be included in the cal-
emission credits.
culations of this subpart.
(a) The provisions of this section
apply separately for calculating emis- 29, 2021, § 1037.705 was amended, effective July
sion credits for each pollutant. 29, 2021.
(b) For each participating family or
subfamily, calculate positive or nega- § 1037.710 Averaging.
tive emission credits relative to the (a) Averaging is the exchange of
otherwise applicable emission stand- emission credits among your vehicle
ard. Calculate positive emission credits families. You may average emission
for a family or subfamily that has an credits only within the same averaging
FEL below the standard. Calculate neg- set, except as specified in § 1037.740.
ative emission credits for a family or (b) You may certify one or more vehi-
subfamily that has an FEL above the cle families (or subfamilies) to an FEL
standard. Sum your positive and nega- above the applicable standard, subject
tive credits for the model year before to any applicable FEL caps and other
rounding. Round the sum of emission provisions in subpart B of this part, if
credits to the nearest megagram (Mg), you show in your application for cer-
using consistent units with the fol- tification that your projected balance
lowing equation: of all emission-credit transactions in
Emission credits (Mg) = (Std–FEL) · (PL) that model year is greater than or
· (Volume) · (UL) · (10¥6) equal to zero or that a negative bal-
ance is allowed under § 1037.745.
Where: (c) If you certify a vehicle family to
Std = the emission standard associated with an FEL that exceeds the otherwise ap-
the specific regulatory subcategory (g/ plicable standard, you must obtain
ton-mile). enough emission credits to offset the
FEL = the family emission limit for the vehi- vehicle family’s deficit by the due date
cle subfamily (g/ton-mile). for the final report required in
PL = standard payload, in tons. § 1037.730. The emission credits used to
Volume = U.S.-directed production volume of address the deficit may come from
the vehicle subfamily. For example, if
your other vehicle families that gen-
you produce three configurations with
the same FEL, the subfamily production erate emission credits in the same
model year (or from later model years
volume would be the sum of the produc-

tion volumes for these three configura- as specified in § 1037.745), from emission
tions. credits you have banked from previous
330
model years, or from emission credits hicle families participating in a trade

generated in the same or previous that results in a manufacturer having
model years that you obtained through a negative balance of emission credits.
trading. Note that the option for using See § 1037.745.
banked or traded credits does not apply
for trailers. § 1037.725 What must I include in my
application for certification?
§ 1037.715 Banking. (a) You must declare in your applica-
(a) Banking is the retention of sur- tion for certification your intent to use
plus emission credits by the manufac- the provisions of this subpart for each
turer generating the emission credits vehicle family that will be certified
for use in future model years for aver- using the ABT program. You must also
aging or trading. Note that § 1037.107 declare the FELs you select for the ve-
does not allow banking for trailers. hicle family or subfamily for each pol-
(b) You may designate any emission lutant for which you are using the ABT
credits you plan to bank in the reports program. Your FELs must comply with
you submit under § 1037.730 as reserved the specifications of subpart B of this
credits. During the model year and be- part, including the FEL caps. FELs
fore the due date for the final report, must be expressed to the same number
you may designate your reserved emis- of decimal places as the applicable
sion credits for averaging or trading. standards.
(c) Reserved credits become actual (b) Include the following in your ap-
emission credits when you submit your plication for certification:
final report. However, we may revoke (1) A statement that, to the best of
these emission credits if we are unable your belief, you will not have a nega-
to verify them after reviewing your re- tive balance of emission credits for any
ports or auditing your records. averaging set when all emission credits
(d) Banked credits retain the designa- are calculated at the end of the year;
tion of the averaging set in which they or a statement that you will have a
were generated. negative balance of emission credits
for one or more averaging sets but that
§ 1037.720 Trading. it is allowed under § 1037.745.
(a) Trading is the exchange of emis- (2) Calculations of projected emission
sion credits between manufacturers, or credits (positive or negative) based on
the transfer of credits to another party projected U.S.-directed production vol-
to retire them. You may use traded umes. We may require you to include
emission credits for averaging, bank- similar calculations from your other
ing, or further trading transactions. vehicle families to project your net
Traded emission credits remain subject credit balances for the model year. If
to the averaging-set restrictions based you project negative emission credits
on the averaging set in which they for a family or subfamily, state the
were generated. Note that § 1037.107 source of positive emission credits you
does not allow trading for trailers. expect to use to offset the negative
(b) You may trade actual emission emission credits.
You may also trade reserved emission § 1037.730 ABT reports.
credits, but we may revoke these emis- (a) If any of your engine families are
sion credits based on our review of certified using the ABT provisions of
your records or reports or those of the this subpart, you must send an end-of-
company with which you traded emis- year report by March 31 following the
sion credits. You may trade banked end of the model year and a final re-
credits within an averaging set to any port by September 30 following the end
certifying manufacturer. of the model year. We may waive the
(c) If a negative emission credit bal- requirement to send an end-of-year re-
ance results from a transaction, both port.
the buyer and seller are liable, except (b) Your end-of-year and final reports
in cases we deem to involve fraud. See must include the following information
§ 1037.255(e) for cases involving fraud. for each vehicle family participating in
We may void the certificates of all ve- the ABT program:
331
§ 1037.730 40 CFR Ch. I (7–1–21 Edition)
(1) Vehicle-family and subfamily des- choose to retire emission credits that
ignations, and averaging set. would otherwise be eligible for bank-
(2) The regulatory subcategory and ing, identify the families that gen-
emission standards that would other- erated the emission credits, including
wise apply to the vehicle family. the number of emission credits from
(3) The FEL for each pollutant. If you each family.
change the FEL after the start of pro- (3) State that the report’s contents
duction, identify the date that you are accurate.
started using the new FEL and/or give (4) Identify the technologies that
the vehicle identification number for make up the certified configuration as-
the first vehicle covered by the new sociated with each vehicle identifica-
FEL. In this case, identify each appli- tion number. You may identify this as
cable FEL and calculate the positive or a range of identification numbers for
negative emission credits as specified vehicles involving a single, identical
in § 1037.225. certified configuration.
(4) The projected and actual U.S.-di- (d) If you trade emission credits, you
rected production volumes for the must send us a report within 90 days
model year. If you changed an FEL after the transaction, as follows:
during the model year, identify the ac- (1) As the seller, you must include
tual U.S.-directed production volume the following information in your re-
associated with each FEL. port:
(5) Useful life. (i) The corporate names of the buyer
(6) Calculated positive or negative and any brokers.
emission credits for the whole vehicle (ii) A copy of any contracts related
family. Identify any emission credits to the trade.
that you traded, as described in para- (iii) The averaging set corresponding
graph (d)(1) of this section. to the vehicle families that generated
(7) If you have a negative credit bal- emission credits for the trade, includ-
ance for the averaging set in the given ing the number of emission credits
model year, specify whether the vehi- from each averaging set.
cle family (or certain subfamilies with (2) As the buyer, you must include
the vehicle family) have a credit deficit the following information in your re-
for the year. Consider for example, a port:
manufacturer with three vehicle fami- (i) The corporate names of the seller
lies (‘‘A’’, ‘‘B’’, and ‘‘C’’) in a given and any brokers.
averaging set. If family A generates (ii) A copy of any contracts related
enough credits to offset the negative to the trade.
credits of family B but not enough to (iii) How you intend to use the emis-
also offset the negative credits of fam- sion credits, including the number of
ily C (and the manufacturer has no emission credits you intend to apply
banked credits in the averaging set), for each averaging set.
the manufacturer may designate fami- (e) Send your reports electronically
lies A and B as having no deficit for the to the Designated Compliance Officer
model year, provided it designates fam- using an approved information format.
ily C as having a deficit for the model If you want to use a different format,
year. send us a written request with jus-
(c) Your end-of-year and final reports tification for a waiver.
must include the following additional (f) Correct errors in your end-of-year
information: or final report as follows:
(1) Show that your net balance of (1) You may correct any errors in
emission credits from all your partici- your end-of-year report when you pre-
pating vehicle families in each aver- pare the final report, as long as you
aging set in the applicable model year send us the final report by the time it
is not negative, except as allowed is due.
under § 1037.745. Your credit tracking (2) If you or we determine within 270
must account for the limitation on days after the end of the model year
credit life under § 1037.740(c). that errors mistakenly decreased your
(2) State whether you will retain any balance of emission credits, you may
emission credits for banking. If you correct the errors and recalculate the
332
balance of emission credits. You may (4) Long trailers.

not make these corrections for errors (5) Short trailers.
that are determined more than 270 days (6) Note that other separate aver-
after the end of the model year. If you aging sets also apply for emission cred-
report a negative balance of emission its not related to this part. For exam-
credits, we may disallow corrections ple, vehicles certified to the green-
under this paragraph (f)(2). house gas standards of 40 CFR 86.1819
(3) If you or we determine any time comprise a single averaging set. Sepa-
that errors mistakenly increased your rate averaging sets also apply for en-
balance of emission credits, you must gines under 40 CFR part 1036, including
correct the errors and recalculate the engines used in vehicles subject to this
balance of emission credits. subpart.
(b) Credits from hybrid vehicles and
§ 1037.735 Recordkeeping. other advanced technologies. Credits you
(a) You must organize and maintain generate under § 1037.615 from Phase 1
your records as described in this sec- vehicles may be used for any of the
tion. averaging sets identified in paragraph
(b) Keep the records required by this (a) of this section; you may also use
section for at least eight years after those credits to demonstrate compli-
the due date for the end-of-year report. ance with the CO2 emission standards
You may not use emission credits for in 40 CFR 86.1819 and 40 CFR part 1036.
any vehicles if you do not keep all the Similarly, you may use advanced-tech-
records required under this section. nology credits generated under 40 CFR
You must therefore keep these records 86.1819–14(k)(7) or 40 CFR 1036.615 to
to continue to bank valid credits. demonstrate compliance with the CO2
(c) Keep a copy of the reports we re- standards in this part. Credits gen-
quire in §§ 1037.725 and 1037.730. erated from Phase 2 vehicles are sub-
(d) Keep records of the vehicle identi- ject to all the averaging-set restric-
fication number for each vehicle you tions that apply to other emission
produce. You may identify these num- credits.
bers as a range. If you change the FEL (1) The maximum amount of credits
after the start of production, identify you may bring into the following serv-
the date you started using each FEL ice class groups is 60,000 Mg per model
and the range of vehicle identification year:
numbers associated with each FEL. (i) Spark-ignition engines, light
You must also identify the purchaser heavy-duty compression-ignition en-
and destination for each vehicle you gines, and light heavy-duty vehicles.
produce to the extent this information This group comprises the averaging set
is available. listed in paragraphs (a)(1) of this sec-
(e) We may require you to keep addition and the averaging set listed in 40
tional records or to send us relevant in- CFR 1036.740(a)(1) and (2).
formation not required by this section (ii) Medium heavy-duty compression-
in accordance with the Clean Air Act. ignition engines and medium heavy-
duty vehicles. This group comprises
§ 1037.740 Restrictions for using emis- the averaging sets listed in paragraph
sion credits. (a)(2) of this section and 40 CFR
The following restrictions apply for 1036.740(a)(3).
using emission credits: (iii) Heavy heavy-duty compression-
(a) Averaging sets. Except as specified ignition engines and heavy heavy-duty
in paragraph (b) of this section, emis- vehicles. This group comprises the
sion credits may be exchanged only averaging sets listed in paragraph (a)(3)
within an averaging set. The following of this section and 40 CFR 1036.740(a)(4).
principal averaging sets apply for vehi- (2) Paragraph (b)(1) of this section
cles certified to the standards of this does not limit the advanced-technology
part involving emission credits as de- credits that can be used within a serv-
scribed in this subpart: ice class group if they were generated
(1) Light HDV. in that same service class group.
(2) Medium HDV. (c) Credit life. Banked credits may be

(3) Heavy HDV. used only for five model years after the
333
§ 1037.745 40 CFR Ch. I (7–1–21 Edition)
year in which they are generated. For credits. We may also consider your
example, credits you generate in model plan unreasonable if your credit deficit
year 2018 may be used to demonstrate increases from one model year to the
compliance with emission standards next. We may require that you send us
only through model year 2023. interim reports describing your
(d) Other restrictions. Other sections progress toward resolving your credit
of this part specify additional restric- deficit over the course of a model year.
tions for using emission credits under (e) If you do not remedy the deficit
certain special provisions. with surplus credits within three model
EFFECTIVE DATE NOTE: At 86 FR 34491, June years, we may void your certificate for
29, 2021, § 1037.740 was amended, effective July that vehicle family. Note that voiding
29, 2021. a certificate applies ab initio. Where
the net deficit is less than the total
§ 1037.745 End-of-year CO2 credit defi- amount of negative credits originally
cits. generated by the family, we will void
Except as allowed by this section, we the certificate only with respect to the
may void the certificate of any vehicle number of vehicles needed to reach the
family certified to an FEL above the amount of the net deficit. For example,
applicable standard for which you do if the original vehicle family generated
not have sufficient credits by the dead- 500 Mg of negative credits, and the
line for submitting the final report. manufacturer’s net deficit after three
(a) Your certificate for a vehicle fam- years was 250 Mg, we would void the
ily for which you do not have sufficient certificate with respect to half of the
CO2 credits will not be void if you rem- vehicles in the family.
edy the deficit with surplus credits (f) For purposes of calculating the
within three model years (this applies statute of limitations, the following
equally for tractors, trailers, and voca- actions are all considered to occur at
tional vehicles). For example, if you the expiration of the deadline for off-
have a credit deficit of 500 Mg for a ve- setting a deficit as specified in para-
hicle family at the end of model year graph (a) of this section:
2015, you must generate (or otherwise (1) Failing to meet the requirements
obtain) a surplus of at least 500 Mg in of paragraph (a) of this section.
that same averaging set by the end of (2) Failing to satisfy the conditions
model year 2018. upon which a certificate was issued rel-
(b) You may not bank or trade away ative to offsetting a deficit.
CO2 credits in the averaging set in any (3) Selling, offering for sale, intro-
model year in which you have a deficit. ducing or delivering into U.S. com-
(c) You may apply only surplus cred- merce, or importing vehicles that are
its to your deficit. You may not apply found not to be covered by a certificate
credits to a deficit from an earlier as a result of failing to offset a deficit.
model year if they were generated in a
model year for which any of your vehi- § 1037.750 What can happen if I do not
cle families for that averaging set had comply with the provisions of this
an end-of-year credit deficit. subpart?
(d) You must notify us in writing how (a) For each vehicle family partici-
you plan to eliminate the credit deficit pating in the ABT program, the certifi-
within the specified time frame. If we cate of conformity is conditioned upon
determine that your plan is unreason- full compliance with the provisions of
able or unrealistic, we may deny an ap- this subpart during and after the model
plication for certification for a vehicle year. You are responsible to establish
family if its FEL would increase your to our satisfaction that you fully com-
credit deficit. We may determine that ply with applicable requirements. We
your plan is unreasonable or unreal- may void the certificate of conformity
istic based on a consideration of past for a vehicle family if you fail to com-
and projected use of specific tech- ply with any provisions of this subpart.
nologies, the historical sales mix of (b) You may certify your vehicle
your vehicle models, your commitment family or subfamily to an FEL above
to limit production of higher-emission an applicable standard based on a pro-

vehicles, and expected access to traded jection that you will have enough
334
emission credits to offset the deficit modeled emissions (as applicable). You
for the vehicle family. See § 1037.745 for may ask us to exclude a parameter
provisions specifying what happens if that is difficult to access if it cannot
you cannot show in your final report be adjusted to affect emissions without
that you have enough actual emission significantly degrading vehicle per-
credits to offset a deficit for any pol- formance, or if you otherwise show us
lutant in a vehicle family. that it will not be adjusted in a way
(c) We may void the certificate of that affects emissions during in-use op-
conformity for a vehicle family if you eration.
fail to keep records, send reports, or Adjusted Loaded Vehicle Weight means
give us information we request. Note the numerical average of vehicle curb
that failing to keep records, send re- weight and GVWR.
ports, or give us information we re- Advanced technology means vehicle
quest is also a violation of 42 U.S.C. technology certified under 40 CFR
7522(a)(2). 86.1819–14(k)(7), 40 CFR 1036.615, or
(d) You may ask for a hearing if we § 1037.615.
void your certificate under this section Aftertreatment means relating to a
(see § 1037.820). catalytic converter, particulate filter,
or any other system, component, or
§ 1037.755 Information provided to the
Department of Transportation. technology mounted downstream of the
exhaust valve (or exhaust port) whose
After receipt of each manufacturer’s design function is to decrease emis-
final report as specified in § 1037.730 and sions in the vehicle exhaust before it is
completion of any verification testing exhausted to the environment. Exhaust
required to validate the manufacturer’s gas recirculation (EGR) and
submitted final data, we will issue a re- turbochargers are not aftertreatment.
port to the Department of Transpor- Aircraft means any vehicle capable of
tation with CO2 emission information sustained air travel more than 100 feet
and will verify the accuracy of each off the ground.
manufacturer’s equivalent fuel con- Alcohol-fueled vehicle means a vehicle
sumption data required by NHTSA that is designed to run using an alcohol
under 49 CFR 535.8. We will send a refuel. For purposes of this definition, al-
port to DOT for each vehicle manufac- cohol fuels do not include fuels with a
turer based on each regulatory cat- nominal alcohol content below 25 per-
egory and subcategory, including suffi- cent by volume.
cient information for NHTSA to deter- Alternative fuel conversion has the
mine fuel consumption and associated meaning given for clean alternative
credit values. See 49 CFR 535.8 to deter- fuel conversion in 40 CFR 85.502.
mine if NHTSA deems submission of Ambulance has the meaning given in
this information to EPA to also be a 40 CFR 86.1803.
submission to NHTSA. Amphibious vehicle means a motor ve-
hicle that is also designed for operation
Subpart I—Definitions and Other on water. Note that high ground clear-
Reference Information ance that enables a vehicle to drive
through water rather than floating on
§ 1037.801 Definitions. the water does not make a vehicle am-
The following definitions apply to phibious.
this part. The definitions apply to all A to B testing means testing per-
subparts unless we note otherwise. All formed in pairs to allow comparison of
undefined terms have the meaning the two vehicles or other test articles.
Act gives to them. The definitions fol- Back-to-back tests are performed on
low: Article A and Article B, changing only
Act means the Clean Air Act, as the variable(s) of interest for the two
amended, 42 U.S.C. 7401–7671q. tests.
Adjustable parameter means any de- Automated manual transmission (AMT)
vice, system, or element of design that means a transmission that operates
someone can adjust (including those mechanically similar to a manual
which are difficult to access) and that, transmission, except that an auto-
if adjusted, may affect measured or mated clutch actuator controlled by
335
§ 1037.801 40 CFR Ch. I (7–1–21 Edition)
the onboard computer disengages and buses, school buses, and urban transit
engages the drivetrain instead of a buses.
human driver. An automated manual Calibration means the set of specifica-
transmission does not include a torque tions and tolerances specific to a par-
converter or a clutch pedal control- ticular design, version, or application
lable by the driver. of a component or assembly capable of
Automatic tire inflation system means a functionally describing its operation
pneumatically or electronically acti- over its working range.
vated system installed on a vehicle to Carryover means relating to certifi-
maintain tire pressure at a preset cation based on emission data gen-
level. These systems eliminate the erated from an earlier model year.
need to manually inflate tires. Note Coach bus means a bus designed for
that this is different than a ‘‘tire pres- inter-city passenger transport. Buses
sure monitoring system,’’ which we de- with features to accommodate standing
fine separately in this section. passengers are not coach buses.
Automatic transmission (AT) means a Concrete mixer means a heavy-duty
transmission with a torque converter vehicle designed to mix and transport
(or equivalent) that uses computerize concrete in a permanently mounted re-
or other internal controls to shift gears volving drum.
in response to a single driver input for Certification means relating to the
controlling vehicle speed. Note that process of obtaining a certificate of
automatic manual tranmissions are conformity for a vehicle family that
not automatic transmissions because complies with the emission standards
they do not include torque converters. and requirements in this part.
Auxiliary emission control device means Certified emission level means the
any element of design that senses tem- highest deteriorated emission level in a
perature, motive speed, engine rpm, vehicle subfamily for a given pollutant
transmission gear, or any other param- from either transient or steady-state
eter for the purpose of activating, mod- testing.
ulating, delaying, or deactivating the Class means relating to GVWR class-
operation of any part of the emission es for vehicles other than trailers, as
control system. follows:
Auxiliary power unit means a device (1) Class 2b means relating to heavy-
installed on a vehicle that uses an en- duty motor vehicles at or below 10,000
gine to provide power for purposes pounds GVWR.
other than to (directly or indirectly) (2) Class 3 means relating to heavy-
propel the vehicle. duty motor vehicles above 10,000
Averaging set has the meaning given pounds GVWR but at or below 14,000
in § 1037.701. pounds GVWR.
Axle ratio or Drive axle ratio, ka, means (3) Class 4 means relating to heavy-
the dimensionless number representing duty motor vehicles above 14,000
the angular speed of the transmission pounds GVWR but at or below 16,000
output shaft divided by the angular pounds GVWR.
speed of the drive axle. (4) Class 5 means relating to heavy-
Basic vehicle frontal area means the duty motor vehicles above 16,000
area enclosed by the geometric projec- pounds GVWR but at or below 19,500
tion of the basic vehicle along the lon- pounds GVWR.
gitudinal axis onto a plane perpen- (5) Class 6 means relating to heavy-
dicular to the longitudinal axis of the duty motor vehicles above 19,500
vehicle, including tires but excluding pounds GVWR but at or below 26,000
mirrors and air deflectors. Note that in pounds GVWR.
certain cases, this may refer to the (6) Class 7 means relating to heavy-
combined area of a tractor and trailer. duty motor vehicles above 26,000
Box van has the meaning given in the pounds GVWR but at or below 33,000
definition for ‘‘trailer’’ in this section. pounds GVWR.
Bus means a heavy-duty vehicle de- (7) Class 8 means relating to heavy-
signed to carry more than 15 pas- duty motor vehicles above 33,000
sengers. Buses may include coach pounds GVWR.
336
Complete vehicle has the meaning (1) For multiplicative deterioration

given in the definition for vehicle in factors, the ratio of the highest emis-
this section. sions to emissions at the low-hour test
Compression-ignition has the meaning point.
given in § 1037.101 (2) For additive deterioration factors,
Container chassis means a trailer de- the difference between the highest
signed for carrying temporarily mount- emissions and emissions at the low-
ed shipping containers. hour test point.
Date of manufacture means the date Diesel exhaust fluid (DEF) means a liq-
on which the certifying vehicle manu- uid reducing agent (other than the en-
facturer completes its manufacturing gine fuel) used in conjunction with se-
operations, except as follows: lective catalytic reduction to reduce
(1) Where the certificate holder is an NOX emissions. Diesel exhaust fluid is
engine manufacturer that does not generally understood to be an aqueous
manufacture the chassis, the date of solution of urea conforming to the
manufacture of the vehicle is based on specifications of ISO 22241.
the date assembly of the vehicle is Drayage tractor means a tractor that
completed. is intended for service in a port or
(2) We may approve an alternate date intermodal railyard, with multiple de-
of manufacture based on the date on sign features consistent with that in-
which the certifying (or primary) man-
tent, such as a cab with only a single
ufacturer completes assembly at the
seat, rear cab entry, a raisable fifth
place of main assembly, consistent
wheel, a solid-mounted rear suspen-
with the provisions of § 1037.601 and 49
sion, and a maximum speed at or below
CFR 567.4.
54 mi/hr.
Day cab means a type of tractor cab
that is not a sleeper cab or a heavy- Drive idle means idle operation during
haul tractor cab. which the vehicle operator remains in
Designated Compliance Officer means the vehicle cab, as evidenced by engag-
one of the following: ing the brake or clutch pedals, or by
(1) For compression-ignition engines, other indicators we approve.
Designated Compliance Officer means Di- Driver model means an automated
rector, Diesel Engine Compliance Cen- controller that simulates a person driv-
ter, U.S. Environmental Protection ing a vehicle.
Agency, 2000 Traverwood Drive, Ann Dual-clutch transmission (DCT) means
Arbor, MI 48105; a transmission that operates similar to
complianceinfo@epa.gov; epa.gov/otaq/ an automated manual transmission,
verify. but with two clutches that allow the
(2) For spark-ignition engines, Des- transmission to maintain positive
ignated Compliance Officer means Direc- torque to the drive axle during a shift.
tor, Gasoline Engine Compliance Cen- Dual-fuel means relating to a vehicle
ter, U.S. Environmental Protection or engine designed for operation on two
Agency, 2000 Traverwood Drive, Ann different fuels but not on a continuous
Arbor, MI 48105; nonroad-si- mixture of those fuels. For purposes of
cert@epa.gov. this part, such a vehicle or engine re-
Deteriorated emission level means the mains a dual-fuel vehicle or engine
emission level that results from apply- even if it is designed for operation on
ing the appropriate deterioration fac- three or more different fuels.
tor to the official emission result of Electric vehicle means a vehicle that
the emission-data vehicle. Note that does not include an engine, and is pow-
where no deterioration factor applies, ered solely by an external source of
references in this part to the deterio- electricity and/or solar power. Note
rated emission level mean the official that this does not include hybrid elec-
emission result. tric vehicles or fuel-cell vehicles that
Deterioration factor means the rela- use a chemical fuel such as gasoline,
tionship between the highest emissions diesel fuel, or hydrogen. Electric vehi-
during the useful life and emissions at cles may also be referred to as all-elec-
the low-hour test point, expressed in tric vehicles to distinguish them from
one of the following ways: hybrid vehicles.
337
§ 1037.801 40 CFR Ch. I (7–1–21 Edition)
Emergency vehicle means a vehicle angular speed of the transmission

that is an ambulance or a fire truck. input shaft divided by the angular
Emission control system means any de- speed of the drive axle when the vehi-
vice, system, or element of design that cle is operating in its highest available
controls or reduces the emissions of gear. The final drive ratio is the trans-
regulated pollutants from a vehicle. mission gear ratio (in the highest
Emission-data component means a ve- available gear) multiplied by the drive
hicle component that is tested for cer- axle ratio.
tification. This includes vehicle compo- Fire truck has the meaning given in 40
nents tested to establish deterioration CFR 86.1803.
factors. Flatbed trailer means a trailer de-
Emission-data vehicle means a vehicle signed to accommodate side-loading
(or vehicle component) that is tested cargo onto a single, continuous load-
for certification. This includes vehicles bearing surface that runs from the rear
tested to establish deterioration fac- of the trailer to at least the trailer’s
tors. kingpin. This includes trailers that use
Emission-related maintenance means curtains, straps, or other devices to re-
maintenance that substantially affects strain or protect cargo while under-
emissions or is likely to substantially way. It also may include similar trail-
affect emission deterioration. ers that have one or more side walls
Excluded means relating to vehicles without completely enclosing the
that are not subject to some or all of cargo space. For purposes of this defi-
the requirements of this part as fol- nition, disregard any ramps, moveable
lows: platforms, or other rear-mounted
(1) A vehicle that has been deter- equipment or devices designed to assist
mined not to be a ‘‘motor vehicle’’ is with loading the trailer.
excluded from this part. Flexible-fuel means relating to an en-
(2) Certain vehicles are excluded from gine designed for operation on any mix-
the requirements of this part under ture of two or more different fuels.
§ 1037.5. Fuel system means all components in-
(3) Specific regulatory provisions of volved in transporting, metering, and
this part may exclude a vehicle gen- mixing the fuel from the fuel tank to
erally subject to this part from one or the combustion chamber(s), including
more specific standards or require- the fuel tank, fuel pump, fuel filters,
ments of this part. fuel lines, carburetor or fuel-injection
Exempted has the meaning given in 40 components, and all fuel-system vents.
CFR 1068.30. Note that exempted vehi- It also includes components for con-
cles are not considered to be excluded. trolling evaporative emissions, such as
Extended idle means tractor idle oper- fuel caps, purge valves, and carbon can-
ation during which the engine is oper- isters.
ating to power accessories for a sleeper Fuel type means a general category of
compartment or other passenger com- fuels such as diesel fuel or natural gas.
partment. Although the vehicle is gen- There can be multiple grades within a
erally parked during extended idle, the single fuel type, such as high-sulfur or
term ‘‘parked idle’’ generally refers to low-sulfur diesel fuel.
something different than extended idle. Gaseous fuel means a fuel that has a
Family emission limit (FEL) means an boiling point below 20 °C.
emission level declared by the manu- Gear ratio or Transmission gear ratio,
facturer to serve in place of an other- kg, means the dimensionless number
wise applicable emission standard representing the angular velocity of
under the ABT program in subpart H of the transmission’s input shaft divided
this part. The family emission limit by the angular velocity of the trans-
must be expressed to the same number mission’s output shaft when the trans-
of decimal places as the emission mission is operating in a specific gear.
standard it replaces. Note that an FEL Glider kit means either of the fol-
may apply as a ‘‘subfamily’’ emission lowing:
limit. (1) A new vehicle that is incomplete
Final drive ratio, kd, means the because it lacks an engine, trans-
dimensionless number representing the mission, and/or axle(s).
338
(2) Any other new equipment that is GVWR above 8,500 pounds, a curb
substantially similar to a complete weight above 6,000 pounds, or a basic
motor vehicle and is intended to be- vehicle frontal area greater than 45
come a complete motor vehicle with a square feet.
previously used engine (including a re- Heavy-haul tractor means a tractor
built or remanufactured engine). For with GCWR greater than or equal to
example, incomplete heavy-duty trac- 120,000 pounds. A heavy-haul tractor is
tor assemblies that are produced on the not a vocational tractor in Phase 2.
same assembly lines as complete trac- Hybrid engine or hybrid powertrain
tors and that are made available to means an engine or powertrain that in-
secondary vehicle manufacturers to cludes energy storage features other
complete assembly by installing used/ than a conventional battery system or
remanufactured engines, transmissions conventional flywheel. Supplemental
and axles are glider kits. electrical batteries and hydraulic accu-
Glider vehicle means a new motor ve- mulators are examples of hybrid en-
hicle produced from a glider kit, or ergy storage systems. Note that cer-
otherwise produced as a new motor ve- tain provisions in this part treat hy-
hicle with a with a used/remanufac- brid engines and powertrains intended
tured engine. for vehicles that include regenerative
Good engineering judgment has the braking different than those intended
meaning given in 40 CFR 1068.30. See 40 for vehicles that do not include regen-
CFR 1068.5 for the administrative proc- erative braking.
ess we use to evaluate good engineering Hybrid vehicle means a vehicle that
judgment. includes energy storage features (other
Greenhouse gas Emissions Model (GEM) than a conventional battery system or
means the GEM simulation tool de- conventional flywheel) in addition to
scribed in § 1037.520 (incorporated by an internal combustion engine or other
reference in § 1037.810). Note that an up- engine using consumable chemical fuel.
dated version of GEM applies starting Supplemental electrical batteries and
in model year 2021. hydraulic accumulators are examples
Gross axle weight rating (GAWR) of hybrid energy storage systems Note
means the value specified by the vehi- that certain provisions in this part
cle manufacturer as the maximum treat hybrid vehicles that include re-
weight of a loaded axle or set of axles, generative braking different than those
consistent with good engineering judg- that do not include regenerative brak-
ment. ing.
Gross combination weight rating Hydrocarbon (HC) means the hydro-
(GCWR) means the value specified by carbon group on which the emission
the vehicle manufacturer as the max- standards are based for each fuel type.
imum weight of a loaded vehicle and For alcohol-fueled vehicles, HC means
trailer, consistent with good engineer- nonmethane hydrocarbon equivalent
ing judgment. For example, compliance (NMHCE) for exhaust emissions and
with SAE J2807 is generally considered total hydrocarbon equivalent (THCE)
to be consistent with good engineering for evaporative emissions. For all other
judgment, especially for Class 3 and vehicles, HC means nonmethane hydro-
smaller vehicles. carbon (NMHC) for exhaust emissions
Gross vehicle weight rating (GVWR) and total hydrocarbon (THC) for evapo-
means the value specified by the vehi- rative emissions.
cle manufacturer as the maximum de- Identification number means a unique
sign loaded weight of a single vehicle, specification (for example, a model
consistent with good engineering judg- number/serial number combination)
ment. that allows someone to distinguish a
Heavy-duty engine means any engine particular vehicle from other similar
used for (or for which the engine manu- vehicles.
facturer could reasonably expect to be Idle operation means any operation
used for) motive power in a heavy-duty other than PTO operation during which
vehicle. the vehicle speed is zero. Idle operation
Heavy-duty vehicle means any trailer may be ‘‘Drive idle’’ or ‘‘Parked idle’’
and any other motor vehicle that has a (as defined in this section).
339
§ 1037.801 40 CFR Ch. I (7–1–21 Edition)
Incomplete vehicle has the meaning Medium-duty passenger vehicle (MDPV)

given in the definition of vehicle in this has the meaning given in 40 CFR
section. 86.1803.
Innovative technology means tech- Model year means one of the fol-
nology certified under § 1037.610 (also lowing for compliance with this part
described as ‘‘off-cycle technology’’). 1037. Note that manufacturers may
Light-duty truck means any motor ve- have other model year designations for
hicle rated at or below 8,500 pounds the same vehicle for compliance with
GVWR with a curb weight at or below other requirements or for other pur-
6,000 pounds and basic vehicle frontal poses:
area at or below 45 square feet, which (1) For tractors and vocational vehi-
is: cles with a date of manufacture on or
(1) Designed primarily for purposes of after January 1, 2021, the vehicle’s
transportation of property or is a deri- model year is the calendar year cor-
vation of such a vehicle; or responding to the date of manufacture;
(2) Designed primarily for transpor- however, the vehicle’s model year may
tation of persons and has a capacity of be designated to be the year before the
more than 12 persons; or calendar year corresponding to the
date of manufacture if the engine’s
(3) Available with special features en-
model year is also from an earlier year.
abling off-street or off-highway oper-
Note that § 1037.601(a)(2) limits the ex-
ation and use.
tent to which vehicle manufacturers
Light-duty vehicle means a passenger
may install engines built in earlier cal-
car or passenger car derivative capable
endar years.
of seating 12 or fewer passengers.
(2) For trailers and for Phase 1 trac-
Low-mileage means relating to a vehi- tors and vocational vehicles with a
cle with stabilized emissions and rep- date of manufacture before January 1,
resents the undeteriorated emission 2021, model year means the manufactur-
level. This would generally involve ap- er’s annual new model production pe-
proximately 4000 miles of operation. riod, except as restricted under this
Low rolling resistance tire means a tire definition and 40 CFR part 85, subpart
on a vocational vehicle with a TRRL at X. It must include January 1 of the cal-
or below of 7.7 kg/tonne, a steer tire on endar year for which the model year is
a tractor with a TRRL at or below 7.7 named, may not begin before January 2
kg/tonne, a drive tire on a tractor with of the previous calendar year, and it
a TRRL at or below 8.1 kg/tonne, a tire must end by December 31 of the named
on a non-box trailer with a TRRL at or calendar year. The model year may be
below of 6.5 kg/tonne, or a tire on a box set to match the calendar year cor-
van with a TRRL at or below of 6.0 kg/ responding to the date of manufacture.
tonne,. (i) The manufacturer who holds the
Manual transmission (MT) means a certificate of conformity for the vehi-
transmission that requires the driver cle must assign the model year based
to shift the gears and manually engage on the date when its manufacturing op-
and disengage the clutch. erations are completed relative to its
Manufacture means the physical and annual model year period. In unusual
engineering process of designing, con- circumstances where completion of
structing, and/or assembling a vehicle. your assembly is delayed, we may
Manufacturer has the meaning given allow you to assign a model year one
in section 216(1) of the Act. In general, year earlier, provided it does not affect
this term includes any person who which regulatory requirements will
manufactures or assembles a vehicle apply.
(including a trailer or another incom- (ii) Unless a vehicle is being shipped
plete vehicle) for sale in the United to a secondary vehicle manufacturer
States or otherwise introduces a new that will hold the certificate of con-
motor vehicle into commerce in the formity, the model year must be as-
United States. This includes importers signed prior to introduction of the ve-
who import vehicles for resale, entities hicle into U.S. commerce. The certi-
that manufacture glider kits, and enti- fying manufacturer must redesignate
ties that assemble glider vehicles. the model year if it does not complete
340
its manufacturing operations within Nonmethane hydrocarbon (NMHC)

the originally identified model year. A means the sum of all hydrocarbon spe-
vehicle introduced into U.S. commerce cies except methane, as measured ac-
without a model year is deemed to cording to 40 CFR part 1065.
have a model year equal to the cal- Nonmethane hydrocarbon equivalent
endar year of its introduction into U.S. (NMHCE) has the meaning given in 40
commerce unless the certifying manu- CFR 1065.1001.
facturer assigns a later date. Off-cycle technology means tech-
Motor home has the meaning given in nology certified under § 1037.610 (also
49 CFR 571.3. described as ‘‘innovative technology’’).
Motor vehicle has the meaning given Official emission result means the
in 40 CFR 85.1703. measured emission rate for an emis-
Multi-Purpose means relating to the sion-data vehicle on a given duty cycle
Multi-Purpose duty cycle as specified before the application of any required
in § 1037.510. deterioration factor, but after the ap-
Neutral coasting means a vehicle tech- plicability of regeneration adjustment
nology that automatically puts the factors.
transmission in neutral when the vehi- Owners manual means a document or
cle has minimal power demand, such as collection of documents prepared by
driving downhill. the vehicle manufacturer for the own-
Neutral idle means a vehicle tech- ers or operators to describe appropriate
nology that automatically puts the vehicle maintenance, applicable war-
transmission in neutral when the vehi- ranties, and any other information re-
cle is stopped, as described in lated to operating or keeping the vehi-
§ 1037.660(a). cle. The owners manual is typically
New motor vehicle has the meaning provided to the ultimate purchaser at
given in the Act. It generally means a the time of sale. The owners manual
motor vehicle meeting the criteria of may be in paper or electronic format.
either paragraph (1) or (2) of this defi- Oxides of nitrogen has the meaning
nition. New motor vehicles may be com- given in 40 CFR 1065.1001.
plete or incomplete. Parked idle means idle operation dur-
(1) A motor vehicle for which the ul- ing which the transmission is set to
timate purchaser has never received park, or the transmission is in neutral
the equitable or legal title is a new with the parking brake engaged. Al-
motor vehicle. This kind of vehicle though this idle may occur for ex-
might commonly be thought of as tended periods, the term ‘‘extended
‘‘brand new’’ although a new motor vehi- idle’’ refers to tractor operation in
cle may include previously used parts. which the engine is operating to power
For example, vehicles commonly accessories for a sleeper compartment
known as ‘‘glider kits,’’ ‘‘glider vehi- or other passenger compartment.
cles,’’ or ‘‘gliders’’ are new motor vehi- Particulate trap means a filtering de-
cles. Under this definition, the vehicle vice that is designed to physically trap
is new from the time it is produced all particulate matter above a certain
until the ultimate purchaser receives size.
the title or places it into service, Percent (%) has the meaning given in
whichever comes first. 40 CFR 1065.1001. Note that this means
(2) An imported heavy-duty motor percentages identified in this part are
vehicle originally produced after the assumed to be infinitely precise with-
1969 model year is a new motor vehicle. out regard to the number of significant
Noncompliant vehicle means a vehicle figures. For example, one percent of
that was originally covered by a cer- 1,493 is 14.93.
tificate of conformity, but is not in the Petroleum means gasoline or diesel
certified configuration or otherwise fuel or other fuels normally derived
does not comply with the conditions of from crude oil. This does not include
the certificate. methane or liquefied petroleum gas.
Nonconforming vehicle means a vehicle Phase 1 means relating to the Phase
not covered by a certificate of con- 1 standards specified in §§ 1037.105 and
formity that would otherwise be sub- 1037.106. For example, a vehicle subject
ject to emission standards. to the Phase 1 standards is a Phase 1
341
§ 1037.801 40 CFR Ch. I (7–1–21 Edition)
vehicle. Note that there are no Phase 1 such as roof fairings. Measure roof
standards for trailers. height of the vehicle configured to
Phase 2 means relating to the Phase have its maximum height that will
2 standards specified in §§ 1037.105 occur during actual use, with properly
through 1037.107. inflated tires and no driver, passengers,
Placed into service means put into ini- or cargo onboard. Roof height may also
tial use for its intended purpose, ex- refer to the following categories:
cluding incidental use by the manufac- (1) Low-roof means relating to a vehi-
turer or a dealer. cle with a roof height of 120 inches or
Power take-off (PTO) means a sec- less.
ondary engine shaft (or equivalent) (2) Mid-roof means relating to a vehi-
that provides substantial auxiliary cle with a roof height of 121 to 147
power for purposes unrelated to vehicle inches.
propulsion or normal vehicle acces- (3) High-roof means relating to a ve-
sories such as air conditioning, power hicle with a roof height of 148 inches or
steering, and basic electrical acces- more.
sories. A typical PTO uses a secondary Round has the meaning given in 40
shaft on the engine to transmit power CFR 1065.1001.
to a hydraulic pump that powers auxil- Scheduled maintenance means adjust-
iary equipment, such as a boom on a ing, repairing, removing, disassem-
bucket truck. You may ask us to con- bling, cleaning, or replacing compo-
sider other equivalent auxiliary power nents or systems periodically to keep a
configurations (such as those with hy- part or system from failing, malfunc-
brid vehicles) as power take-off sys- tioning, or wearing prematurely. It
tems. also may mean actions you expect are
Preliminary approval means approval necessary to correct an overt indica-
granted by an authorized EPA rep- tion of failure or malfunction for which
resentative prior to submission of an periodic maintenance is not appro-
application for certification, consistent priate.
with the provisions of § 1037.210 or School bus has the meaning given in
1037.211. 49 CFR 571.3.
Rechargeable Energy Storage System Secondary vehicle manufacturer any-
(RESS) means the component(s) of a one that produces a vehicle by modi-
hybrid engine or vehicle that store re- fying a complete vehicle or completing
covered energy for later use, such as the assembly of a partially complete
the battery system in an electric hy- vehicle. For the purpose of this defini-
brid vehicle. tion, ‘‘modifying’’ generally does not
Refuse hauler means a heavy-duty ve- include making changes that do not re-
hicle whose primary purpose is to col- move a vehicle from its original cer-
lect, compact, and transport solid tified configuration. However, custom
waste, including recycled solid waste. sleeper modifications and alternative
Regional means relating to the Re- fuel conversions that change actual ve-
gional duty cycle as specified in hicle aerodynamics are considered to
§ 1037.510. be modifications, even if they are per-
Regulatory subcategory has the mean- mitted without recertification. This
ing given in § 1037.230. definition applies whether the produc-
Relating to as used in this section tion involves a complete or partially
means relating to something in a spe- complete vehicle and whether the vehi-
cific, direct manner. This expression is cle was previously certified to emission
used in this section only to define standards or not. Manufacturers con-
terms as adjectives and not to broaden trolled by the manufacturer of the base
the meaning of the terms. vehicle (or by an entity that also con-
Revoke has the meaning given in 40 trols the manufacturer of the base ve-
CFR 1068.30. hicle) are not secondary vehicle manu-
Roof height means the maximum facturers; rather, both entities are con-
height of a vehicle (rounded to the sidered to be one manufacturer for pur-
nearest inch), excluding narrow acces- poses of this part.
sories such as exhaust pipes and anten- Sleeper cab means a type of tractor
nas, but including any wide accessories cab that has a compartment behind the
342
driver’s seat intended to be used by the that represents the rolling resistance
driver for sleeping, and is not a heavy- of a tire configuration. TRRLs are used
haul tractor cab. This includes cabs ac- as modeling inputs under §§ 1037.515 and
cessible from the driver’s compartment 1037.520. Note that a manufacturer may
and those accessible from outside the use the measured value for a tire con-
vehicle. figuration’s coefficient of rolling re-
Small manufacturer means a manufac- sistance, or assign some higher value.
turer meeting the criteria specified in Total hydrocarbon has the meaning
13 CFR 121.201. The employee and rev- given in 40 CFR 1065.1001. This gen-
enue limits apply to the total number erally means the combined mass of or-
employees and total revenue together ganic compounds measured by the
for affiliated companies. specified procedure for measuring total
Spark-ignition has the meaning given hydrocarbon, expressed as a hydro-
in § 1037.101. carbon with an atomic hydrogen-to-
Standard payload means the payload carbon ratio of 1.85:1.
assumed for each vehicle, in tons, for Total hydrocarbon equivalent has the
modeling and calculating emission meaning given in 40 CFR 1065.1001. This
credits, as follows: generally means the sum of the carbon
(1) For vocational vehicles: mass contributions of non-oxygenated
(i) 2.85 tons for Light HDV. hydrocarbon, alcohols and aldehydes,
(ii) 5.6 tons for Medium HDV. or other organic compounds that are
(iii) 7.5 tons for Heavy HDV. measured separately as contained in a
(2) For tractors: gas sample, expressed as exhaust hy-
(i) 12.5 tons for Class 7. drocarbon from petroleum-fueled vehi-
(ii) 19 tons for Class 8, other than cles. The atomic hydrogen-to-carbon
heavy-haul tractors. ratio of the equivalent hydrocarbon is
(iii) 43 tons for heavy-haul tractors. 1.85:1.
(3) For trailers: Tractor has the meaning given for
(i) 10 tons for short box vans. ‘‘truck tractor’’ in 49 CFR 571.3. This
(ii) 19 tons for other trailers. includes most heavy-duty vehicles spe-
Standard tractor has the meaning cifically designed for the primary pur-
given in § 1037.501. pose of pulling trailers, but does not in-
Standard trailer has the meaning clude vehicles designed to carry other
given in § 1037.501. loads. For purposes of this definition
Stop-start means a vehicle technology ‘‘other loads’’ would not include loads
that automatically turns the engine off carried in the cab, sleeper compart-
when the vehicle is stopped, as de- ment, or toolboxes. Examples of vehi-
scribed in § 1037.660(a). cles that are similar to tractors but
Suspend has the meaning given in 40 that are not tractors under this part in-
CFR 1068.30. clude dromedary tractors, automobile
Tank trailer means a trailer designed haulers, straight trucks with trailers
to transport liquids or gases. hitches, and tow trucks. Note that the
Test sample means the collection of provisions of this part that apply for
vehicles or components selected from tractors do not apply for tractors that
the population of a vehicle family for are classified as vocational tractors
emission testing. This may include under § 1037.630.
testing for certification, production- Trailer means a piece of equipment
line testing, or in-use testing. designed for carrying cargo and for
Test vehicle means a vehicle in a test being drawn by a tractor when coupled
sample. to the tractor’s fifth wheel. These
Test weight means the vehicle weight trailers may be known commercially
used or represented during testing. as semi-trailers or truck trailers. This
Tire pressure monitoring system (TPMS) definition excludes equipment that
is a vehicle system that monitors air serve similar purposes but are not in-
pressure in each tire and alerts the op- tended to be pulled by a tractor,
erator when tire pressure falls below a whether or not they are known com-
specified value. mercially as trailers. Trailers may be
Tire rolling resistance level (TRRL) divided into different types and cat-
means a value with units of kg/tonne egories as described in paragraphs (1)
343
§ 1037.801 40 CFR Ch. I (7–1–21 Edition)
through (4) of this definition. The types (1) The following equipment are vehi-
of equipment identified in paragraph cles:
(5) of this definition are not trailers for (i) A piece of equipment that is in-
purposes of this part. tended for self-propelled use on high-
(1) Box vans are trailers with en- ways becomes a vehicle when it in-
closed cargo space that is permanently cludes at least an engine, a trans-
attached to the chassis, with fixed mission, and a frame. (Note: For pur-
sides, nose, and roof. Tank trailers are poses of this definition, any electrical,
not box vans. mechanical, and/or hydraulic devices
(2) Box vans with self-contained attached to engines for the purpose of
HVAC systems are refrigerated vans. powering wheels are considered to be
Note that this includes systems that transmissions.)
provide cooling, heating, or both. All (ii) A piece of equipment that is in-
other box vans are dry vans. tended for self-propelled use on high-
(3) Trailers that are not box vans are ways becomes a vehicle when it in-
non-box trailers. Note that the stand- cludes a passenger compartment at-
ards for non-box trailers in this part tached to a frame with one or more
1037 apply only to flatbed trailers, tank axles.
trailers, and container chassis. (iii) Trailers. A trailer becomes a ve-
(4) Box vans with length at or below hicle when it has a frame with one or
50.0 feet are short box vans. Other box more axles attached.
vans are long box vans. (2) Vehicles other than trailers may
(5) The following types of equipment be complete or incomplete vehicles as
are not trailers for purposes of this follows:
part 1037: (i) A complete vehicle is a functioning
(i) Containers that are not perma- vehicle that has the primary load car-
nently mounted on chassis. rying device or container (or equiva-
(ii) Dollies used to connect tandem lent equipment) attached. Examples of
trailers. equivalent equipment would include
Ultimate purchaser means, with re- fifth wheel trailer hitches, firefighting
spect to any new vehicle, the first per- equipment, and utility booms.
son who in good faith purchases such (ii) An incomplete vehicle is a vehicle
new vehicle for purposes other than re- that is not a complete vehicle. Incom-
sale. plete vehicles may also be cab-com-
United States has the meaning given plete vehicles. This may include vehi-
in 40 CFR 1068.30. cles sold to secondary vehicle manufac-
Upcoming model year means for a ve- turers.
hicle family the model year after the (iii) The primary use of the terms
one currently in production. ‘‘complete vehicle’’ and ‘‘incomplete
Urban means relating to the Urban vehicle’’ are to distinguish whether a
duty cycle as specified in § 1037.510. vehicle is complete when it is first sold
U.S.-directed production volume means as a vehicle.
the number of vehicle units, subject to (iv) You may ask us to allow you to
the requirements of this part, produced certify a vehicle as incomplete if you
by a manufacturer for which the manu- manufacture the engines and sell the
facturer has a reasonable assurance unassembled chassis components, as
that sale was or will be made to ulti- long as you do not produce and sell the
mate purchasers in the United States. body components necessary to com-
This does not include vehicles certified plete the vehicle.
to state emission standards that are Vehicle configuration means a unique
different than the emission standards combination of vehicle hardware and
in this part. calibration (related to measured or
Useful life means the period during modeled emissions) within a vehicle
which a vehicle is required to comply family. Vehicles with hardware or soft-
with all applicable emission standards. ware differences, but that have no
Vehicle means equipment intended for hardware or software differences re-
use on highways that meets at least lated to measured or modeled emis-
one of the criteria of paragraph (1) of sions may be included in the same ve-
this definition, as follows: hicle configuration. Note that vehicles
344
with hardware or software differences EFFECTIVE DATE NOTE: At 86 FR 34491, June

related to measured or modeled emis- 29, 2021, § 1037.801 was amended, effective July
29, 2021.
sions are considered to be different
configurations even if they have the § 1037.805 Symbols, abbreviations, and
same GEM inputs and FEL. Vehicles acronyms.
within a vehicle configuration differ The procedures in this part generally
only with respect to normal production follow either the International System
variability or factors unrelated to of Units (SI) or the United States cus-
measured or modeled emissions. tomary units, as detailed in NIST Spe-
Vehicle family has the meaning given cial Publication 811 (incorporated by
in § 1037.230. reference in § 1037.810). See 40 CFR
Vehicle service class has the meaning 1065.20 for specific provisions related to
given in § 1037.140. The different vehicle these conventions. This section sum-
service classes are Light HDV, Medium marizes the way we use symbols, units
HDV, and Heavy HDV. of measure, and other abbreviations.
Vehicle subfamily or subfamily means a (a) Symbols for chemical species. This
subset of a vehicle family including ve- part uses the following symbols for
hicles subject to the same FEL(s). chemical species and exhaust constitu-
Vocational tractor means a vehicle ents:
classified as a vocational tractor under Symbol Species
§ 1037.630.
C ........................... carbon.
Vocational vehicle means relating to a CH4 ....................... methane.
vehicle subject to the standards of CO ......................... carbon monoxide.
§ 1037.105 (including vocational trac- CO2 ....................... carbon dioxide.
H2O ....................... water.
tors). HC ......................... hydrocarbon.
Void has the meaning given in 40 CFR NMHC ................... nonmethane hydrocarbon.
1068.30. NMHCE ................. nonmethane hydrocarbon equivalent.
NO ......................... nitric oxide.
Volatile liquid fuel means any fuel NO2 ....................... nitrogen dioxide.
other than diesel or biodiesel that is a NOX ....................... oxides of nitrogen.
N2O ....................... nitrous oxide.
liquid at atmospheric pressure and has PM ......................... particulate matter.
a Reid Vapor Pressure higher than 2.0 THC ....................... total hydrocarbon.
pounds per square inch. THCE .................... total hydrocarbon equivalent.
We (us, our) means the Administrator
of the Environmental Protection Agen- (b) Symbols for quantities. This part
cy and any authorized representatives. uses the following symbols and units of
measure for various quantities:
Unit in
terms of
units
A ............... vehicle frictional load .................... pound force or newton ............. lbf or N ................. kg·m·s¥2.
a ............... axle position regression coeffi-
cient.
α ............... atomic hydrogen-to-carbon ratio .. mole per mole ........................... mol/mol ................ 1.
α ............... axle position regression coeffi-
cient.
α0 .............. intercept of air speed correction.
α1 .............. slope of air speed correction.
ag .............. acceleration of Earth’s gravity ...... meters per second squared ..... m/s2 ..................... m·s¥2.
a0 .............. intercept of least squares regres-
sion.
a1 .............. slope of least squares regression.
B ............... vehicle load from drag and rolling pound force per mile per hour lbf/(mi/hr) or N·s/m kg·s¥1.
resistance. or newton second per meter.
b ............... axle position regression coeffi-
cient.
β ............... atomic oxygen-to-carbon ratio ..... mole per mole ........................... mol/mol ................ 1.
β ............... axle position regression coeffi-
cient.
β0 .............. intercept of air direction correction.
β1 .............. slope of air direction correction.
345
§ 1037.805 40 CFR Ch. I (7–1–21 Edition)
Unit in
terms of
units
C ............... vehicle-specific aerodynamic ef- pound force per mile per hour lbf/mph2 or N·s2/ kg·m¥1.
fects. squared or newton-second m1.
squared per meter squared.
c ............... axle position regression coeffi-
cient.
ci ............... axle test regression coefficients.
Ci .............. constant.
ΔCdA ......... differential drag area .................... meter squared .......................... m2 ........................ m2.
CdA ........... drag area ...................................... meter squared .......................... m2 ........................ m2.
Cd ............. drag coefficient.
CF ............ correction factor.
Crr ............. coefficient of rolling resistance ..... kilogram per metric ton ............. kg/tonne ............... 10¥2.
D ............... distance ........................................ miles or meters ......................... mi or m ................ m.
e ............... mass-weighted emission result .... grams/ton-mile .......................... g/ton-mi ................ g/kg-km.
Eff ............. efficiency.
F ............... adjustment factor.
F ............... force ............................................. pound force or newton ............. lbf or N ................. kg·m·s¥2.
fn ............... angular speed (shaft) ................... revolutions per minute .............. r/min ..................... π·30·s¥1.
G .............. road grade .................................... percent ...................................... % ......................... 10¥2.
g ............... gravitational acceleration ............. meters per second squared ..... m/s2 ..................... m·s¥2.
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·m·s¥2.
m .............. mass ............................................. pound mass or kilogram ........... lbm or kg ............. kg.
M .............. molar mass ................................... gram per mole .......................... g/mol .................... 10¥3·kg·mol¥1.
M .............. vehicle mass ................................ kilogram .................................... kg ......................... kg.
Me ............. vehicle effective mass .................. kilogram .................................... kg ......................... kg.
Mrotating ...... inertial mass of rotating compo- kilogram .................................... kg ......................... kg.
nents.
N ............... total number in series.
n ............... number of tires.
ṅ ............... amount of substance rate ............ mole per second ....................... mol/s .................... mol·s¥1.
P ............... power ............................................ kilowatt ...................................... kW ....................... 103·m2·kg·s¥3.
P ............... tire inflation pressure .................... pascal ....................................... Pa ........................ kg·m¥1·s¥2.
p ............... pressure ....................................... pascal ....................................... Pa ........................ kg·m¥1·s¥2.
ρ ............... mass density ................................ kilogram per cubic meter .......... kg/m3 ................... kg·m¥3.
PL ............. payload ......................................... tons ........................................... ton ........................ kg.
φ ............... direction ........................................ degrees ..................................... ° ........................... °.
1 ............... direction ........................................ degrees ..................................... ° ........................... °.
r ................ tire radius ..................................... meter ......................................... m .......................... m.
r2 .............. coefficient of determination.
Re# ........... Reynolds number.
SEE .......... standard estimate of error.
σ ............... standard deviation.
TRPM ....... tire revolutions per mile ................ revolutions per mile .................. r/mi.
TRRL ........ tire rolling resistance level ........... kilogram per metric ton ............. kg/tonne ............... 10¥3.
T ............... absolute temperature ................... kelvin ......................................... K .......................... K.
T ............... Celsius temperature ..................... degree Celsius .......................... °C ......................... K¥273.15.
T ............... torque (moment of force) ............. newton meter ............................ N·m ...................... m2·kg·s¥2.
t ................ time ............................................... hour or second ......................... hr or s .................. s.
Δt .............. time interval, period, 1/frequency second ...................................... s ........................... s.
UF ............ utility factor.
v ............... speed ............................................ miles per hour or meters per mi/hr or m/s ......... m·s¥1.
second.
w ............... weighting factor.
w ............... wind speed ................................... miles per hour ........................... mi/hr ..................... m·s¥1.
W .............. work .............................................. kilowatt-hour ............................. kW·hr ................... 3.6·m2·kg·s¥1.
wC ............. carbon mass fraction .................... gram/gram ................................ g/g ........................ 1.
WR ........... weight reduction ........................... pound mass .............................. lbm ....................... kg.
x ............... amount of substance mole frac- mole per mole ........................... mol/mol ................ 1.
tion.
346
(c) Superscripts. This part uses the Subscript Quantity

following superscripts to define a quan-
RL ........................... road load.
tity: rotating ................... rotating.
seg ......................... segment.
Superscript Quantity speed ..................... speed.
spin ......................... axle spin loss.
overbar (such as ȳ) ............... arithmetic mean. start ........................ start.
Double overbar (such ............ arithmetic mean of steer ....................... steer axle.
=
as y). arithmetic mean. t .............................. tire.
overdot (such as ẏ) ................ quantity per unit time. test ......................... test.
th ............................ theoretical.
total ........................ total.
(d) Subscripts. This part uses the fol- trac ......................... traction.
lowing subscripts to define a quantity: trac10 ..................... traction force at 10 mi/hr.
trailer ...................... trailer axle.
Subscript Quantity transient ................. transient.
TRR ........................ tire rolling resistance.
±6 ........................... ±6° yaw angle sweep. urea ........................ urea.
A ............................. A speed. veh ......................... vehicle.
air ........................... air. w ............................. wind.
aero ........................ aerodynamic. wa ........................... wind average.
alt ........................... alternative. yaw ......................... yaw angle.
act .......................... actual or measured condition. ys ............................ yaw sweep.
air ........................... air. zero ........................ zero quantity.
axle ......................... axle.
B ............................. B speed. (e) Other acronyms and abbreviations.
brake ...................... brake.
C ............................. C speed. This part uses the following additional
Ccombdry ............... carbon from fuel per mole of dry ex- abbreviations and acronyms:
haust.
CD .......................... charge-depleting.
circuit ...................... circuit.
CO2DEF ................. CO2 resulting from diesel exhaust fluid ABT ................... averaging, banking, and trading.
decomposition. AECD ................ auxiliary emission control device.
CO2PTO ................. CO2 emissions for PTO cycle. AES ................... automatic engine shutdown.
coastdown .............. coastdown.
comp ...................... composite.
APU ................... auxiliary power unit.
CS .......................... charge-sustaining. CD ..................... charge-depleting.
cycle ....................... test cycle. CFD ................... computational fluid dynamics.
drive ....................... drive axle. CFR ................... Code of Federal Regulations.
drive-idle ................. idle with the transmission in drive. CITT .................. curb idle transmission torque.
driver ...................... driver. CS ..................... charge-sustaining.
dyno ....................... dynamometer. DOT .................. Department of Transportation.
effective .................. effective. EPA ................... Environmental Protection Agency.
end ......................... end.
eng ......................... engine.
FE ..................... fuel economy.
event ...................... event. FEL ................... Family Emission Limit.
fuel ......................... fuel. GAWR ............... gross axle weight rating.
full ........................... full. GCWR ............... gross combination weight rating.
grade ...................... grade. GEM .................. greenhouse gas emission model.
H2Oexhaustdry ............ H2O in exhaust per mole of exhaust. GVWR ............... gross vehicle weight rating.
hi ............................ high. Heavy HDV ....... Heavy heavy-duty vehicle (see
i .............................. an individual of a series.
§ 1037.140).
idle .......................... idle.
in ............................ inlet. HVAC ................ heating, ventilating, and air condi-
inc ........................... increment. tioning.
lo ............................ low. ISO .................... International Organization for
loss ......................... loss. Standardization.
max ........................ maximum. Light HDV ......... Light heavy-duty vehicle (see
meas ...................... measured quantity. § 1037.140).
med ........................ median. Medium HDV .... Medium heavy-duty vehicle (see
min ......................... minimum.
moving .................... moving.
§ 1037.140).
out .......................... outlet. NARA ................ National Archives and Records
P ............................. power. Administration.
pair ......................... pair of speed segments. NHTSA .............. National Highway Transportation
parked-idle ............. idle with the transmission in park. Safety Administration.
partial ..................... partial. PHEV ................ plug-in hybrid electric vehicle.
ploss ....................... power loss. PTO ................... power take-off.
plug-in .................... plug-in hybrid electric vehicle.
RESS ................ rechargeable energy storage sys-
powertrain .............. powertrain.
PTO ........................ power take-off. tem.
rated ....................... rated speed. rpm .................... revolutions per minute.

record ..................... record. SAE ................... Society of Automotive Engineers.
ref ........................... reference quantity. SEE ................... standard error of estimate.
347
§ 1037.810 40 CFR Ch. I (7–1–21 Edition)
SKU ................... stock-keeping unit. VSL ................... vehicle speed limiter.

TRPM ................ tire revolutions per mile.
TRRL ................. tire rolling resistance level. (f) Constants. This part uses the fol-
U.S.C. ............... United States Code. lowing constants:
Symbol Quantity Value
g ...................................... gravitational constant ............................................ 9.81 m·s¥2.

R ...................................... specific gas constant ............................................ 287.058 J/(kg·K).
(g) Prefixes. This part uses the fol- results’’, First Edition, July 1, 2009,
lowing prefixes to define a quantity: (‘‘ISO 28580’’), IBR approved for
§ 1037.520(c).
Symbol Quantity Value
(2) [Reserved]
μ ............................... micro ....................... 10¥6 (c) U.S. EPA, Office of Air and Radi-
m .............................. milli .......................... 10¥3 ation, 2565 Plymouth Road, Ann Arbor,
c ............................... centi ......................... 10¥2
k ............................... kilo ........................... 103 MI 48105, www.epa.gov.
M .............................. mega ....................... 106 (1) Greenhouse gas Emissions Model
(GEM), Version 2.0.1, September 2012
EFFECTIVE DATE NOTE: At 86 FR 34492, June (‘‘GEM version 2.0.1’’), IBR approved
29, 2021, § 1037.805 was amended, effective July for § 1037.520. The computer code for
29, 2021. this model is available as noted in
paragraph (a) of this section. A work-
§ 1037.810 Incorporation by reference. ing version of this software is also
(a) Certain material is incorporated available for download at http://
by reference into this part with the ap- www.epa.gov/otaq/climate/gem.htm.
proval of the Director of the Federal (2) Greenhouse gas Emissions Model
Register under 5 U.S.C. 552(a) and 1 (GEM) Phase 2, Version 3.0, July 2016;
CFR part 51. To enforce any edition IBR approved for § 1037.520. The com-
other than that specified in this sec- puter code for this model is available
tion, the Environmental Protection as noted in paragraph (a) of this sec-
Agency must publish a document in tion. A working version of this soft-
the FEDERAL REGISTER and the mate- ware is also available for download at
rial must be available to the public. All http://www.epa.gov/otaq/climate/gem.htm.
approved material is available for in- (d) National Institute of Standards
spection at U.S. EPA, Air and Radi- and Technology, 100 Bureau Drive,
ation Docket and Information Center, Stop 1070, Gaithersburg, MD 20899–1070,
1301 Constitution Ave. NW., Room B102, (301) 975–6478, or www.nist.gov.
EPA West Building, Washington, DC (1) NIST Special Publication 811,
20460, (202) 202–1744, and is available Guide for the Use of the International
from the sources listed below. It is also System of Units (SI), 2008 Edition,
available for inspection at the National March 2008, IBR approved for § 1037.805.
Archives and Records Administration (2) [Reserved]
(NARA). For information on the avail- (e) SAE International, 400 Common-
ability of this material at NARA, call wealth Dr., Warrendale, PA 15096–0001,
202–741–6030, or go to http:// (877) 606–7323 (U.S. and Canada) or (724)
www.archives.gov/federallregister/ 776–4970 (outside the U.S. and Canada),
codeloflfederallregulations/ http://www.sae.org.
ibrllocations.html.\n. (1) SAE J1025, Test Procedures for
(b) International Organization for Measuring Truck Tire Revolutions Per
Standardization, Case Postale 56, CH– Kilometer/Mile, Stabilized August 2012,
1211 Geneva 20, Switzerland, (41) 22749 (‘‘SAE J1025’’), IBR approved for
0111, www.iso.org, or central@iso.org. § 1037.520(c).
(1) ISO 28580:2009(E) ‘‘Passenger car, (2) SAE J1252, SAE Wind Tunnel Test
truck and bus tyres—Methods of meas- Procedure for Trucks and Buses, Re-
uring rolling resistance—Single point vised July 2012, (‘‘SAE J1252’’), IBR ap-
test and correlation of measurement proved for §§ 1037.525(b) and 1037.530(a).
348
(3) SAE J1263, Road Load Measure- (c) If we agree to hold a hearing, we
ment and Dynamometer Simulation will use the procedures specified in 40
Using Coastdown Techniques, revised CFR part 1068, subpart G.
March 2010, (‘‘SAE J1263’’), IBR ap-
proved for §§ 1037.528 introductory text, § 1037.825 Reporting and record-
(a), (b), (c), (e), and (h) and 1037.665(a). keeping requirements.
(4) SAE J1594, Vehicle Aerodynamics (a) This part includes various re-
Terminology, Revised July 2010, (‘‘SAE quirements to submit and record data
J1594’’), IBR approved for § 1037.530(d). or other information. Unless we specify
(5) SAE J2071, Aerodynamic Testing otherwise, store required records in
of Road Vehicles—Open Throat Wind any format and on any media and keep
Tunnel Adjustment, Revised June 1994, them readily available for eight years
(‘‘SAE J2071’’), IBR approved for after you send an associated applica-
§ 1037.530(b). tion for certification, or eight years
(6) SAE J2263, Road Load Measure- after you generate the data if they do
ment Using Onboard Anemometry and not support an application for certifi-
Coastdown Techniques, Revised De- cation. You may not rely on anyone
cember 2008, (‘‘SAE J2263’’), IBR ap- else to meet recordkeeping require-
proved for §§ 1037.528 introductory text, ments on your behalf unless we specifi-
(a), (b), (d), and (f) and 1037.665(a). cally authorize it. We may review these
(7) SAE J2343, Recommended Prac- records at any time. You must prompt-
tice for LNG Medium and Heavy-Duty ly send us organized, written records in
Powered Vehicles, Revised July 2008, English if we ask for them. We may re-
(‘‘SAE J2343’’), IBR approved for quire you to submit written records in
§ 1037.103(e). an electronic format.
(8) SAE J2452, Stepwise Coastdown (b) The regulations in § 1037.255 and 40
Methodology for Measuring Tire Roll- CFR 1068.25 and 1068.101 describe your
ing Resistance, Revised June 1999, obligation to report truthful and com-
(‘‘SAE J2452’’), IBR approved for plete information. This includes infor-
§ 1037.528(h). mation not related to certification.
(9) SAE J2966, Guidelines for Aero- Failing to properly report information
dynamic Assessment of Medium and and keep the records we specify vio-
Heavy Commercial Ground Vehicles lates 40 CFR 1068.101(a)(2), which may
Using Computational Fluid Dynamics, involve civil or criminal penalties.
Issued September 2013, (‘‘SAE J2966’’), (c) Send all reports and requests for
IBR approved for § 1037.532(a). approval to the Designated Compliance
Officer (see § 1037.801).
EFFECTIVE DATE NOTE: At 86 FR 34496, June (d) Any written information we re-
29, 2021, § 1037.810 was revised, effective July quire you to send to or receive from an-
29, 2021.
other company is deemed to be a re-
§ 1037.815 Confidential information. quired record under this section. Such
The provisions of 40 CFR 1068.10 apply sions to EPA. Keep these records for
for information you consider confiden- eight years unless the regulations
tial. specify a different period. We may re-
quire you to send us these records
§ 1037.820 Requesting a hearing. whether or not you are a certificate
(a) You may request a hearing under holder.
certain circumstances, as described (e) Under the Paperwork Reduction
elsewhere in this part. To do this, you Act (44 U.S.C. 3501 et seq), the Office of
must file a written request, including a Management and Budget approves the
description of your objection and any reporting and recordkeeping specified
supporting data, within 30 days after in the applicable regulations. The fol-
we make a decision. lowing items illustrate the kind of re-
(b) For a hearing you request under porting and recordkeeping we require
the provisions of this part, we will ap- for vehicles regulated under this part:
prove your request if we find that your (1) We specify the following require-
request raises a substantial factual ments related to vehicle certification

issue. in this part 1037:
349
(i) In § 1036.150 we include various re- (viii) In 40 CFR 1068.450 and 1068.455
porting and recordkeeping require- we specify certain records related to
ments related to interim provisions. testing production-line engines and ve-
(ii) In subpart C of this part we iden- hicles in a selective enforcement audit.
tify a wide range of information re- (ix) In 40 CFR 1068.501 we specify cer-
quired to certify vehicles. tain records related to investigating
(iii) In subpart G of this part we iden- and reporting emission-related defects.
tify several reporting and record- (x) In 40 CFR 1068.525 and 1068.530 we
keeping items for making demonstra- specify certain records related to re-
tions and getting approval related to calling nonconforming engines and ve-
various special compliance provisions. hicles.
(iv) In § 1037.725, 1037.730, and 1037.735 (xi) In 40 CFR part 1068, subpart G,
we specify certain records related to we specify certain records for request-
averaging, banking, and trading. ing a hearing.
(2) We specify the following require- EFFECTIVE DATE NOTE: At 86 FR 34496, June
ments related to testing in 40 CFR part 29, 2021, § 1037.825 was amended, effective July
1066: 29, 2021.
(i) In 40 CFR 1066.2 we give an over-
view of principles for reporting infor- APPENDIX I TO PART 1037 — HEAVY-
mation. DUTY TRANSIENT TEST CYCLE
(ii) In 40 CFR 1066.25 we establish Time Speed
basic guidelines for storing test infor- (sec) (mi/hr)
mation. 1 ..................................................................... 0.00
(iii) In 40 CFR 1066.695 we identify the 2 ..................................................................... 0.00
specific information and data items to 3 ..................................................................... 0.00
4 ..................................................................... 0.00
record when measuring emissions. 5 ..................................................................... 0.00
(3) We specify the following require- 6 ..................................................................... 0.00
ments related to the general compli- 7 ..................................................................... 0.41
8 ..................................................................... 1.18
ance provisions in 40 CFR part 1068: 9 ..................................................................... 2.26
(i) In 40 CFR 1068.5 we establish a 10 ................................................................... 3.19
process for evaluating good engineer- 11 ................................................................... 3.97
12 ................................................................... 4.66
ing judgment related to testing and 13 ................................................................... 5.32
certification. 14 ................................................................... 5.94
(ii) In 40 CFR 1068.25 we describe gen- 15 ................................................................... 6.48
16 ................................................................... 6.91
eral provisions related to sending and 17 ................................................................... 7.28
keeping information. 18 ................................................................... 7.64
(iii) In 40 CFR 1068.27 we require man- 19 ................................................................... 8.02
20 ................................................................... 8.36
ufacturers to make engines and vehi- 21 ................................................................... 8.60
cles available for our testing or inspec- 22 ................................................................... 8.74
tion if we make such a request. 23 ................................................................... 8.82
24 ................................................................... 8.82
(iv) In 40 CFR 1068.105 we require ve- 25 ................................................................... 8.76
hicle manufacturers to keep certain 26 ................................................................... 8.66
records related to duplicate labels from 27 ................................................................... 8.58
28 ................................................................... 8.52
engine manufacturers. 29 ................................................................... 8.46
(v) In 40 CFR 1068.120 we specify rec- 30 ................................................................... 8.38
ordkeeping related to rebuilding en- 31 ................................................................... 8.31
32 ................................................................... 8.21
gines. 33 ................................................................... 8.11
(vi) In 40 CFR part 1068, subpart C, we 34 ................................................................... 8.00
identify several reporting and record- 35 ................................................................... 7.94
36 ................................................................... 7.94
keeping items for making demonstra- 37 ................................................................... 7.80
tions and getting approval related to 38 ................................................................... 7.43
various exemptions. 39 ................................................................... 6.79
40 ................................................................... 5.81
(vii) In 40 CFR part 1068, subpart D, 41 ................................................................... 4.65
we identify several reporting and rec- 42 ................................................................... 3.03
ordkeeping items for making dem- 43 ................................................................... 1.88
44 ................................................................... 1.15
onstrations and getting approval re-
45 ................................................................... 1.14
lated to importing engines and vehi- 46 ................................................................... 1.12
cles. 47 ................................................................... 1.11
350
Environmental Protection Agency Pt. 1037, App. I
Time Speed Time Speed

(sec) (mi/hr) (sec) (mi/hr)
48 ................................................................... 1.19 121 ................................................................. 7.90

49 ................................................................... 1.57 122 ................................................................. 7.96
50 ................................................................... 2.31 123 ................................................................. 7.99
51 ................................................................... 3.37 124 ................................................................. 8.02
52 ................................................................... 4.51 125 ................................................................. 8.01
53 ................................................................... 5.56 126 ................................................................. 7.87
54 ................................................................... 6.41 127 ................................................................. 7.59
55 ................................................................... 7.09 128 ................................................................. 7.20
56 ................................................................... 7.59 129 ................................................................. 6.52
57 ................................................................... 7.99 130 ................................................................. 5.53
58 ................................................................... 8.32 131 ................................................................. 4.36
59 ................................................................... 8.64 132 ................................................................. 3.30
60 ................................................................... 8.91 133 ................................................................. 2.50
61 ................................................................... 9.13 134 ................................................................. 1.94
62 ................................................................... 9.29 135 ................................................................. 1.56
63 ................................................................... 9.40 136 ................................................................. 0.95
64 ................................................................... 9.39 137 ................................................................. 0.42
65 ................................................................... 9.20 138 ................................................................. 0.00
66 ................................................................... 8.84 139 ................................................................. 0.00
67 ................................................................... 8.35 140 ................................................................. 0.00
68 ................................................................... 7.81 141 ................................................................. 0.00
69 ................................................................... 7.22 142 ................................................................. 0.00
70 ................................................................... 6.65 143 ................................................................. 0.00
71 ................................................................... 6.13 144 ................................................................. 0.00
72 ................................................................... 5.75 145 ................................................................. 0.00
73 ................................................................... 5.61 146 ................................................................. 0.00
74 ................................................................... 5.65 147 ................................................................. 0.00
75 ................................................................... 5.80 148 ................................................................. 0.00
76 ................................................................... 5.95 149 ................................................................. 0.00
77 ................................................................... 6.09 150 ................................................................. 0.00
78 ................................................................... 6.21 151 ................................................................. 0.00
79 ................................................................... 6.31 152 ................................................................. 0.00
80 ................................................................... 6.34 153 ................................................................. 0.00
81 ................................................................... 6.47 154 ................................................................. 0.00
82 ................................................................... 6.65 155 ................................................................. 0.00
83 ................................................................... 6.88 156 ................................................................. 0.00
84 ................................................................... 7.04 157 ................................................................. 0.00
85 ................................................................... 7.05 158 ................................................................. 0.00
86 ................................................................... 7.01 159 ................................................................. 0.00
87 ................................................................... 6.90 160 ................................................................. 0.00
88 ................................................................... 6.88 161 ................................................................. 0.00
89 ................................................................... 6.89 162 ................................................................. 0.00
90 ................................................................... 6.96 163 ................................................................. 0.00
91 ................................................................... 7.04 164 ................................................................. 0.00
92 ................................................................... 7.17 165 ................................................................. 0.00
93 ................................................................... 7.29 166 ................................................................. 0.00
94 ................................................................... 7.39 167 ................................................................. 0.00
95 ................................................................... 7.48 168 ................................................................. 0.00
96 ................................................................... 7.57 169 ................................................................. 0.00
97 ................................................................... 7.61 170 ................................................................. 0.00
98 ................................................................... 7.59 171 ................................................................. 0.00
99 ................................................................... 7.53 172 ................................................................. 1.11
100 ................................................................. 7.46 173 ................................................................. 2.65
101 ................................................................. 7.40 174 ................................................................. 4.45
102 ................................................................. 7.39 175 ................................................................. 5.68
103 ................................................................. 7.38 176 ................................................................. 6.75
104 ................................................................. 7.37 177 ................................................................. 7.59
105 ................................................................. 7.37 178 ................................................................. 7.75
106 ................................................................. 7.39 179 ................................................................. 7.63
107 ................................................................. 7.42 180 ................................................................. 7.67
108 ................................................................. 7.43 181 ................................................................. 8.70
109 ................................................................. 7.40 182 ................................................................. 10.20
110 ................................................................. 7.39 183 ................................................................. 11.92
111 ................................................................. 7.42 184 ................................................................. 12.84
112 ................................................................. 7.50 185 ................................................................. 13.27
113 ................................................................. 7.57 186 ................................................................. 13.38
114 ................................................................. 7.60 187 ................................................................. 13.61
115 ................................................................. 7.60 188 ................................................................. 14.15
116 ................................................................. 7.61 189 ................................................................. 14.84
117 ................................................................. 7.64 190 ................................................................. 16.49
118 ................................................................. 7.68 191 ................................................................. 18.33

119 ................................................................. 7.74 192 ................................................................. 20.36
120 ................................................................. 7.82 193 ................................................................. 21.47
351

194 ................................................................. 22.35 267 ................................................................. 10.05

195 ................................................................. 22.96 268 ................................................................. 11.62
196 ................................................................. 23.46 269 ................................................................. 12.92
197 ................................................................. 23.92 270 ................................................................. 13.84
198 ................................................................. 24.42 271 ................................................................. 14.38
199 ................................................................. 24.99 272 ................................................................. 15.64
200 ................................................................. 25.91 273 ................................................................. 17.14
201 ................................................................. 26.26 274 ................................................................. 18.21
202 ................................................................. 26.38 275 ................................................................. 18.90
203 ................................................................. 26.26 276 ................................................................. 19.44
204 ................................................................. 26.49 277 ................................................................. 20.09
205 ................................................................. 26.76 278 ................................................................. 21.89
206 ................................................................. 27.07 279 ................................................................. 24.15
207 ................................................................. 26.64 280 ................................................................. 26.26
208 ................................................................. 25.99 281 ................................................................. 26.95
209 ................................................................. 24.77 282 ................................................................. 27.03
210 ................................................................. 24.04 283 ................................................................. 27.30
211 ................................................................. 23.39 284 ................................................................. 28.10
212 ................................................................. 22.73 285 ................................................................. 29.44
213 ................................................................. 22.16 286 ................................................................. 30.78
214 ................................................................. 21.66 287 ................................................................. 32.09
215 ................................................................. 21.39 288 ................................................................. 33.24
216 ................................................................. 21.43 289 ................................................................. 34.46
217 ................................................................. 20.67 290 ................................................................. 35.42
218 ................................................................. 17.98 291 ................................................................. 35.88
219 ................................................................. 13.15 292 ................................................................. 36.03
220 ................................................................. 7.71 293 ................................................................. 35.84
221 ................................................................. 3.30 294 ................................................................. 35.65
222 ................................................................. 0.88 295 ................................................................. 35.31
223 ................................................................. 0.00 296 ................................................................. 35.19
224 ................................................................. 0.00 297 ................................................................. 35.12
225 ................................................................. 0.00 298 ................................................................. 35.12
226 ................................................................. 0.00 299 ................................................................. 35.04
227 ................................................................. 0.00 300 ................................................................. 35.08
228 ................................................................. 0.00 301 ................................................................. 35.04
229 ................................................................. 0.00 302 ................................................................. 35.34
230 ................................................................. 0.00 303 ................................................................. 35.50
231 ................................................................. 0.00 304 ................................................................. 35.77
232 ................................................................. 0.00 305 ................................................................. 35.81
233 ................................................................. 0.00 306 ................................................................. 35.92
234 ................................................................. 0.00 307 ................................................................. 36.23
235 ................................................................. 0.00 308 ................................................................. 36.42
236 ................................................................. 0.00 309 ................................................................. 36.65
237 ................................................................. 0.00 310 ................................................................. 36.26
238 ................................................................. 0.00 311 ................................................................. 36.07
239 ................................................................. 0.00 312 ................................................................. 35.84
240 ................................................................. 0.00 313 ................................................................. 35.96
241 ................................................................. 0.00 314 ................................................................. 36.00
242 ................................................................. 0.00 315 ................................................................. 35.57
243 ................................................................. 0.00 316 ................................................................. 35.00
244 ................................................................. 0.00 317 ................................................................. 34.08
245 ................................................................. 0.00 318 ................................................................. 33.39
246 ................................................................. 0.00 319 ................................................................. 32.20
247 ................................................................. 0.00 320 ................................................................. 30.32
248 ................................................................. 0.00 321 ................................................................. 28.48
249 ................................................................. 0.00 322 ................................................................. 26.95
250 ................................................................. 0.00 323 ................................................................. 26.18
251 ................................................................. 0.00 324 ................................................................. 25.38
252 ................................................................. 0.00 325 ................................................................. 24.77
253 ................................................................. 0.00 326 ................................................................. 23.46
254 ................................................................. 0.00 327 ................................................................. 22.39
255 ................................................................. 0.00 328 ................................................................. 20.97
256 ................................................................. 0.00 329 ................................................................. 20.09
257 ................................................................. 0.00 330 ................................................................. 18.90
258 ................................................................. 0.00 331 ................................................................. 18.17
259 ................................................................. 0.50 332 ................................................................. 16.48
260 ................................................................. 1.57 333 ................................................................. 15.07
261 ................................................................. 3.07 334 ................................................................. 12.23
262 ................................................................. 4.57 335 ................................................................. 10.08
263 ................................................................. 5.65 336 ................................................................. 7.71
264 ................................................................. 6.95 337 ................................................................. 7.32

265 ................................................................. 8.05 338 ................................................................. 8.63
266 ................................................................. 9.13 339 ................................................................. 10.77
352

340 ................................................................. 12.65 413 ................................................................. 16.87

341 ................................................................. 13.88 414 ................................................................. 16.72
342 ................................................................. 15.03 415 ................................................................. 16.22
343 ................................................................. 15.64 416 ................................................................. 15.76
344 ................................................................. 16.99 417 ................................................................. 14.72
345 ................................................................. 17.98 418 ................................................................. 13.69
346 ................................................................. 19.13 419 ................................................................. 12.00
347 ................................................................. 18.67 420 ................................................................. 10.43
348 ................................................................. 18.25 421 ................................................................. 8.71
349 ................................................................. 18.17 422 ................................................................. 7.44
350 ................................................................. 18.40 423 ................................................................. 5.71
351 ................................................................. 19.63 424 ................................................................. 4.22
352 ................................................................. 20.32 425 ................................................................. 2.30
353 ................................................................. 21.43 426 ................................................................. 1.00
354 ................................................................. 21.47 427 ................................................................. 0.00
355 ................................................................. 21.97 428 ................................................................. 0.61
356 ................................................................. 22.27 429 ................................................................. 1.19
357 ................................................................. 22.69 430 ................................................................. 1.61
358 ................................................................. 23.15 431 ................................................................. 1.53
359 ................................................................. 23.69 432 ................................................................. 2.34
360 ................................................................. 23.96 433 ................................................................. 4.29
361 ................................................................. 24.27 434 ................................................................. 7.25
362 ................................................................. 24.34 435 ................................................................. 10.20
363 ................................................................. 24.50 436 ................................................................. 12.46
364 ................................................................. 24.42 437 ................................................................. 14.53
365 ................................................................. 24.38 438 ................................................................. 16.22
366 ................................................................. 24.31 439 ................................................................. 17.87
367 ................................................................. 24.23 440 ................................................................. 19.74
368 ................................................................. 24.69 441 ................................................................. 21.01
369 ................................................................. 25.11 442 ................................................................. 22.23
370 ................................................................. 25.53 443 ................................................................. 22.62
371 ................................................................. 25.38 444 ................................................................. 23.61
372 ................................................................. 24.58 445 ................................................................. 24.88
373 ................................................................. 23.77 446 ................................................................. 26.15
374 ................................................................. 23.54 447 ................................................................. 26.99
375 ................................................................. 23.50 448 ................................................................. 27.56
376 ................................................................. 24.15 449 ................................................................. 28.18
377 ................................................................. 24.30 450 ................................................................. 28.94
378 ................................................................. 24.15 451 ................................................................. 29.83
379 ................................................................. 23.19 452 ................................................................. 30.78
380 ................................................................. 22.50 453 ................................................................. 31.82
381 ................................................................. 21.93 454 ................................................................. 32.78
382 ................................................................. 21.85 455 ................................................................. 33.24
383 ................................................................. 21.55 456 ................................................................. 33.47
384 ................................................................. 21.89 457 ................................................................. 33.31
385 ................................................................. 21.97 458 ................................................................. 33.08
386 ................................................................. 21.97 459 ................................................................. 32.78
387 ................................................................. 22.01 460 ................................................................. 32.39
388 ................................................................. 21.85 461 ................................................................. 32.13
389 ................................................................. 21.62 462 ................................................................. 31.82
390 ................................................................. 21.62 463 ................................................................. 31.55
391 ................................................................. 22.01 464 ................................................................. 31.25
392 ................................................................. 22.81 465 ................................................................. 30.94
393 ................................................................. 23.54 466 ................................................................. 30.71
394 ................................................................. 24.38 467 ................................................................. 30.56
395 ................................................................. 24.80 468 ................................................................. 30.79
396 ................................................................. 24.61 469 ................................................................. 31.13
397 ................................................................. 23.12 470 ................................................................. 31.55
398 ................................................................. 21.62 471 ................................................................. 31.51
399 ................................................................. 19.90 472 ................................................................. 31.47
400 ................................................................. 18.86 473 ................................................................. 31.44
401 ................................................................. 17.79 474 ................................................................. 31.51
402 ................................................................. 17.25 475 ................................................................. 31.59
403 ................................................................. 16.91 476 ................................................................. 31.67
404 ................................................................. 16.75 477 ................................................................. 32.01
405 ................................................................. 16.75 478 ................................................................. 32.63
406 ................................................................. 16.87 479 ................................................................. 33.39
407 ................................................................. 16.37 480 ................................................................. 34.31
408 ................................................................. 16.37 481 ................................................................. 34.81
409 ................................................................. 16.49 482 ................................................................. 34.20
410 ................................................................. 17.21 483 ................................................................. 32.39

411 ................................................................. 17.41 484 ................................................................. 30.29
412 ................................................................. 17.37 485 ................................................................. 28.56
353

486 ................................................................. 26.45 559 ................................................................. 7.21

487 ................................................................. 24.79 560 ................................................................. 7.09
488 ................................................................. 23.12 561 ................................................................. 7.06
489 ................................................................. 20.73 562 ................................................................. 7.29
490 ................................................................. 18.33 563 ................................................................. 7.75
491 ................................................................. 15.72 564 ................................................................. 8.55
492 ................................................................. 13.11 565 ................................................................. 9.09
493 ................................................................. 10.47 566 ................................................................. 10.04
494 ................................................................. 7.82 567 ................................................................. 11.12
495 ................................................................. 5.70 568 ................................................................. 12.46
496 ................................................................. 3.57 569 ................................................................. 13.00
497 ................................................................. 0.92 570 ................................................................. 14.26
498 ................................................................. 0.00 571 ................................................................. 15.37
499 ................................................................. 0.00 572 ................................................................. 17.02
500 ................................................................. 0.00 573 ................................................................. 18.17
501 ................................................................. 0.00 574 ................................................................. 19.21
502 ................................................................. 0.00 575 ................................................................. 20.17
503 ................................................................. 0.00 576 ................................................................. 20.66
504 ................................................................. 0.00 577 ................................................................. 21.12
505 ................................................................. 0.00 578 ................................................................. 21.43
506 ................................................................. 0.00 579 ................................................................. 22.66
507 ................................................................. 0.00 580 ................................................................. 23.92
508 ................................................................. 0.00 581 ................................................................. 25.42
509 ................................................................. 0.00 582 ................................................................. 25.53
510 ................................................................. 0.00 583 ................................................................. 26.68
511 ................................................................. 0.00 584 ................................................................. 28.14
512 ................................................................. 0.00 585 ................................................................. 30.06
513 ................................................................. 0.00 586 ................................................................. 30.94
514 ................................................................. 0.00 587 ................................................................. 31.63
515 ................................................................. 0.00 588 ................................................................. 32.36
516 ................................................................. 0.00 589 ................................................................. 33.24
517 ................................................................. 0.00 590 ................................................................. 33.66
518 ................................................................. 0.00 591 ................................................................. 34.12
519 ................................................................. 0.00 592 ................................................................. 35.92
520 ................................................................. 0.00 593 ................................................................. 37.72
521 ................................................................. 0.00 594 ................................................................. 39.26
522 ................................................................. 0.50 595 ................................................................. 39.45
523 ................................................................. 1.50 596 ................................................................. 39.83
524 ................................................................. 3.00 597 ................................................................. 40.18
525 ................................................................. 4.50 598 ................................................................. 40.48
526 ................................................................. 5.80 599 ................................................................. 40.75
527 ................................................................. 6.52 600 ................................................................. 41.02
528 ................................................................. 6.75 601 ................................................................. 41.36
529 ................................................................. 6.44 602 ................................................................. 41.79
530 ................................................................. 6.17 603 ................................................................. 42.40
531 ................................................................. 6.33 604 ................................................................. 42.82
532 ................................................................. 6.71 605 ................................................................. 43.05
533 ................................................................. 7.40 606 ................................................................. 43.09
534 ................................................................. 7.67 607 ................................................................. 43.24
535 ................................................................. 7.33 608 ................................................................. 43.59
536 ................................................................. 6.71 609 ................................................................. 44.01
537 ................................................................. 6.41 610 ................................................................. 44.35
538 ................................................................. 6.60 611 ................................................................. 44.55
539 ................................................................. 6.56 612 ................................................................. 44.82
540 ................................................................. 5.94 613 ................................................................. 45.05
541 ................................................................. 5.45 614 ................................................................. 45.31
542 ................................................................. 5.87 615 ................................................................. 45.58
543 ................................................................. 6.71 616 ................................................................. 46.00
544 ................................................................. 7.56 617 ................................................................. 46.31
545 ................................................................. 7.59 618 ................................................................. 46.54
546 ................................................................. 7.63 619 ................................................................. 46.61
547 ................................................................. 7.67 620 ................................................................. 46.92
548 ................................................................. 7.67 621 ................................................................. 47.19
549 ................................................................. 7.48 622 ................................................................. 47.46
550 ................................................................. 7.29 623 ................................................................. 47.54
551 ................................................................. 7.29 624 ................................................................. 47.54
552 ................................................................. 7.40 625 ................................................................. 47.54
553 ................................................................. 7.48 626 ................................................................. 47.50
554 ................................................................. 7.52 627 ................................................................. 47.50
555 ................................................................. 7.52 628 ................................................................. 47.50
556 ................................................................. 7.48 629 ................................................................. 47.31

557 ................................................................. 7.44 630 ................................................................. 47.04
558 ................................................................. 7.28 631 ................................................................. 46.77
354
Environmental Protection Agency Pt. 1037, App. III

632 ................................................................. 45.54 653 ................................................................. 3.38

633 ................................................................. 43.24 654 ................................................................. 3.11
634 ................................................................. 41.52 655 ................................................................. 2.58
635 ................................................................. 39.79 656 ................................................................. 1.66
636 ................................................................. 38.07 657 ................................................................. 0.67
637 ................................................................. 36.34 658 ................................................................. 0.00
638 ................................................................. 34.04 659 ................................................................. 0.00
639 ................................................................. 32.45 660 ................................................................. 0.00
640 ................................................................. 30.86
661 ................................................................. 0.00
641 ................................................................. 28.83
662 ................................................................. 0.00
642 ................................................................. 26.45
663 ................................................................. 0.00
643 ................................................................. 24.27
644 ................................................................. 22.04 664 ................................................................. 0.00
645 ................................................................. 19.82 665 ................................................................. 0.00
646 ................................................................. 17.04 666 ................................................................. 0.00
647 ................................................................. 14.26 667 ................................................................. 0.00
648 ................................................................. 11.52 668 ................................................................. 0.00
649 ................................................................. 8.78
650 ................................................................. 7.17
651 ................................................................. 5.56 APPENDIX II TO PART 1037—POWER
652 ................................................................. 3.72 TAKE-OFF TEST CYCLE
Normalized Normalized
Start time of
Cycle simulation Mode 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
APPENDIX III TO PART 1037—EMISSION —VSLD—Vehicle speed limiter with both

CONTROL IDENTIFIERS ‘‘soft-top’’ and expiration
This appendix identifies abbreviations for Idle Reduction Technology

emission control information labels, as re- —IRT5—Engine shutoff after 5 minutes or
quired under § 1037.135. less of idling
—IRTE—Expiring engine shutoff
Vehicle Speed Limiters
—VSL—Vehicle speed limiter Tires
—VSLS—‘‘Soft-top’’ vehicle speed limiter —LRRA—Low rolling resistance tires (all,

—VSLE—Expiring vehicle speed limiter including trailers)
355
Pt. 1037, App. IV 40 CFR Ch. I (7–1–21 Edition)
—LRRD—Low rolling resistance tires (drive) Distance Grade
—LRRS—Low rolling resistance tires (steer) (m) (%)
Aerodynamic Components 892 ................................................................. 0.36

942 ................................................................. 0
—ATS—Aerodynamic side skirt and/or fuel 952 ................................................................. 0
tank fairing 1006 ............................................................... ¥0.28
—ARF—Aerodynamic roof fairing 1102 ............................................................... ¥1.04
—ARFR—Adjustable height aerodynamic 1198 ............................................................... ¥0.28
1252 ............................................................... 0
roof fairing 1264 ............................................................... 0
—TGR—Gap reducing tractor fairing (tractor 1390 ............................................................... 0.39
to trailer gap) 1458 ............................................................... 0.66
—TGRT—Gap reducing trailer fairing (trac- 1534 ............................................................... 1.15
tor to trailer gap) 1696 ............................................................... 2.44
—TATS—Trailer aerodynamic side skirt 1858 ............................................................... 1.15
1934 ............................................................... 0.66
—TARF—Trailer aerodynamic rear fairing
2002 ............................................................... 0.39
—TAUD—Trailer aerodynamic underbody de- 2128 ............................................................... 0
vice 2146 ............................................................... 0
2330 ............................................................... ¥0.46
Other Components 2398 ............................................................... ¥0.69
2478 ............................................................... ¥1.08
—ADVH—Vehicle includes advanced hybrid
2546 ............................................................... ¥1.53
technology components 2698 ............................................................... ¥2.75
—ADVO—Vehicle includes other advanced- 2850 ............................................................... ¥1.53
technology components (i.e., non-hybrid 2918 ............................................................... ¥1.08
system) 2998 ............................................................... ¥0.69
—INV—Vehicle includes innovative (off- 3066 ............................................................... ¥0.46
cycle) technology components 3250 ............................................................... 0
—ATI—Automatic tire inflation system 3264 ............................................................... 0
3340 ............................................................... 0.35
—TPMS—Tire pressure monitoring system 3416 ............................................................... 0.9
—WRTW—Weight-reducing trailer wheels 3502 ............................................................... 1.59
—WRTC—Weight-reducing trailer upper cou- 3588 ............................................................... 0.9
pler plate 3664 ............................................................... 0.35
—WRTS—Weight-reducing trailer axle sub- 3740 ............................................................... 0
frames 3756 ............................................................... 0
—WBSW—Wide-base single trailer tires with 3822 ............................................................... ¥0.1
4094 ............................................................... ¥0.69
steel wheel
4176 ............................................................... ¥0.97
—WBAW—Wide-base single trailer tires with 4262 ............................................................... ¥1.36
aluminum wheel 4330 ............................................................... ¥1.78
—WBLW—Wide-base single trailer tires with 4514 ............................................................... ¥3.23
light-weight aluminum alloy wheel 4698 ............................................................... ¥1.78
—DWSW—Dual-wide trailer tires with steel 4766 ............................................................... ¥1.36
wheel 4852 ............................................................... ¥0.97
—DWAW—Dual-wide trailer tires with alu- 4934 ............................................................... ¥0.69
5206 ............................................................... ¥0.1
minum wheel 5272 ............................................................... 0
—DWLW—Dual-wide trailer tires with light- 5322 ............................................................... 0
weight aluminum alloy wheel 5406 ............................................................... 0.1
5498 ............................................................... 0.17
EFFECTIVE DATE NOTE: At 86 FR 34496, June 5720 ............................................................... 0.38
29, 2021, appendix III was revised, effective 5912 ............................................................... 0.58
July 29, 2021. 6052 ............................................................... 0.77
6226 ............................................................... 1.09
APPENDIX IV TO PART 1037—HEAVY- 6312 ............................................................... 1.29
DUTY GRADE PROFILE FOR PHASE 2 6436 ............................................................... 1.66
6562 ............................................................... 2.14
STEADY-STATE TEST CYCLES 6638 ............................................................... 2.57
6710 ............................................................... 3
The following table identifies a grade pro- 6762 ............................................................... 3.27
file for operating vehicles over the highway 6800 ............................................................... 3.69
cruise cycles specified in subpart F of this 6890 ............................................................... 5.01
part. Determine intermediate values by lin- 6980 ............................................................... 3.69
ear interpolation. 7018 ............................................................... 3.27
7070 ............................................................... 3
Distance Grade 7142 ............................................................... 2.57
(m) (%) 7218 ............................................................... 2.14
7344 ............................................................... 1.66
0 ..................................................................... 0 7468 ............................................................... 1.29
808 ................................................................. 0 7554 ............................................................... 1.09
820 ................................................................. ¥0.1 7728 ............................................................... 0.77

832 ................................................................. 0 7868 ............................................................... 0.58
842 ................................................................. 0 8060 ............................................................... 0.38
356
Environmental Protection Agency Pt. 1037, App. V
Distance Grade Distance Grade

(m) (%) (m) (%)
8282 ............................................................... 0.17 14582 ............................................................. ¥1.09

8374 ............................................................... 0.1 14756 ............................................................. ¥0.77
8458 ............................................................... 0 14896 ............................................................. ¥0.58
8502 ............................................................... 0 15088 ............................................................. ¥0.38
8608 ............................................................... ¥0.38 15310 ............................................................. ¥0.17
8668 ............................................................... ¥0.69 15402 ............................................................. ¥0.1
8852 ............................................................... ¥2.13 15486 ............................................................. 0
9036 ............................................................... ¥0.69 15536 ............................................................. 0
9096 ............................................................... ¥0.38 15602 ............................................................. 0.1
9202 ............................................................... 0 15874 ............................................................. 0.69
9214 ............................................................... 0 15956 ............................................................. 0.97
9262 ............................................................... 0.26 16042 ............................................................. 1.36
9316 ............................................................... 0.7 16110 ............................................................. 1.78
9370 ............................................................... 0.26 16294 ............................................................. 3.23
9418 ............................................................... 0 16478 ............................................................. 1.78
9428 ............................................................... 0 16546 ............................................................. 1.36
9496 ............................................................... ¥0.34 16632 ............................................................. 0.97
9622 ............................................................... ¥1.33 16714 ............................................................. 0.69
9748 ............................................................... ¥0.34 16986 ............................................................. 0.1
9816 ............................................................... 0 17052 ............................................................. 0
9826 ............................................................... 0 17068 ............................................................. 0
9914 ............................................................... 0.37 17144 ............................................................. ¥0.35
9968 ............................................................... 0.7 17220 ............................................................. ¥0.9
10112 ............................................................. 1.85 17306 ............................................................. ¥1.59
10256 ............................................................. 0.7 17392 ............................................................. ¥0.9
10310 ............................................................. 0.37 17468 ............................................................. ¥0.35
10398 ............................................................. 0 17544 ............................................................. 0
10410 ............................................................. 0 17558 ............................................................. 0
10498 ............................................................. ¥0.37 17742 ............................................................. 0.46
10552 ............................................................. ¥0.7 17810 ............................................................. 0.69
10696 ............................................................. ¥1.85 17890 ............................................................. 1.08
10840 ............................................................. ¥0.7 17958 ............................................................. 1.53
10894 ............................................................. ¥0.37 18110 ............................................................. 2.75
10982 ............................................................. 0 18262 ............................................................. 1.53
10992 ............................................................. 0 18330 ............................................................. 1.08
11060 ............................................................. 0.34 18410 ............................................................. 0.69
11186 ............................................................. 1.33 18478 ............................................................. 0.46
11312 ............................................................. 0.34 18662 ............................................................. 0
11380 ............................................................. 0 18680 ............................................................. 0
11390 ............................................................. 0 18806 ............................................................. ¥0.39
11438 ............................................................. ¥0.26 18874 ............................................................. ¥0.66
11492 ............................................................. ¥0.7 18950 ............................................................. ¥1.15
11546 ............................................................. ¥0.26 19112 ............................................................. ¥2.44
11594 ............................................................. 0 19274 ............................................................. ¥1.15
11606 ............................................................. 0 19350 ............................................................. ¥0.66
11712 ............................................................. 0.38 19418 ............................................................. ¥0.39
11772 ............................................................. 0.69 19544 ............................................................. 0
19556 ............................................................. 0
11956 ............................................................. 2.13
19610 ............................................................. 0.28
12140 ............................................................. 0.69
12200 ............................................................. 0.38 19706 ............................................................. 1.04
12306 ............................................................. 0 19802 ............................................................. 0.28
19856 ............................................................. 0
12350 ............................................................. 0
12434 ............................................................. ¥0.1 19866 ............................................................. 0
12526 ............................................................. ¥0.17 19916 ............................................................. ¥0.36
19966 ............................................................. 0
12748 ............................................................. ¥0.38
12940 ............................................................. ¥0.58 19976 ............................................................. 0
13080 ............................................................. ¥0.77 19988 ............................................................. 0.1
20000 ............................................................. 0
13254 ............................................................. ¥1.09
13340 ............................................................. ¥1.29 20808 ............................................................. 0
13464 ............................................................. ¥1.66
13590 ............................................................. ¥2.14
13666 ............................................................. ¥2.57
13738 ............................................................. ¥3 29, 2021, appendix IV was revised, effective
13790 ............................................................. ¥3.27 July 29, 2021.
13828 ............................................................. ¥3.69
13918 ............................................................. ¥5.01 APPENDIX V TO PART 1037—POWER
14008 ............................................................. ¥3.69 TAKE-OFF UTILITY FACTORS
14046 ............................................................. ¥3.27
14098 ............................................................. ¥3 Utility
14170 ............................................................. ¥2.57 Time factor
14246 ............................................................. ¥2.14 (min) fraction

14372 ............................................................. ¥1.66
14496 ............................................................. ¥1.29 0 ..................................................................... 0
357
Time Utility Subpart B—Emission Standards and

factor Related Requirements
(min) fraction
10 ................................................................... 0.1 1039.101 What exhaust emission standards

20 ................................................................... 0.18 must my engines meet after the 2014
30 ................................................................... 0.24 model year?
40 ................................................................... 0.31 1039.102 What exhaust emission standards
50 ................................................................... 0.36 and phase-in allowances apply for my en-
60 ................................................................... 0.4 gines in model year 2014 and earlier?
70 ................................................................... 0.44 1039.104 Are there interim provisions that
80 ................................................................... 0.47 apply only for a limited time?
90 ................................................................... 0.51 1039.105 What smoke standards must my en-
100 ................................................................. 0.54
gines meet?
110 ................................................................. 0.57
120 ................................................................. 0.6
1039.107 What evaporative emission stand-
130 ................................................................. 0.64 ards and requirements apply?
140 ................................................................. 0.66 1039.110 Recording reductant use and other
150 ................................................................. 0.69 diagnostic functions.
160 ................................................................. 0.71 1039.115 What other requirements apply?
170 ................................................................. 0.74 1039.120 What emission-related warranty re-
180 ................................................................. 0.76 quirements apply to me?
190 ................................................................. 0.77 1039.125 What maintenance instructions
200 ................................................................. 0.79 must I give to buyers?
210 ................................................................. 0.8 1039.130 What installation instructions
220 ................................................................. 0.82
must I give to equipment manufacturers?
230 ................................................................. 0.83
240 ................................................................. 0.85 1039.135 How must I label and identify the
250 ................................................................. 0.86 engines I produce?
260 ................................................................. 0.87 1039.140 What is my engine’s maximum en-
270 ................................................................. 0.88 gine power?
280 ................................................................. 0.88
290 ................................................................. 0.89 Subpart C—Certifying Engine Families
300 ................................................................. 0.9
310 ................................................................. 0.9 1039.201 What are the general requirements
320 ................................................................. 0.91 for obtaining a certificate of conformity?
330 ................................................................. 0.92 1039.205 What must I include in my applica-
340 ................................................................. 0.93
tion?
350 ................................................................. 0.93
360 ................................................................. 0.94
1039.210 May I get preliminary approval be-
370 ................................................................. 0.95 fore I complete my application?
380 ................................................................. 0.95 1039.220 How do I amend my maintenance
390 ................................................................. 0.96 instructions?
420 ................................................................. 0.96 1039.225 How do I amend my application for
430 ................................................................. 0.97 certification?
460 ................................................................. 0.97 1039.230 How do I select engine families?
470 ................................................................. 0.98 1039.235 What testing requirements apply
520 ................................................................. 0.98
for certification?
530 ................................................................. 0.99
580 ................................................................. 0.99
1039.240 How do I demonstrate that my en-
590 ................................................................. 1 gine family complies with exhaust emis-
sion standards?
1039.245 How do I determine deterioration
PART 1039—CONTROL OF EMIS- factors from exhaust durability testing?
1039.250 What records must I keep and what
SIONS FROM NEW AND IN-USE reports must I send to EPA?
NONROAD COMPRESSION-IGNI- 1039.255 What decisions may EPA make re-
TION ENGINES garding my certificate of conformity?
Subpart A—Overview and Applicability Subpart D [Reserved]
Sec. Subpart E—In-use Testing

1039.1 Does this part apply for my engines?
1039.401 General provisions.
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this Subpart F—Test Procedures
1039.10 How is this part organized? 1039.501 How do I run a valid emission test?
1039.15 Do any other regulation parts apply 1039.505 How do I test engines using steady-
to me? state duty cycles, including ramped-
1039.20 What requirements from this part modal testing?

apply to excluded stationary engines? 1039.510 Which duty cycles do I use for tran-
1039.30 Submission of information. sient testing?
358
1039.515 What are the test procedures re- 1039.745 What can happen if I do not comply
lated to not-to-exceed standards? with the provisions of this subpart?
1039.520 What testing must I perform to es-
tablish deterioration factors? Subpart I—Definitions and Other Reference
1039.525 How do I adjust emission levels to Information
account for infrequently regenerating
aftertreatment devices? 1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and ab-
Subpart G—Special Compliance Provisions breviations does this part use?
1039.815 What provisions apply to confiden-
1039.601 What compliance provisions apply? tial information?
1039.605 What provisions apply to engines 1039.820 How do I request a hearing?
certified under the motor-vehicle pro- 1039.825 What reporting and recordkeeping
gram? requirements apply under this part?
1039.610 What provisions apply to vehicles APPENDIX I TO PART 1039—SUMMARY OF PRE-
certified under the motor-vehicle pro- VIOUS EMISSION STANDARDS
gram? APPENDIX II TO PART 1039—STEADY-STATE
1039.615 What special provisions apply to en- DUTY CYCLES
gines using noncommercial fuels? APPENDIX III TO PART 1039 [RESERVED]
1039.620 What are the provisions for exempt- APPENDIX IV TO PART 1039 [RESERVED]
ing engines used solely for competition? APPENDIX V TO PART 1039 [RESERVED]
1039.625 What requirements apply under the APPENDIX VI TO PART 1039—NONROAD COM-
program for equipment-manufacturer PRESSION-IGNITION COMPOSITE TRANSIENT
flexibility? CYCLE
1039.626 What special provisions apply to AUTHORITY: 42 U.S.C. 7401–7671q.
equipment imported under the equip-
ment-manufacturer flexibility program? SOURCE: 69 FR 39213, June 29, 2004, unless
1039.627 What are the incentives for equip- otherwise noted.
ment manufacturers to use cleaner en-
gines? Subpart A—Overview and
1039.630 What are the economic hardship
provisions for equipment manufacturers? Applicability
1039.635 What are the hardship provisions
for engine manufacturers? § 1039.1 Does this part apply for my
1039.645 What special provisions apply to en-
engines?
gines used for transportation refrigera- (a) The regulations in this part 1039
tion units? apply for all new, compression-ignition
1039.650 [Reserved] nonroad engines (defined in § 1039.801),
1039.655 What special provisions apply to en- except as provided in § 1039.5.
gines sold in Guam, American Samoa, or
(b) This part 1039 applies as follows:
the Commonwealth of the Northern Mar-
iana Islands? (1) This part 1039 applies for all en-
1039.665 Special provisions for use of engines gines subject to the emission standards
in emergency situations. specified in subpart B of this part
1039.670 Approval of an emergency equip- starting with the model years noted in
ment field modification (EEFM). the following table:
1039.699 Emission standards and certifi-
cation requirements for auxiliary power TABLE 1 OF § 1039.1—PART 1039
units for highway tractors. APPLICABILITY BY MODEL YEAR
Subpart H—Averaging, Banking, and Power category Model year
Trading for Certification kW <19 .............................................................. 1 2008
19 ≤kW <56 ....................................................... 2 2008

1039.701 General provisions. 56 ≤kW <130 ..................................................... 2012
1039.705 How do I generate and calculate 130 ≤kW ≤560 ................................................... 2011
emission credits? kW >560 ............................................................ 2011
1039.710 How do I average emission credits? 1 As described in § 1039.102, some engines below 19 kW
1039.715 How do I bank emission credits? may not be subject to the emission standards in this part until
1039.720 How do I trade emission credits? the 2010 model year.
2 As described in § 1039.102, some engines in the 19–56
1039.725 What must I include in my applica- kW power category may not be subject to the emission stand-
tion for certification? ards in this part until the 2012 model year.
1039.730 What ABT reports must I send to
EPA? (2) If you use the provisions of
§ 1039.104(a) to certify an engine to the
1039.735 What records must I keep?

1039.740 What restrictions apply for using emission standards of this part before
emission credits? the model years shown in Table 1 of
359
§ 1039.2 40 CFR Ch. I (7–1–21 Edition)
this section, all the requirements of ice (such as engines converted from
this part apply for those engines. highway or stationary use), the re-
(3) See 40 CFR part 89 for require- quirements that normally apply for
ments that apply to engines not yet manufacturers of freshly manufactured
subject to the requirements of this part engines apply to the importer or any
1039. other entity we allow to obtain a cer-
(4) This part 1039 applies for other tificate of conformity.
compression-ignition engines as fol-
[81 FR 74133, Oct. 25, 2016]
lows:
(i) The provisions of paragraph (c) of § 1039.5 Which engines are excluded
this section and § 1039.801 apply for sta- from this part’s requirements?
tionary engines beginning January 1,
This part does not apply to certain
2006.
nonroad engines, as follows:
(ii) The provisions of § 1039.620 and
(a) Locomotive engines. (1) The fol-
§ 1039.801 apply for engines used solely
lowing locomotive engines are not sub-
for competition beginning January 1,
ject to the provisions of this part 1039:
2006.
(i) Engines in locomotives certified
(c) The definition of nonroad engine
under 40 CFR part 1033.
in 40 CFR 1068.30 excludes certain en-
(ii) Engines in locomotives that are
gines used in stationary applications.
exempt from the standards of 40 CFR
These engines may be required by sub-
part 92 or 1033 pursuant to the provi-
part IIII of 40 CFR part 60 to comply
sions of 40 CFR part 1033 or 1068 (except
with some of the provisions of this part
for the provisions of 40 CFR 1033.150(e)).
1039; otherwise, these engines are only (2) The following locomotive engines
required to comply with the require- are subject to the provisions of this
ments in § 1039.20. In addition, the pro- part 1039:
hibitions in 40 CFR 1068.101 restrict the (i) Engines in locomotives exempt
use of stationary engines for nonsta- from 40 CFR part 1033 pursuant to the
tionary purposes unless they are cer- provisions of 40 CFR 1033.150(e).
tified under this part 1039, or under the (ii) Locomotive engines excluded
provisions of 40 CFR part 89 or 40 CFR from the definition of locomotive in 40
part 94, to the same standards that CFR 1033.901.
would apply to nonroad engines for the (iii) Locomotive engines produced
same model year. under the provisions of 40 CFR 1033.625.
(d) In certain cases, the regulations (b) Marine engines. (1) The following
in this part 1039 apply to engines at or marine engines are not subject to the
above 250 kW that would otherwise be provisions of this part 1039:
covered by 40 CFR part 1048. See 40 (i) Engines subject to the standards
CFR 1048.620 for provisions related to of 40 CFR part 94.
this allowance. (ii) Engines not subject to the stand-
[69 FR 39213, June 29, 2004, as amended at 70 ards of 40 CFR part 94 only because
FR 40462, July 13, 2005; 71 FR 39184, July 11, they were produced before the stand-
2006] ards of 40 CFR part 94 started to apply.
EFFECTIVE DATE NOTE: At 86 FR 34499, June (iii) Engines that are exempt from
29, 2021, § 1039.1 was amended, effective July the standards of 40 CFR part 94 pursu-
29, 2021. ant to the provisions of 40 CFR part 94
(except for the provisions of 40 CFR
§ 1039.2 Who is responsible for compli- 94.907 or 94.912). For example, an engine
ance? that is exempt under 40 CFR 94.906 be-
The regulations in this part 1039 con- cause it is a manufacturer-owned en-
tain provisions that affect both manu- gine is not subject to the provisions of
facturers and others. However, the re- this part 1039.
quirements of this part are generally (iv) Engines with rated power below
addressed to the manufacturer. The 37 kW.
term ‘‘you’’ generally means the manu- (v) Engines on foreign vessels.
facturer, as defined in § 1039.801, espe- (2) Marine engines are subject to the
cially for issues related to certifi- provisions of this part 1039 if they are
cation. Note that for engines that be- exempt from 40 CFR part 94 based on
come new after being placed into serv- the engine-dressing provisions of 40
360
CFR 94.907 or the common-family pro- (i) Subpart I of this part contains
visions of 40 CFR 94.912. definitions and other reference infor-
(c) Mining engines. Engines used in mation.
underground mining or in underground [69 FR 39213, June 29, 2004, as amended at 70
mining equipment and regulated by the FR 40462, July 13, 2005; 72 FR 53129, Sept. 18,
Mining Safety and Health Administra- 2007]
tion in 30 CFR parts 7, 31, 32, 36, 56, 57,
70, and 75 are not subject to the provi- § 1039.15 Do any other regulation
sions of this part 1039. parts apply to me?
(d) Hobby engines. Engines installed (a) Part 1065 of this chapter describes
in reduced-scale models of vehicles procedures and equipment specifica-
that are not capable of transporting a tions for testing engines to measure ex-
person are not subject to the provisions haust emissions. Subpart F of this part
of this part 1039. 1039 describes how to apply the provi-
(e) Engines used in recreational vehi- sions of part 1065 of this chapter to de-
cles. Engines certified to meet the re- termine whether engines meet the ex-
quirements of 40 CFR part 1051 are not haust emission standards in this part.
subject to the provisions of this part (b) The requirements and prohibi-
1039. tions of part 1068 of this chapter apply
to everyone, including anyone who
[69 FR 39213, June 29, 2004, as amended at 70 manufactures, imports, installs, owns,
FR 40462, July 13, 2005; 73 FR 59191, Oct. 8,
2008; 75 FR 22988, Apr. 30, 2010; 81 FR 74133,
operates, or rebuilds any of the engines
Oct. 25, 2016] subject to this part 1039, or equipment
containing these engines. Part 1068 of
§ 1039.10 How is this part organized? this chapter describes general provi-
sions, including these seven areas:
This part 1039 is divided into the fol-
(1) Prohibited acts and penalties for
lowing subparts:
engine manufacturers, equipment man-
(a) Subpart A of this part defines the ufacturers, and others.
applicability of part 1039 and gives an (2) Rebuilding and other aftermarket
overview of regulatory requirements. changes.
(b) Subpart B of this part describes (3) Exclusions and exemptions for
the emission standards and other re- certain engines.
quirements that must be met to certify (4) Importing engines.
engines under this part. Note that (5) Selective enforcement audits of
§ 1039.102 and § 1039.104 discuss certain your production.
interim requirements and compliance (6) Defect reporting and recall.
provisions that apply only for a limited (7) Procedures for hearings.
time. (c) Other parts of this chapter apply
(c) Subpart C of this part describes if referenced in this part.
how to apply for a certificate of con-
formity.
FR 22988, Apr. 30, 2010]
(d) [Reserved]
(e) Subpart E of this part describes § 1039.20 What requirements from this
general provisions for testing in-use part apply to excluded stationary
engines. engines?
(f) Subpart F of this part describes The provisions of this section apply
how to test your engines (including ref- for engines built on or after January 1,
erences to other parts of the Code of 2006.
Federal Regulations). (a) You must add a permanent label
(g) Subpart G of this part and 40 CFR or tag to each new engine you produce
part 1068 describe requirements, prohi- or import that is excluded under
bitions, and other provisions that § 1039.1(c) as a stationary engine and is
apply to engine manufacturers, equip- not required by 40 CFR part 60, subpart
ment manufacturers, owners, opera- IIII, to meet the requirements of this
tors, rebuilders, and all others. part 1039, or the requirements of 40
(h) Subpart H of this part describes CFR parts 89, 94 or 1042, that are equiv-
how you may generate and use emis- alent to the requirements applicable to
sion credits to certify your engines. marine or land-based nonroad engines
361
§ 1039.30 40 CFR Ch. I (7–1–21 Edition)
for the same model year. To meet la- § 1039.30 Submission of information.
beling requirements, you must do the
Unless we specify otherwise, send all
following things:
(1) Attach the label or tag in one
piece so no one can remove it without the Designated Compliance Officer (see
destroying or defacing it. § 1039.801). See § 1039.825 for additional
(2) Secure it to a part of the engine reporting and recordkeeping provi-
needed for normal operation and not sions.
normally requiring replacement. [81 FR 74133, Oct. 25, 2016]
(3) Make sure it is durable and read-
able for the engine’s entire life.
(4) Write it in English.
Subpart B—Emission Standards
(5) Follow the requirements in and Related Requirements
§ 1039.135(g) regarding duplicate labels
§ 1039.101 What exhaust emission
if the engine label is obscured in the standards must my engines meet
final installation. after the 2014 model year?
(b) Engine labels or tags required
under this section must have the fol- The exhaust emission standards of
lowing information: this section apply after the 2014 model
(1) Include the heading ‘‘EMISSION year. Certain of these standards also
CONTROL INFORMATION.’’ apply for model year 2014 and earlier.
(2) Include your full corporate name This section presents the full set of
and trademark. You may instead in- emission standards that apply after all
clude the fill corporate name and the transition and phase-in provisions
trademark of another company you of § 1039.102 and § 1039.104 expire. See
choose to designate. § 1039.102 and 40 CFR 89.112 for exhaust
(3) State the engine displacement (in emission standards that apply to 2014
liters) and maximum engine power (or and earlier model years. Section
in the case of fire pumps, NFPA name- 1039.105 specifies smoke standards.
plate engine power). (a) Emission standards for transient
(4) State: ‘‘THIS ENGINE IS EX- testing. Transient exhaust emissions
EMPTED FROM THE REQUIRE- from your engines may not exceed the
MENTS OF 40 CFR PARTS 89 AND 1039 applicable emission standards in Table
AS A ‘‘STATIONARY ENGINE.’’ IN- 1 of this section. Measure emissions
STALLING OR USING THIS ENGINE using the applicable transient test pro-
IN ANY OTHER APPLICATION MAY cedures described in subpart F of this
BE A VIOLATION OF FEDERAL LAW part. The following engines are not
SUBJECT TO CIVIL PENALTY.’’ subject to the transient standards in
(c) Stationary engines required by 40 this paragraph (a):
CFR part 60, subpart IIII, to meet the (1) Engines above 560 kW.
requirements of this part 1039, or part (2) Constant-speed engines.
89, 94 or 1042, must meet the labeling (b) Emission standards for steady-state
requirements of 40 CFR 60.4210. testing. Steady-state exhaust emissions
[69 FR 39213, June 29, 2004, as amended at 71 from your engines may not exceed the
FR 39185, July 11, 2006; 76 FR 37977, June 28, applicable emission standards in Table
2011] 1 of this section. Measure emissions
EFFECTIVE DATE NOTE: At 86 FR 34499, June using the applicable steady-state test
29, 2021, § 1039.20 was amended, effective July procedures described in subpart F of
29, 2021. this part.
TABLE 1 OF § 1039.101—TIER 4 EXHAUST EMISSION STANDARDS AFTER THE 2014 MODEL YEAR, G/
KW-HR 1
NOX +
Maximum engine power Application PM NOX NMHC CO
NMHC
kW <19 ........................... All ................................... 2 0.40 ...................... .................... 7.5 3 6.6
19 ≤kW <56 .................... All ................................... 0.03 ...................... .................... 4.7 4 5.0
56 ≤kW <130 .................. All ................................... 0.02 0.40 0.19 .................... 5.0
130 ≤kW ≤560 ................ All ................................... 0.02 0.40 0.19 .................... 3.5
Generator sets ............... 0.03 0.67 0.19 .................... 3.5
362
TABLE 1 OF § 1039.101—TIER 4 EXHAUST EMISSION STANDARDS AFTER THE 2014 MODEL YEAR, G/
KW-HR 1—Continued
NOX +
Maximum engine power Application PM NOX NMHC CO
NMHC
kW >560 ......................... All except generator sets 0.04 3.5 0.19 .................... 3.5
1 Notethat some of these standards also apply for 2014 and earlier model years. This table presents the full set of emission
standards that apply after all the transition and phase-in provisions of § 1039.102 expire.
2 See paragraph (c) of this section for provisions related to an optional PM standard for certain engines below 8 kW.
3 The CO standard is 8.0 g/kW-hr for engines below 8 kW.
4 The CO standard is 5.5 g/kW-hr for engines below 37 kW.
(c) Optional PM standard for engines credits under the averaging, banking,
below 8 kW. You may certify hand- and trading (ABT) program, as de-
startable, air-cooled, direct injection scribed in subpart H of this part. This
engines below 8 kW to an optional Tier requires that you specify a family
4 PM standard of 0.60 g/kW-hr. The emission limit (FEL) for each pollut-
term hand-startable generally refers to ant you include in the ABT program
engines that are started using a hand for each engine family. These FELs
crank or pull cord. This PM standard serve as the emission standards for the
applies to both steady-state and tran- engine family with respect to all re-
sient testing, as described in para-
quired testing instead of the standards
graphs (a) and (b) of this section. En-
specified in paragraphs (a) and (b) of
gines certified under this paragraph (c)
may not be used to generate PM or this section. The FELs determine the
NOX + NMHC emission credits under not-to-exceed standards for your en-
the provisions of subpart H of this part. gine family, as specified in paragraph
These engines may use PM or NOX + (e) of this section.
NMHC emission credits, subject to the (1) Primary FEL caps. The FEL may
FEL caps in paragraph (d)(1) of this not be higher than the limits in Table
section. 2 of this section, except as allowed by
(d) Averaging, banking, and trading. paragraph (d)(2) of this section or by
You may generate or use emission § 1039.102:
TABLE 2 OF § 1039.101—TIER 4 FEL CAPS AFTER THE 2014 MODEL YEAR, G/KW-HR
NOX +
Maximum engine power Application PM 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 fied in paragraph (d)(1) of this section
power category, you may use the alter- for up to 5 percent of your U.S.-di-
nate FEL caps shown in Table 3 of this rected production volume in a given
section instead of the FEL caps identi- model year.
TABLE 3 OF § 1039.101—ALTERNATE FEL CAPS, G/KW-HR
Starting PM FEL NOX FEL
Maximum engine power model year 1 cap cap
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§ 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 § 1039.102, these alternate FEL caps apply starting with
the 2017 model year.
363
§ 1039.101 40 CFR Ch. I (7–1–21 Edition)
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 NO emissions.
X
4 For engines above 560 kW, the provision for alternate NO FEL caps is limited to generator-set engines. For example, if you
X
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 NTE standard for each pollutant =

emissions from your engines may not (STD) × (M)
exceed the applicable not-to-exceed Where:
(NTE) standards in this paragraph (e). STD = The standard specified for that pollut-
(1) Measure emissions using the pro- ant in Table 1 of this section (or para-
cedures described in subpart F of this graph (c) of this section) if you certify
part. without using ABT for that pollutant; or
(2) Except as noted in paragraph the FEL for that pollutant if you certify
using ABT.
(e)(7) of this section, the NTE standard,
M = The NTE multiplier for that pollutant,
rounded to the same number of decimal as defined in paragraph (e)(3) of this sec-
places as the applicable standard in tion.
Table 1 of this section, is determined
(3) The NTE multiplier for each pol-
from the following equation:
lutant is 1.25, except in the following
cases:
If . . . Or . . . Then . . .
(i) The engine family is certified to a NOX The engine family is certified to a NOX The multiplier for NOX, NMHC, and NOX
standard less than 2.50 g/kW-hr without FEL less than 2.50 g/kW-hr or a NOX + NMHC is 1.50.
using ABT. + NMHC FEL less than 2.70 g/kW-hr.
(ii) The engine family is certified to a PM The engine family is certified to a PM The multiplier for PM is 1.50.
standard less than 0.07 g/kW-hr without FEL less than 0.07 g/kW-hr.
using ABT.
(4) There are two sets of specifica- lowed are specified in 40 CFR 86.1370–
tions of ambient operating regions that 2007(e).
will apply for all NTE testing of en- (i) If you choose the ambient oper-
gines in an engine family. You must ating region specified in paragraph
choose one set for each engine family (e)(4)(i) of this section, the tempera-
and must identify your choice of ambi- ture and humidity ranges for which
ent operating regions in each applica- correction factors are allowed are de-
tion for certification for an engine fined in 40 CFR 86.1370–2007(e)(1).
family. You may choose separately for (ii) If you choose the ambient oper-
each engine family. Choose one of the ating region specified in paragraph
following ambient operating regions: (e)(4)(ii) of this section, the tempera-
(i) All altitudes less than or equal to ture and humidity ranges for which
5,500 feet above sea level during all am- correction factors are allowed are de-
bient temperature and humidity condi- fined in 40 CFR 86.1370–2007(e)(2).
tions. (6) For engines equipped with ex-
(ii) All altitudes less than or equal to haust-gas recirculation, the NTE
5,500 feet above sea level, for tempera- standards of this section do not apply
tures less than or equal to the tem- during the cold operating conditions
perature determined by the following specified in 40 CFR 86.1370–2007(f).
equation at the specified altitude: (7) For engines certified to a PM FEL
less than or equal to 0.01 g/kW-hr, the
T = ¥0.00254 × A + 100 PM NTE standard is 0.02 g/kW-hr.
(f) Fuel types. The exhaust emission
Where:
standards in this section apply for en-
T = ambient air temperature in degrees gines using the fuel type on which the
Fahrenheit.
engines in the engine family are de-
A = altitude in feet above sea level (A is neg-
signed to operate, except for engines
ative for altitudes below sea level).
certified under § 1039.615. For engines
(5) Temperature and humidity ranges certified under § 1039.615, the standards
for which correction factors are al- of this section apply to emissions
364
measured using the specified test fuel. (3) Other engines: NMHC emissions.
You must meet the numerical emission (g) Useful life. Your engines must
standards for NMHC in this section meet the exhaust emission standards in
based on the following types of hydro- paragraphs (a) through (e) of this sec-
carbon emissions for engines powered tion over their full useful life.
by the following fuels: (1) The useful life values are shown in
(1) Alcohol-fueled engines: THCE the following table, except as allowed
emissions.
by paragraph (g)(2) of this section:
(2) Gaseous-fueled engines: Non-
methane-nonethane hydrocarbon emis-
sions.
TABLE 4 OF § 1039.101—USEFUL LIFE VALUES
If your engine is certified as And its maximum power is And its rated speed is . . . Then its useful life is . . .
. . . . . .
(i) Variable speed or constant kW <19 ................................... Any Speed ............................. 3,000 hours or five years,
speed. whichever comes first.
(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,
(iv) Variable ............................. 19 ≤kW <37 ........................... Any Speed ............................. 5,000 hours or seven years,
(v) Variable speed or constant kW ≥37 ................................... Any speed .............................. 8,000 hours or ten years,
speed. whichever comes first.
(2) You may request in your applica- (h) Applicability for testing. The emis-
tion for certification that we approve a sion standards in this subpart apply to
shorter useful life for an engine family. all testing, including certification, se-
We may approve a shorter useful life, lective enforcement audits, and in-use
in hours of engine operation but not in testing. For selective enforcement au-
years, if we determine that these en- dits, we will require you to perform
gines will rarely operate longer than duty-cycle testing as specified in
the shorter useful life. If engines iden- §§ 1039.505 and 1039.510. The NTE stand-
tical to those in the engine family have ards of this section apply for those
already been produced and are in use, tests. We will not direct you to do addi-
your demonstration must include docu- tional testing under a selective en-
mentation from such in-use engines. In forcement audit to show that your en-
other cases, your demonstration must gines meet the NTE standards.
include an engineering analysis of in-
formation equivalent to such in-use FR 40462, July 13, 2005; 81 FR 74133, Oct. 25,
data, such as data from research en- 2016]
gines or similar engine models that are
already in production. Your dem-
onstration must also include any over- 29, 2021.
haul interval that you recommend, any
mechanical warranty that you offer for § 1039.102 What exhaust emission
the engine or its components, and any standards and phase-in allowances
relevant customer design specifica- apply for my engines in model year
tions. Your demonstration may include 2014 and earlier?
any other relevant information. The The exhaust emission standards of
useful life value may not be shorter this section apply for 2014 and earlier
than any of the following: model years. See § 1039.101 for exhaust
(i) 1,000 hours of operation. emission standards that apply to later
(ii) Your recommended overhaul in- model years. See 40 CFR 89.112 for ex-
terval. haust emission standards that apply to
(iii) Your mechanical warranty for model years before the standards of
the engine. this part 1039 take effect.
365
§ 1039.102 40 CFR Ch. I (7–1–21 Edition)
(a) Emission standards for transient ards in this section to avoid using tem-
testing. Transient exhaust emissions porary compliance adjustment factors,
from your engines may not exceed the as described in § 1039.104(g)(2). Note
applicable emission standards in Ta- that in some cases this four-year pe-
bles 1 through 6 of this section. Meas- riod extends into the time covered by
ure emissions using the applicable the standards in § 1039.101.
transient test procedures described in (iv) Constant-speed engines.
subpart F of this part. See paragraph (v) Engines above 560 kW.
(c) of this section for a description of (2) The transient standards in this
provisions related to the phase-in and section for gaseous pollutants do not
phase-out standards shown in Tables 4 apply to phase-out engines that you
through 6 of this section. The emission certify to the same numerical stand-
standards for transient testing are lim- ards (and FELs if the engines are cer-
ited for certain engines, as follows: tified using ABT) for gaseous pollut-
(1) The transient standards in this ants as you certified under the Tier 3
section do not apply for the following requirements of 40 CFR part 89. How-
engines: ever, except as specified by paragraph
(i) Engines below 37 kW for model (a)(1) of this section, the transient PM
years before 2013. emission standards apply to these en-
(ii) Engines certified under Option #1 gines.
of Table 3 of this section. These are the (b) Emission standards for steady-
small-volume manufacturer engines state testing. Steady-state exhaust
certified to the Option #1 standards for emissions from your engines may not
model years 2008 through 2015 under exceed the applicable emission stand-
§ 1039.104(c), and other engines certified ards in Tables 1 through 7 of this sec-
to the Option #1 standards for model tion. Measure emissions using the ap-
years 2008 through 2012. plicable steady-state test procedures
(iii) Engines certified to an alternate described in subpart F of this part. See
FEL during the first four years of the paragraph (c) of this section for a de-
Tier 4 standards for the applicable scription of provisions related to the
power category, as allowed in phase-in and phase-out standards
§ 1039.104(g). However, you may certify shown in Tables 4 through 6 of this sec-
these engines to the transient stand- tion.
TABLE 1 OF § 1039.102—TIER 4 EXHAUST EMISSION STANDARDS (G/KW-HR): KW <19
NOX +
Maximum engine power Model years PM CO
NMHC
kW <8 .................................................................................................... 2008–2014 1 0.40 7.5 8.0

8 ≤kW <19 ............................................................................................. 2008–2014 0.40 7.5 6.6
1 For engines that qualify for the special provisions in § 1039.101(c), you may delay certifying to the standards in this part 1039
until 2010. In 2009 and earlier model years, these engines must instead meet the applicable Tier 2 standards and other require-
ments from 40 CFR part 89. Starting in 2010, these engines must meet a PM standard of 0.60 g/kW-hr, as described in
§ 1039.101(c). Engines certified to the 0.60 g/kWhr PM standard may not generate ABT credits.
TABLE 2 OF § 1039.102—INTERIM TIER 4 EXHAUST EMISSION STANDARDS (G/KW-HR): 19 >KW <37

NOX +
Model years PM CO
NMHC
2008–2012 ..................................................................................................................... 0.30 7.5 5.5

2013–2014 ..................................................................................................................... 0.03 4.7 5.5

NOX +
Option 1 Model years PM CO
NMHC
#1 .......................................................................................................... 2008–2012 0.30 4.7 5.0

#2 .......................................................................................................... 2012 0.03 4.7 5.0
366
TABLE 3 OF § 1039.102—INTERIM TIER 4 EXHAUST EMISSION STANDARDS (G/KW-HR): 37 >KW

<56—Continued
NOX +
Option 1 Model years PM CO
NMHC
All .......................................................................................................... 2013–2014 0.03 4.7 5.0

1You may certify engines to the Option #1 or Option #2 standards starting in the listed model year. Under Option #1, all en-
gines at or above 37 kW and below 56 kW produced before the 2013 model year must meet the applicable Option #1 standards
in this table. These engines are considered to be ‘‘Option #1 engines.’’ Under Option #2, all these engines produced before the
2012 model year must meet the applicable standards under 40 CFR part 89. Engines certified to the Option #2 standards in
model year 2012 are considered to be ‘‘Option #2 engines.’’

NOX +
Model years 1 Phase-in option PM NOX NMHC CO
NMHC
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.

NOX +
NMHC
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.
TABLE 6 OF § 1039.102—INTERIM TIER 4 EXHAUST EMISSION STANDARDS (G/KW-HR): 130 >KW

<560
NOX +
NMHC
2011–2013 ....................... Phase-in .......................... 0.02 0.40 0.19 .................... 3.5
Phase-out ........................ 0.02 .................... .................... 4.0 3.5
2014 ................................. All engines ....................... 0.02 0.40 0.19 .................... 3.5
TABLE 7 OF § 1039.102—INTERIM TIER 4 EXHAUST EMISSION STANDARDS (G/KW-HR): KW >560

Model years Maximum engine power Application PM NOX NMHC CO
2011–2014 ........... 560 <kW ≤900 ....................... All ........................................... 0.10 3.5 0.40 3.5
kW >900 ................................. Generator sets ....................... 0.10 0.67 0.40 3.5
All except generator sets ....... 0.10 3.5 0.40 3.5
(c) Phase-in requirements. The fol- representing at least 50 percent of your

lowing phase-in provisions apply for U.S.-directed production volume for
engines in 56–560 kW power categories each power category to the applicable
meeting the interim Tier 4 standards in phase-in standards, except as allowed
paragraphs (a) and (b) of this section: by paragraph (c)(3), (d)(2), or (e) of this
(1) For each model year before 2014 section. Any engines not certified to
noted in Tables 4 through 6 of this sec-

tion, you must certify engine families
367
§ 1039.102 40 CFR Ch. I (7–1–21 Edition)
the phase-in standards must be cer- (iii) No shortfall is allowed in the

tified to the corresponding phase-out final year of the phase-in.
standards. (4) Engines you introduce into com-
(2) Engines certified to the phase-out merce beyond the limits described in
standards in Tables 4 through 6 of this paragraphs (c)(3) of this section will be
section must comply with all other re- considered not covered by a certificate
quirements that apply to Tier 4 en- of conformity and in violation of
gines, except as otherwise specified in § 1068.101(a)(1).
this section. (5) For the purposes of this part, the
(3) At the time of certification, show term ‘‘phase-in’’ means relating to a
how you intend to meet the phase-in standard that is identified in this sec-
requirements of this paragraph (c) tion as a phase-in standard and the
based on projected U.S.-directed pro- term ‘‘phase-out’’ means relating to a
duction volumes. If your actual U.S.- standard that is identified in this sec-
directed production volume fails to tion as a phase-out standard. For ex-
meet the phase-in requirements for a ample, a 200–kW engine from the 2012
given model year, you must make up model year that is certified to the 4.0 g/
the shortfall (in terms of number of en- kW-hr NOX + NMHC standard in Table
gines) by the end of the model year rep- 6 of § 1039.102 is a phase-out engine.
resenting the final year of the phase-in (d) Banked credits and alternate phase-
period. For example, if you plan in in for 56–130 kW engines. For engines in
good faith to produce 50 percent of a the 56–130 kW power category, you may
use only one of the following additional
projected 10,000 engines in the 56–130
provisions:
kW power category (i.e., 5,000 engines)
(1) For model years 2012 through 2014,
in 2012 in compliance with the Tier 4
you may use banked NOX + NMHC cred-
phase-in standards for NOX and NMHC
its from any Tier 2 engine at or above
in Table 4 of this section, but produce
37 kW certified under 40 CFR part 89 to
4,500 such engines of an actual 10,000
meet the NOX phase-in standards or the
engines, you must produce 500 engines
NOX + NMHC phase-out standards
in model year 2013 (i.e., the final year
under paragraphs (b) and (c) of this sec-
of the phase-in for this power category)
tion, subject to the additional ABT
that meet the Tier 4 phase-in standards
provisions in § 1039.740.
above and beyond the production oth- (2) Instead of meeting the phase-in
erwise needed to meet the 50-percent requirements of paragraph (c)(1) of this
phase-in requirement for model year section, you may certify engine fami-
2013. If any shortfall exceeds the appli- lies representing at least 25 percent of
cable limit of paragraph (c)(3)(i) or (ii) your U.S.-directed production volume
of this section, that number of phase- for each model year from 2012 through
out engines will be considered not cov- 2014 to the applicable phase-in stand-
ered by a certificate of conformity and ards in Tables 4 and 5 of this section,
in violation of § 1068.101(a)(1). The except as allowed by paragraph (c)(3) or
shortfall allowed by this paragraph (e) of this section. Any engines not cer-
(c)(3) may not exceed a certain number tified to the phase-in standards must
of engines, as follows: be certified to the corresponding phase-
(i) For engine families certified ac- out standards. Engines certified under
cording to the alternate phase-in this paragraph (d)(2) may generate NOX
schedule described in paragraph (d)(2) emission credits only for averaging
of this section, for model years prior to within the same power category during
the final year of the phase-in, 5 percent the same model year. For engines cer-
of your actual U.S.-directed production tified under this paragraph (d)(2), the
volume for that power category in that 2014 model year may not extend beyond
model year. December 30, 2014.
(ii) For all other engine families, for (e) Alternate NOX standards. For en-
model years prior to the final year of gines in 56–560 kW power categories
the phase-in, 25 percent of your actual during the phase-in of Tier 4 standards,
U.S.-directed production volume for you may certify engine families to the
that power category in that model alternate NOX or NOX + NMHC stand-
year. ards in this paragraph (e) instead of the
368
phase-in and phase-out NOX and NOX + Engines certified to the NOX +NMHC
NMHC standards described in Tables 4 standards of this paragraph (e)(3) may
through 6 of this section. Engines cer- not generate emission credits. The FEL
tified to an alternate NOX standard caps for engine families certified under
under this section must be certified to this paragraph (e)(3) are the previously
an NMHC standard of 0.19 g/kW-hr. Do applicable NOX +NMHC standards of 40
not include engine families certified CFR 89.112 (generally the Tier 3 stand-
under this paragraph (e) in determining ards).
whether you comply with the percent- (f) Split families. For generating or
age phase-in requirements of para- using credits for engines in 56–560 kW
graphs (c) and (d)(2) of this section. Ex- power categories during the phase-in of
cept for the provisions for alternate Tier 4 standards, you may split an en-
FEL caps in § 1039.104(g), the NOX and gine family into two subfamilies (for
NOX + NMHC standards and FEL caps example, one that uses credits and one
under this paragraph (e) are as follows: that generates credits for the same pol-
(1) For engines in the 56–130 kW lutant).
power category, apply the following al- (1) Identify any split engine families
ternate NOX standards and FEL caps: in your application for certification.
(i) If you use the provisions of para- Your engines must comply with all the
graph (d)(1) of this section, your alter- standards and requirements applicable
nate NOX standard for any engine fam- to Tier 4 engines, except as noted in
ily in the 56–130 kW power category is this paragraph (f). You may calculate
2.3 g/kW-hr for model years 2012 and emission credits relative to different
2013. Engines certified to this standard emission standards (i.e., phase-in and
may not exceed a NOX FEL cap of 3.0 g/ phase-out standards) for different sets
kW-hr. of engines within the engine family,
(ii) If you use the provisions of para- but the engine family must be certified
graph (d)(2) of this section, your alter- to a single set of standards and FELs.
nate NOX standard for any engine fam- To calculate NOX + NMHC emission
ily in the 56–130 kW power category is credits, add the NOX FEL to the NMHC
3.4 g/kW-hr for model years 2012 phase-in standard for comparison with
through 2014. Engines below 75 kW cer- the applicable NOX + NMHC phase-out
tified to this standard may not exceed standard. Any engine family certified
a NOX FEL cap of 4.4 g/kW-hr; engines under this paragraph (f) must meet the
at or above 75 kW certified to this applicable phase-in standard for NMHC.
standard may not exceed a NOX FEL You may assign the number and con-
cap of 3.8 g/kW-hr. figurations of engines within the re-
(iii) If you do not use the provisions spective subfamilies any time before
of paragraph (d) of this section, you the due date for the final report re-
may apply the alternate NOX standard quired in § 1039.730. Apply the same
and the appropriate FEL cap from ei- label to each engine in the family, in-
ther paragraph (e)(1)(i) or (ii) of this cluding the NOX FEL to which it is cer-
section. tified.
(2) For engines in the 130–560 kW (2) For example, a 10,000-unit engine
power category, the alternate NOX family in the 75–130 kW power category
standard is 2.0 g/kW-hr for model years may be certified to meet the standards
2011 through 2013. Engines certified to for PM, NMHC, and CO that apply to
this standard may not exceed a NOX phase-in engines, with a 0.8 g/kW-hr
FEL cap of 2.7 g/kW-hr. FEL for NOX. When compared to the
(3) You may use NOX +NMHC emis- phase-out NOX + NMHC standard, this
sion credits to certify an engine family engine family would generate positive
to the alternate NOX +NMHC standards NOX + NMHC emission credits. When
in this paragraph (e)(3) instead of the compared to the phase-in NOX stand-
otherwise applicable alternate NOX and ard, this engine family would generate
NMHC standards. Calculate the alter- negative NOX emission credits. You
nate NOX +NMHC standard by adding could create a subfamily with 2,500 en-
0.1 g/kW-hr to the numerical value of gines (one-quarter of the 10,000 engines)
the applicable alternate NOX standard and identify them as phase-in engines.
of paragraph (e)(1) or (2) of this section. You would count these 2,500, with their
369
§ 1039.102 40 CFR Ch. I (7–1–21 Edition)
negative NOX credits, in determining model years 2008 through 2015 under
compliance with the 50-percent phase- § 1039.104(c), and other engines certified
in requirement in paragraph (c)(1) of to the Option #1 standards for model
this section. You would calculate nega- years 2008 through 2012.
tive credits relative to the 0.40 g/kW-hr (iii) All engines less than or equal to
NOX standard for these 2,500 engines. 560 kW that are certified to an FEL
You would identify the other 7,500 en- under the alternate FEL program dur-
gines in the family as phase-out ening the first four years of the Tier 4
gines and calculate positive credits rel- standards for the applicable power cat-
ative to the 4.0 g/kW-hr NOX + NMHC egory, as described in § 1039.104(g). How-
standard. ever, if you apply to meet transient
(g) Other provisions. The provisions of emission standards for these engines
§ 1039.101(d) through (h) apply with re- under § 1039.102(a)(1)(iii), you must also
spect to the standards of this section, meet the NTE standards in this para-
with the following exceptions and spe- graph (g)(1).
cial provisions: (iv) Gaseous pollutants for phase-out
(1) NTE standards. Use the provisions engines that you certify to the same
of § 1039.101(e)(3) to calculate and apply numerical standards and FELs for gas-
the NTE standards, but base these cal- eous pollutants to which you certified
culated values on the applicable stand- under the Tier 3 requirements of 40
ards in this section or the applicable CFR part 89. However, the NTE stand-
FEL, instead of the standards in Table ards for PM apply to these engines.
1 of § 1039.101. All other provisions of (2) Interim FEL caps. As described in
§ 1039.101(e) apply under this paragraph § 1039.101(d), you may participate in the
(g)(1). The NTE standards do not apply ABT program in subpart H of this part
for certain engines and certain pollut- by certifying engines to FELs for PM,
ants, as follows: NOX, or NOX + NMHC instead of the
(i) All engines below 37 kW for model standards in Tables 1 through 7 of this
years before 2013. section for the model years shown. The
(ii) All engines certified under Option FEL caps listed in the following table
#1 of Table 3 of this section. These are apply instead of the FEL caps in
small-volume manufacturer engines § 1039.101(d)(1), except as allowed by
certified to the Option #1 standards for § 1039.104(g):
TABLE 8 OF § 1039.102—INTERIM TIER 4 FEL CAPS, G/KW-HR
Maximum Phase-in NOX +
Model years 1 PM NOX
engine power option NMHC
kW <19 ............................................ .............................................. 2008–2014 0.80 .................... 2 9.5
19 ≤kW <37 ..................................... .............................................. 2008–2012 0.60 .................... 9.5

37 ≤kW <56 ..................................... .............................................. 3 2008–2012 0.40 .................... 7.5
56 ≤kW <130 ................................... phase-in ............................... 2012–2013 0.04 0.80 ....................
56 ≤kW <130 ................................... phase-out ............................. 2012–2013 0.04 .................... 4 6.6
130 ≤kW ≤560 ................................. phase-in ............................... 2011–2013 0.04 0.80 ....................
130 ≤kW ≤560 ................................. phase-out ............................. 2011–2013 0.04 .................... 5 6.4
kW >560 .......................................... .............................................. 2011–2014 0.20 6.2 ....................

1 Formodel years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in § 1039.101.
2 Forengines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX + NMHC emissions.
3 Formanufacturers certifying engines to the standards of this part 1039 in 2012 under Option #2 of Table 3 of § 1039.102, the
FEL caps for 37–56 kW engines in the 19–56 kW category of Table 2 of § 1039.101 apply for model year 2012 and later; see 40
CFR part 89 for provisions that apply to earlier model years.
4 For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NO + NMHC emissions.
X
5 For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NO + NMHC emissions.
X
(3) Crankcase emissions. The crankcase (4) Special provisions for 37–56 kW en-
emission requirements of § 1039.115(a) gines. For engines at or above 37 kW
do not apply to engines using charge- and below 56 kW from model years 2008
air compression that are certified to an
FEL under the alternate FEL program
in § 1039.104(g) during the first four
years of the Tier 4 standards for the ap-

plicable power category.
370
through 2012, you must add informa- this paragraph (a) or under § 1039.627,
tion to the emission-related installa- you must meet the following general
tion instructions to clarify the equip- provisions:
ment manufacturer’s obligations under (i) You may not generate offsets from
§ 1039.104(f). engines below 19 kW.
[69 FR 39213, June 29, 2004, as amended at 72 (ii) You must begin actual production
FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8, of engines covered by the cor-
2008; 75 FR 68461, Nov. 8, 2010; 81 FR 74033, responding certificate by the following
Oct. 25, 2016] dates:
EFFECTIVE DATE NOTE: At 86 FR 34500, June (A) For engines at or above 19 kW
29, 2021, § 1039.102 was amended, effective July and below 37 kW: September 1, 2012.
29, 2021. (B) For engines at or above 37 kW and
below 56 kW: September 1, 2012 if you
§ 1039.104 Are there interim provisions
that apply only for a limited time? choose Option #1 in Table 3 of § 1039.102,
or September 1, 2011 if you do not
The provisions in this section apply choose Option #1 in Table 3 of § 1039.102.
instead of other provisions in this part. (C) For engines in the 56–130 kW
This section describes when these in- power category: September 1, 2011.
terim provisions apply.
(D) For engines in the 130–560 kW
(a) Incentives for early introduction.
power category: September 1, 2010.
This paragraph (a) allows you to reduce
the number of engines subject to the (E) For engines above 560 kW: Sep-
applicable standards in § 1039.101 or tember 1, 2014.
§ 1039.102, when some of your engines (iii) Engines you produce after De-
are certified to the specified levels ear- cember 31 of the year shown in para-
lier than otherwise required. The en- graph (a)(1)(ii) of this section may not
gines that are certified early are con- generate offsets.
sidered offset-generating engines. The (iv) You may not use ABT credits to
provisions of this paragraph (a), which certify offset-generating engines.
describe the requirements applicable to (v) Offset-generating engines must be
offset-generating engines, apply begin- certified to the Tier 4 standards and re-
ning in model year 2007. These offset quirements under this part 1039.
generating engines may generate addi- (2) If equipment manufacturers de-
tional allowances for equipment manu- cline offsets for your offset-generating
facturers under the incentive program engines under § 1039.627, you may not
described in § 1039.627; you may instead generate ABT credits with these en-
use these offsets under paragraph (a)(2) gines, but you may reduce the number
of this section in some cases. of engines that are required to meet
(1) For early-compliant engines to the standards in § 1039.101 or § 1039.102
generate offsets for use either under as follows:
That are certified to You may reduce the number of en-
With maximum en- In later model years
For every . . . the applicable stand- gines in the same power category
gine power . . . by . . .
ards in . . . that are required to meet the . . .
(i) 2 engines ....... 19 ≤kW <37 .............. Table 2 of PM standard in Table 2 of 3 engines.
§ 1039.102 1. § 1039.102 applicable to model
year 2013 or 2014 engines or
the PM standard in Table 1 of
§ 1039.101.
(ii) 2 engines ...... 56 ≤kW ≤560 ............ Table 4, 5, or 6 of Phase-out standards in Tables 4 3 engines.
§ 1039.102 for through 6 of § 1039.102.
Phase-out engines.
(iii) 2 engines ..... kW ≥19 ...................... Table 1 of § 1039.101 Standards in Tables 2 through 7 of 3 engines. 2
§ 1039.102 or standards in Table
1 of § 1039.101.
(iv) 1 engine ....... kW ≥19 ...................... Table 1 of § 1039.101 Standards in Tables 2 through 7 of 2 engines. 2
+ 0.20 g/kW-hr § 1039.102 or standards in Table
NOX standard. 1 of § 1039.101.
1 The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NO + NMHC and CO
X
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 en-
gines for other applications may be used only for other applications besides generator sets.
371
§ 1039.104 40 CFR Ch. I (7–1–21 Edition)
(3) Example: If you produce 100 en- GINE MEETS U.S. EPA EMISSION
gines in the 56–130 kW power category STANDARDS UNDER 40 CFR
in model year 2008 that are certified to 1039.104(a).’’ For power categories with
the 56–130 kW standards listed in a percentage phase-in, these engines
§ 1039.101, and you produced 10,000 en- should be treated as phase-in engines
gines in this power category in model for purposes of determining compliance
year 2015, then only 9,850 of these with phase-in requirements.
model year 2015 engines would need to (5) If an equipment manufacturer
comply with the standards listed in claims offsets from your engine for use
§ 1039.101. The 100 offset-generating en- under § 1039.627, the engine generating
gines in model year 2008 could not use the offset must comply with the re-
or generate ABT credits. quirements of paragraph (a)(1) of this
(4) Offset-using engines (that is, section. You may not generate offsets
those not required to certify to the for use under paragraphs (a)(2) and (5)
standards of § 1039.101 or § 1039.102 under of this section for these engines. You
paragraph (a)(2) of this section) are may generate ABT credits from these
subject to the following provisions: engines as follows:
(i) If the offset is being used under (i) To generate emission credits for
paragraph (a)(2)(i) of this section for an NOX, NOX + NMHC, and PM, the engine
engine that would otherwise be cer- must be certified to FELs at or below
tified to the model year 2013 or 2014 the standards in paragraph (a)(2) of
standards in Table 2 of § 1039.102 or the this section.
standards in Table 1 of § 1039.101, this (ii) Calculate credits according to
engine must be certified to the stand- § 1039.705 but use as the applicable
ards and requirements of this part 1039, standard the numerical value of the
except that the only PM standard that standard to which the engine would
applies is the steady-state PM standard have otherwise been subject if it had
that applies for model year 2012. Such not been certified under this paragraph
an engine may not generate ABT cred- (a).
its. (iii) For the production volume, use
(ii) If the offset is being used under the number of engines certified under
paragraph (a)(2)(ii) of this section for this paragraph (a) for which you do not
an engine that would otherwise be cer- claim offsets under paragraph (a)(2) of
tified to the phase-out standards in Ta- this section.
bles 4 through 6 of § 1039.102, this engine (6) You may include engines used to
must be certified to the standards and generate offsets under this paragraph
requirements of this part 1039, except (a) and engines used to generate offsets
that the PM standard is the Tier 3 PM under § 1039.627 in the same engine fam-
standard that applies for this engine’s ily, subject to the provisions of
maximum power. Such an engine will § 1039.230. The engine must be certified
be treated as a phase-out engine for to FELs, as specified in paragraph
purposes of determining compliance (a)(5)(i) of this section. The FELs must
with percentage phase-in requirements. be below the standard levels specified
Such an engine may not generate ABT in paragraph (a)(2) of this section and
credits. those specified in § 1039.627. In the re-
(iii) All other offset-using engines ports required in § 1039.730, include the
must meet the standards and other following information for each model
provisions that apply in model year year:
2011 for engines in the 19–130 kW power (i) The total number of engines that
categories, in model year 2010 for en- generate offsets under this paragraph
gines in the 130–560 kW power category, (a).
or in model year 2014 for engines above (ii) The number of engines used to
560 kW. Show that engines meet these generate offsets under paragraph (a)(2)
emission standards by meeting all the of this section.
requirements of § 1068.265. You must (iii) The names of equipment manu-
meet the labeling requirements in facturers that intend to use your off-
§ 1039.135, but add the following state- sets under § 1039.627 and the number of
ment instead of the compliance state- offsets involved for each equipment
ment in § 1039.135(c)(12): ‘‘THIS EN- manufacturer.
372
(b) In-use compliance limits. For pur- FEL no higher than 2.1 g/kW-hr The
poses of determining compliance after PM adjustment applies only for engines
title or custody has transferred to the with a PM FEL no higher than the PM
ultimate purchaser, calculate the ap- standard in § 1039.101 for the appro-
plicable in-use compliance limits by priate power category. Add the fol-
adjusting the applicable standards or lowing adjustments to the otherwise
FELs. This applies only for engines at applicable standards or FELs (steady-
or above 19 kW. The NOX adjustment state, transient, and NTE) for NOX and
applies only for engines with a NOX PM:
The PM
If your engine’s maximum adjustment in
In model years . . . The NOX adjustment in g/kW-hr is . . .
power is . . . g/kW-hr is
. . .
2013–2014 ......................... 19 ≤kW <56 ......................... not allowed .............................................................. 0.01

2012–2016 ......................... 56 ≤kW <130 ....................... 0.16 for operating hours ≤2000 .............................. 0.01
0.25 for operating hours 2001 to 3400 ...................
0.34 for operating hours >3400 ..............................
2011–2015 ......................... 130 ≤kW <560 ..................... 0.16 for operating hours ≤2000 .............................. 0.01
2011–2016 ......................... kW >560 .............................. 0.16 for operating hours ≤2000 .............................. 0.01
(c) Provisions for small-volume manu- ing before January 1, 2008 if you intend
facturers. Special provisions apply if to use these provisions.
you are a small-volume engine manu- (1) You may delay complying with
facturer subject to the requirements of certain otherwise applicable Tier 4
this part. You must notify us in writ- emission standards and requirements
as described in the following table:
If your engine’s maximum Until model Before that model year the en-
You may delay meeting . . .
power is . . . year . . . gine must comply with . . .
kW <19 .............................. The standards and requirements of this part ....... 2011 The standards and requirements
in 40 CFR part 89.
19 ≤kW <37 ....................... The Tier 4 standards and requirements of this 2016 The Tier 4 standards and re-
part that would otherwise be applicable in quirements that apply for
model year 2013. model year 2008.
37 ≤kW <56 ....................... See paragraph (c)(2) of this section for special provisions that apply for engines in this power cat-
egory.
56 ≤kW <130 ..................... The standards and requirements of this part ....... 2015 The standards and requirements
in 40 CFR part 89.
(2) To use the provisions of this para- specified in Table 3 of § 1039.102 for
graph (c) for engines at or above 37 kW model years 2013 and later.
and below 56 kW, choose one of the fol- (3) After the delays indicated in para-
lowing: graph (c)(1) and (2) of this section, you
(i) If you comply with the 0.30 g/kW- must comply with the same Tier 4
hr PM standard in § 1039.102 in all standards and requirements as all
model years from 2008 through 2012 other manufacturers.
without using PM credits, you may (4) For engines not in the 19–56 kW
continue meeting that standard power category, if you delay compli-
through 2015. ance with any standards under this
(ii) If you do not choose to comply paragraph (c), you must do all the fol-
with paragraph (c)(2)(i) of this section, lowing things for the model years when
you may continue to comply with the you are delaying compliance with the
standards and requirements in 40 CFR otherwise applicable standards:
part 89 for model years through 2012, (i) Produce engines that meet all the
but you must begin complying in 2013 emission standards and other require-
with Tier 4 standards and requirements ments under 40 CFR part 89 applicable
373
§ 1039.104 40 CFR Ch. I (7–1–21 Edition)
for that model year, except as noted in (1) Request our approval for specific
this paragraph (c). deficiencies in your application for cer-
(ii) Meet the labeling requirements in tification, or before you submit your
40 CFR 89.110, but use the following application. We will not approve defi-
compliance statement instead of the ciencies retroactively to cover engines
compliance statement in 40 CFR already certified. In your request, iden-
89.110(b)(10): ‘‘THIS ENGINE COM- tify the scope of each deficiency and
PLIES WITH U.S. EPA REGULATIONS describe any auxiliary emission-con-
FOR [CURRENT MODEL YEAR] trol devices you will use to control
NONROAD COMPRESSION-IGNITION emissions to the lowest practical level,
ENGINES UNDER 40 CFR 1039.104(c).’’. considering the deficiency you are re-
(iii) Notify the equipment manufac- questing.
turer that the engines you produce (2) We will approve a deficiency only
under this section are excluded from if compliance would be infeasible or
the production volumes associated unreasonable considering such factors
with the equipment-manufacturer al- as the technical feasibility of the given
lowance program in § 1039.625. hardware and the applicable lead time
(5) For engines in the 19–56 kW power and production cycles—including
category, if you delay compliance with schedules related to phase-in or phase-
any standards under this paragraph (c), out of engines. We may consider other
you must do all the following things relevant factors.
for the model years when you are de- (3) Our approval applies only for a
laying compliance with the otherwise single model year and may be limited
applicable standards: to specific engine configurations. We
(i) Produce engines in those model may approve your request for the same
years that meet all the emission stand- deficiency in the following model year
ards and other requirements that ap- if correcting the deficiency would re-
plied for your model year 2008 engines quire unreasonable hardware or soft-
in the same power category. ware modifications and we determine
(ii) Meet the labeling requirements in that you have demonstrated an accept-
§ 1039.135, but use the following compli- able level of effort toward complying.
ance statement instead of the compli-
(4) You may ask for any number of
ance statement in § 1039.135: ‘‘THIS EN-
deficiencies in the first three model
GINE COMPLIES WITH U.S. EPA
years during which NTE standards
REGULATIONS FOR [CURRENT
MODEL YEAR] NONROAD COMPRES- apply for your engines. For the next
SION-IGNITION ENGINES UNDER 40 four model years, we may approve up
CFR 1039.104(c).’’. to three deficiencies per engine family.
(iii) Notify the equipment manufac- Deficiencies of the same type that
turer that the engines you produce apply similarly to different power rat-
under this section are excluded from ings within a family count as one defi-
the production volumes associated ciency per family. We may condition
with the equipment-manufacturer al- approval of any such additional defi-
lowance program in § 1039.625. ciencies during these four years on any
(6) The provisions of this paragraph additional conditions we determine to
(c) may not be used to circumvent the be appropriate. We will not approve de-
requirements of this part. ficiencies after the seven-year period
(d) Deficiencies for NTE standards. You specified in this paragraph (d)(4).
may ask us to accept as compliant an (e) Diesel test fuels and corresponding
engine that does not fully meet specific labeling requirements. For diesel-fueled
requirements under the applicable NTE engines in 2011 and later model years,
standards. Such deficiencies are in- the diesel test fuel is ultra low-sulfur
tended to allow for minor deviations diesel fuel specified in 40 CFR part 1065.
from the NTE standards under limited For diesel-fueled engines in 2010 and
conditions. We expect your engines to earlier model years, use test fuels and
have functioning emission-control meet labeling requirements as follows:
hardware that allows you to comply (1) Use the following test fuels in 2010
with the NTE standards. and earlier model years:
374
(i) Unless otherwise specified, the ‘‘ULTRA LOW SULFUR FUEL REC-
diesel test fuel is low-sulfur diesel fuel OMMENDED’’.
specified in 40 CFR part 1065. (3) For model years 2010 and earlier,
(ii) In model years 2007 through 2010, we will use the test fuel that you use
you may use ultra low-sulfur diesel under paragraph (e)(1) of this section,
fuel as the test fuel for any engine fam- subject to the conditions of paragraph
ily that employs sulfur-sensitive tech- (e)(1) of this section.
nology if you can demonstrate that in- (f) Requirements for equipment manu-
use engines in the family will use die- facturers. If you produce equipment
sel fuel with a sulfur concentration no with engines certified to Tier 3 stand-
greater than 15 ppm. ards under Option #2 of Table 3 of
(iii) You may use ultra low-sulfur § 1039.102 during model years from 2008
diesel fuel as the test fuel for engine through 2011, then a minimum number
of pieces of equipment you produce
families in any power category below
using 2012 model year engines must
56 kW, as long as none of the engines in
have engines certified to the Option #2
your engine family employ sulfur-sen-
standards, as follows:
sitive technologies, you ensure that ul-
(1) For equipment you produce with
timate purchasers of equipment using 2012 model year engines at or above 37
these engines are informed that ultra kW and below 56 kW, determine the
low-sulfur diesel fuel is recommended, minimum number of these engines that
and you recommend to equipment man- must be certified to the Option #2
ufacturers that a label be applied at standards in Table 3 of § 1039.102 as fol-
the fuel inlet recommending 15 ppm lows:
fuel. (i) If all the equipment you produce
(iv) For the engines described in using 2008 through 2011 model year en-
§ 1039.101(c) that are certified to the 0.60 gines use engines certified to Tier 3
g/kW-hr PM standard in Table 1 of standards under Option #2 of Table 3 of
§ 1039.102 in the 2010 model year, you § 1039.102, then all the 2012 model year
may test with the ultra low-sulfur fuel engines you install must be certified to
specified in 40 CFR part 1065. the Option #2 standards of Table 3 of
(2) Meet the labeling requirements of § 1039.102.
this paragraph (e)(2) (or other labeling (ii) If you produce equipment using
requirements we approve) to identify 2008 through 2011 model year engines
the applicable test fuels specified in with some engines certified to Option
paragraph (e)(1) of this section. Provide #1 standards of Table 3 of § 1039.102 and
instructions to equipment manufactur- some engines certified to Tier 3 stand-
ers to ensure that they are aware of ards under Option #2 standards of
these labeling requirements. Table 3 of § 1039.102, calculate the min-
(i) For engines certified under the imum number of 2012 model year en-
provisions of paragraph (e)(1)(i) of this gines you must install that are cer-
section, include the following state- tified to the Option #2 standards of
ment on the emission control informa- Table 3 of § 1039.102 from the following
tion label and the fuel-inlet label speci- equation:
fied in § 1039.135: ‘‘LOW SULFUR FUEL Minimum number = [(T-O1¥F)/
OR ULTRA LOW SULFUR FUEL (T¥F)¥0.05] × P
ONLY’’.
Where:
(ii) For engines certified under the
T = The total number of 2008–2010 model year
provisions of paragraph (e)(1)(ii) of this engines at or above 37 kW and below 56
section, include the following state- kW that you use in equipment you
ment on the emission control informa- produce.
tion label and the fuel-inlet label speci- O1 = The number of engines from the 2008–
fied in § 1039.135: ‘‘ULTRA LOW SUL- 2010 model years certified under Option
FUR FUEL ONLY’’. #1 of Table 3 of § 1039.102 that you use in
equipment you produce.
(iii) For engines certified under the
F = The number of 2008–2010 model year en-
provisions of paragraph (e)(1)(iii) of gines at or above 37 kW and below 56 kW
this section, include the following
that you use in equipment you produce

statement on the emission control in- under the flexibility provisions of
formation label specified in § 1039.135: § 1039.625.
375
§ 1039.104 40 CFR Ch. I (7–1–21 Edition)
P = The total number of 2012 model year en- percentages over the 4-year period
gines at or above 37 kW and below 56 kW must not exceed a total of 40 percent in
that you use in equipment you produce. each power category.
(2) As needed for the calculation re- (ii) For the 19–56 kW power category,
quired by this paragraph (f), keep the number of engines certified to the
records of all equipment you produce FEL caps in Table 1 of this section
using 2008–2012 model year engines at must not exceed 40 percent in any sin-
or above 37 kW and below 56 kW. If you gle model year, and the sum of percent-
fail to keep these records, you may not ages over the 4-year period must not
use any 2012 model year engines cer- exceed a total of 80 percent.
tified to Option #1 standards in your (2) If your engine is not certified to
equipment. transient emission standards under the
(3) If you fail to comply with the pro- provisions of § 1039.102(a)(1)(iii), you
visions of this paragraph (f), then using must adjust your FEL upward by a
2012 model year engines certified under temporary compliance adjustment fac-
Option #1 of Table 3 of § 1039.102 (or cer- tor (TCAF) before calculating your
tified to less stringent standards) in negative emission credits under
such equipment violates the prohibi- § 1039.705, as follows:
tions in § 1068.101(a)(1). (i) The temporary compliance adjust-
(g) Alternate FEL caps. You may cer- ment factor for NOX and for NOX +
tify engines to the FEL caps in Table 1 NMHC is 1.1.
of this section instead of the otherwise (ii) The temporary compliance ad-
applicable FEL caps in § 1039.101(d)(1), justment factor for PM is 1.5.
§ 1039.102(e), or § 1039.102(g)(2) for the in- (iii) The adjusted FEL (FELadj) for
dicated model years, subject to the fol- calculating emission credits is deter-
lowing provisions: mined from the steady-state FEL
(1) The provisions of this paragraph (FELss) using the following equation:
(g) apply for limited numbers of en- FELadj = (FELss) × (TCAF)
gines as specified in this paragraph (iv) The unadjusted FEL (FELss) ap-
(g)(1). If you certify an engine under an plies for all purposes other than credit
alternate FEL cap in this paragraph (g) calculation.
for any pollutant, count it toward the (3) These alternate FEL caps may not
allowed percentage of engines certified be used for phase-in engines.
to the alternate FEL caps. (4) Do not apply TCAFs to gaseous
(i) Except as specified in paragraph emissions for phase-out engines that
(g)(1)(ii) of this section, the number of you certify to the same numerical
engines certified to the FEL caps in standards (and FELs if the engines are
Table 1 of this section must not exceed certified using ABT) for gaseous pollut-
20 percent in any single model year in ants as you certified under the Tier 3
each power category, and the sum of requirements of 40 CFR part 89.
TABLE 1 OF § 1039.104—ALTERNATE FEL CAPS
Model years Model years
PM FEL cap, for the NOX FEL cap, for the
Maximum engine power g/kW-hr alternate PM g/kW-hr 1 alternate NOX
FEL cap FEL cap
19 ≤ kW < 56 ........................................................................ 0.30 2 2012–2015 ........................

56 ≤ kW < 130 3 .................................................................... 0.30 2012–2015 3.8 4 2012–2015
130 ≤ kW ≤ 560 .................................................................... 0.20 2011–2014 3.8 5 2011–2014
kW > 560 6 ............................................................................. 0.10 2015–2018 3.5 2015–2018

1 The FEL cap for engines demonstrating compliance with a NOX + NMHC standard is equal to the previously applicable NOX
+ NMHC standard specified in 40 CFR 89.112 (generally the Tier 3 standards).
2 For manufacturers certifying engines under Option #1 of Table 3 of § 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 en-
gines under Option #2 of Table 3 of § 1039.102, these alternate FEL caps do not apply to 19–37 kW engines except in model
years 2013 to 2015.
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 NO emissions.
X
4 For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach instead of the
alternate NOX standards of § 1039.102(e)(1), the alternate NOX FEL cap in the table applies only in the 2014–2015 model years
if certifying under § 1039.102(d)(1), and only in the 2015 model year if certifying under § 1039.102(d)(2).
5 For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach instead of the
alternate NOX standard of § 1039.102(e)(2), the alternate NOX FEL cap in the table applies only for the 2014 model year.
6 For engines above 560 kW, the provision for alternate NO FEL caps is limited to generator-set engines.
X
376
(5) You may certify engines under (2) 15 percent during the lugging
this paragraph (g) in any model year mode.
provided for in Table 1 of this section (3) 50 percent during the peaks in ei-
without regard to whether or not the ther the acceleration or lugging modes.
engine family’s FEL is at or below the
otherwise applicable FEL cap. For ex- § 1039.107 What evaporative emission
ample, a 200 kW engine certified to the standards and requirements apply?
NOX + NMHC standard of § 1039.102(e)(3) There are no evaporative emission
with an FEL equal to the FEL cap of standards for diesel-fueled engines, or
4.0 g/kW-hr may nevertheless be cer- engines using other nonvolatile or non-
tified under this paragraph (g). liquid fuels (for example, natural gas).
(6) For engines you produce under If your engine uses a volatile liquid
this paragraph (g) after the Tier 4 final fuel, such as methanol, you must meet
standards take effect, you may certify the evaporative emission requirements
based on a NOX + NMHC FEL as de- of 40 CFR part 1048 that apply to spark-
scribed in Table 1 of this section. Cal- ignition engines, as follows:
culate emission credits for these en- (a) Follow the steps in 40 CFR 1048.245
gines relative to the applicable NOX to show that you meet the require-
standard in § 1039.101 or § 1039.102, plus ments of 40 CFR 1048.105.
0.1 g/kW-hr. (b) Do the following things in your
(h) Delayed compliance with labeling application for certification:
requirements. Before the 2011 model (1) Describe how your engines control
year, you may omit the dates of manu- evaporative emissions.
facture from the emission control in- (2) Present test data to show that
formation label as specified in equipment using your engines meets
§ 1039.135(c)(6) if you keep those records the evaporative emission standards we
and provide them to us upon request. specify in this section if you do not use
(i) Lead time for diagnostic controls. design-based certification under 40 CFR
Model year 2017 and earlier engines are 1048.245.
not subject to the requirements for di-
agnostic controls as specified in [69 FR 39213, June 29, 2004, as amended at 81
FR 74134, Oct. 25, 2016]
§ 1039.110.
[69 FR 39213, June 29, 2004, as amended at 70 § 1039.110 Recording reductant use
FR 40462, July 13, 2005; 72 FR 53130, Sept. 18, and other diagnostic functions.
2007; 75 FR 22988, Apr. 30, 2010; 75 FR 68461,
(a) Engines equipped with SCR sys-
Nov. 8, 2010; 79 FR 7083, Feb. 6, 2014; 81 FR
74133, Oct. 25, 2016] tems using a reductant other than the
engine’s fuel must have a diagnostic
EFFECTIVE DATE NOTE: At 86 FR 34504, June system that monitors reductant qual-
29, 2021, § 1039.104 was amended, effective July ity and tank levels and alert operators
29, 2021.
to the need to refill the reductant tank
§ 1039.105 What smoke standards must before it is empty, or to replace the re-
my engines meet? ductant if it does not meet your con-
centration specifications. Unless we ap-
(a) The smoke standards in this sec- prove other alerts, use a warning lamp
tion apply to all engines subject to or an audible alarm. You do not need
emission standards under this part, ex- to separately monitor reductant qual-
cept for the following engines: ity if your system uses input from an
(1) Single-cylinder engines. exhaust NOX sensor (or other sensor) to
(2) Constant-speed engines. alert operators when reductant quality
(3) Engines certified to a PM emis- is inadequate. However, tank level
sion standard or FEL of 0.07 g/kW-hr or must be monitored in all cases.
lower. (b) You may equip your engine with
(b) Measure smoke as specified in other diagnostic features. If you do,
§ 1039.501(c). Smoke from your engines they must be designed to allow us to
may not exceed the following stand- read and interpret the codes. Note that
ards: § 1039.205 requires you to provide us any
(1) 20 percent during the acceleration information needed to read, record, and
mode. interpret all the information broadcast
377
§ 1039.115 40 CFR Ch. I (7–1–21 Edition)
by an engine’s onboard computers and would otherwise not emit that contrib-
electronic control units. utes to such an unreasonable risk.
[81 FR 74134, Oct. 25, 2016] (g) Defeat devices. You may not equip
your engines with a defeat device. A
§ 1039.115 What other requirements defeat device is an auxiliary emission-
apply? control device that reduces the effec-
Engines that are required to meet tiveness of emission controls under
the emission standards of this part conditions that the engine may reason-
must meet the following requirements, ably be expected to encounter during
except as noted elsewhere in this part: normal operation and use. This does
(a) Crankcase emissions. Crankcase not apply to auxiliary-emission control
emissions may not be discharged di- devices you identify in your certifi-
rectly into the ambient atmosphere cation application if any of the fol-
from any engine throughout its useful lowing is true:
life, except as follows: (1) The conditions of concern were
(1) Engines may discharge crankcase substantially included in the applica-
emissions to the ambient atmosphere if ble test procedures described in subpart
the emissions are added to the exhaust F of this part.
emissions (either physically or mathe- (2) You show your design is necessary
matically) during all emission testing. to prevent engine (or equipment) dam-
(2) If you take advantage of this ex- age or accidents.
ception, you must do the following (3) The reduced effectiveness applies
things: only to starting the engine.
(i) Manufacture the engines so that (4) The auxiliary emission control de-
all crankcase emissions can be routed vice applies only for engines that will
into the applicable sampling systems be installed in emergency equipment
specified in 40 CFR part 1065. and the need is justified in terms of
(ii) Account for deterioration in preventing the equipment from losing
crankcase emissions when determining speed or power due to abnormal condi-
exhaust deterioration factors. tions of the emission control system,
(3) For purposes of this paragraph (a), or in terms of preventing such abnor-
crankcase emissions that are routed to mal conditions from occurring, during
the exhaust upstream of exhaust operation related to emergency re-
aftertreatment during all operation are sponse. Examples of such abnormal
not considered to be discharged di- conditions may include excessive ex-
rectly into the ambient atmosphere. haust backpressure from an overloaded
(b)–(d) [Reserved] particulate trap, and running out of
(e) Adjustable parameters. Engines diesel exhaust fluid for engines that
that have adjustable parameters must rely on urea-based selective catalytic
meet all the requirements of this part reduction. The emission standards do
for any adjustment in the physically not apply when any AECDs approved
adjustable range. An operating param- under this paragraph (g)(4) are active.
eter is not considered adjustable if you
(5) The auxiliary emission control de-
permanently seal it or if it is not nor-
vice operates only in emergency situa-
mally accessible using ordinary tools.
tions as defined in § 1039.665 and meets
We may require that you set adjustable
all of the requirements of that section,
parameters to any specification within
and you meet all of the requirements of
the adjustable range during any test-
that section.
ing, including certification testing, se-
lective enforcement auditing, or in-use [69 FR 39213, June 29, 2004, as amended at 72
testing. FR 53130, Sept. 18, 2007; 77 FR 34147, June 8,
(f) Prohibited controls. You may not 2012]
design your engines with emission-con-
trol devices, systems, or elements of § 1039.120 What emission-related war-
design that cause or contribute to an ranty requirements apply to me?
unreasonable risk to public health, (a) General requirements. You must
welfare, or safety while operating. For warrant to the ultimate purchaser and
example, this would apply if the engine each subsequent purchaser that the
emits a noxious or toxic substance it new nonroad engine, including all parts
378
of its emission-control system, meets be shorter than any basic mechanical

two conditions: warranty you provide without charge
(1) It is designed, built, and equipped for the engine. Similarly, the emission-
so it conforms at the time of sale to related warranty for any component
the ultimate purchaser with the re- may not be shorter than any warranty
quirements of this part. you provide without charge for that
(2) It is free from defects in materials component. This means that your war-
and workmanship that may keep it ranty may not treat emission-related
from meeting these requirements.
and nonemission-related defects dif-
(b) Warranty period. Your emission-
ferently for any component. If an en-
related warranty must be valid for at
least as long as the minimum warranty gine has no hour meter, we base the
periods listed in this paragraph (b) in warranty periods in this paragraph (b)
hours of operation and years, which- only on the engine’s age (in years). The
ever comes first. You may offer an warranty period begins when the en-
emission-related warranty more gen- gine is placed into service. The min-
erous than we require. The emission-re- imum warranty periods are shown in
lated warranty for the engine may not the following table:
If your engine is certified as And its maximum power is And its rated speed is Then its warranty period is . . .
. . . . . . . . .
Variable speed or constant kW <19 ............................. Any speed ......................... 1,500 hours or two years, whichever
speed. 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 kW ≥37 ............................. Any speed ......................... 3,000 hours or five years, whichever
speed. comes first.
(c) Components covered. The emission- § 1039.125 What maintenance instruc-

related warranty covers all compo- tions must I give to buyers?
nents whose failure would increase an Give the ultimate purchaser of each
engine’s emissions of any regulated new nonroad engine written instruc-
pollutant, including components listed tions for properly maintaining and
in 40 CFR part 1068, appendix I, and using the engine, including the emis-
components from any other system you sion-control system. The maintenance
develop to control emissions. The emis- instructions also apply to service accu-
sion-related warranty covers these mulation on your emission-data en-
components even if another company gines, as described in § 1039.245 and in 40
produces the component. Your emis- CFR part 1065.
sion-related warranty does not need to (a) Critical emission-related mainte-
cover components whose failure would nance. Critical emission-related main-
not increase an engine’s emissions of tenance includes any adjustment,
any regulated pollutant. cleaning, repair, or replacement of
(d) Limited applicability. You may critical emission-related components.
deny warranty claims under this sec- This may also include additional emis-
tion if the operator caused the problem sion-related maintenance that you de-
through improper maintenance or use, termine is critical if we approve it in
advance. You may schedule critical
as described in 40 CFR 1068.115.
emission-related maintenance on these
(e) Owners manual. Describe in the
components if you meet the following
owners manual the emission-related conditions:
warranty provisions from this section (1) You demonstrate that the mainte-
that apply to the engine. nance is reasonably likely to be done
at the recommended intervals on in-use

FR 40463, July 13, 2005; 75 FR 22989, Apr. 30, engines. We will accept scheduled
2010; 81 FR 74134, Oct. 25, 2016] maintenance as reasonably likely to
379
§ 1039.125 40 CFR Ch. I (7–1–21 Edition)
occur if you satisfy any of the fol- tank of DEF would be enough to con-
lowing conditions, with the exception tinue proper operation of the SCR sys-
that paragraphs (a)(1)(ii) and (iii) of tem for the expected operating range
this section do not apply for DEF re- with a single tank of fuel at that mode.
plenishment: For engine testing in a laboratory, any
(i) You present data showing that, if size DEF tank and fuel tank may be
a lack of maintenance increases emis- used; however, for our testing of en-
sions, it also unacceptably degrades gines, we may require you to provide
the engine’s performance. us with a production-type DEF tank,
(ii) You present survey data showing including any associated sensors.
that at least 80 percent of engines in (3) For engines at or above 130 kW,
the field get the maintenance you you may not schedule critical emis-
specify at the recommended intervals. sion-related maintenance more fre-
(iii) You provide the maintenance quently than the following minimum
free of charge and clearly say so in intervals, except as specified in para-
your maintenance instructions. graphs (a)(4), (b), and (c) of this sec-
(iv) You otherwise show us that the tion:
maintenance is reasonably likely to be (i) For EGR-related filters and cool-
done at the recommended intervals. ers, DEF filters, crankcase ventilation
(2) For engines below 130 kW, you valves and filters, and fuel injector tips
may not schedule critical emission-re- (cleaning only), the minimum interval
lated maintenance more frequently is 1,500 hours.
than the following minimum intervals,
(ii) For the following components, in-
except as specified in paragraphs (a)(4),
cluding associated sensors and actu-
(b), and (c) of this section:
ators, the minimum interval is 4,500
(i) For EGR-related filters and cool-
hours: Fuel injectors, turbochargers,
ers, DEF filters, crankcase ventilation
catalytic converters, electronic control
valves and filters, and fuel injector tips
units, EGR systems (including related
(cleaning only), the minimum interval
components, but excluding filters and
is 1,500 hours.
coolers), and other add-on components.
(ii) For the following components, in-
cluding associated sensors and actu- (iii) The provisions of paragraph
ators, the minimum interval is 3,000 (a)(2)(iii) of this section apply for SCR
hours: Fuel injectors, turbochargers, systems.
catalytic converters, electronic control (4) For particulate traps, trap
units, EGR systems (including related oxidizers, and components related to
components, but excluding filters and either of these, scheduled maintenance
coolers), and other add-on components. may include cleaning or repair at the
(iii) For SCR systems, the minimum intervals specified in paragraph
interval for replenishing the diesel ex- (a)(2)(ii) or (a)(3)(ii) of this section, as
haust fluid (DEF) is the number of en- applicable. Scheduled maintenance
gine operating hours necessary to con- may include a shorter interval for
sume a full tank of fuel based on nor- cleaning or repair and may also include
mal usage starting from full fuel ca- adjustment or replacement, but only if
pacity for the equipment. Use good en- we approve it. We will approve your re-
gineering judgment to ensure that quest if you provide the maintenance
equipment manufacturers will meet free of charge and clearly state this in
this requirement for worst-case oper- your maintenance instructions, and
ation by following your installation in- you provide us additional information
structions. For example, if your high- as needed to convince us that the
est rate of DEF consumption (relative maintenance will occur.
to fuel consumption) will occur under a (5) You may ask us to approve a
steady state operating conditions char- maintenance interval shorter than that
acterized by one of the modes of the ap- specified in paragraphs (a)(2) and (3) of
plicable steady-state certification test this section under § 1039.210, including
(to the extent that continuous oper- emission-related components that were
ation at such mode is representative of not in widespread use with nonroad
real-world conditions), the DEF tank compression-ignition engines before

should be large enough that a single 2011. In your request you must describe
380
the proposed maintenance step, rec- be consistent with good engineering

ommend the maximum feasible inter- judgment. We may disapprove your
val for this maintenance, include your maintenance instructions if we deter-
rationale with supporting evidence to mine that you have specified special
support the need for the maintenance maintenance steps to address mainte-
at the recommended interval, and dem- nance that is unlikely to occur in use,
onstrate that the maintenance will be or engine operation that is not atypi-
done at the recommended interval on cal. For example, this paragraph (c)
in-use engines. In considering your re- does not allow you to design engines
quest, we will evaluate the information that require special maintenance for a
you provide and any other available in- certain type of expected operation. If
formation to establish alternate speci- we determine that certain maintenance
fications for maintenance intervals, if items do not qualify as special mainte-
appropriate. We will announce any de- nance under this paragraph (c), you
cision we make under this paragraph may identify this as recommended ad-
(a)(5) in the FEDERAL REGISTER. Any- ditional maintenance under paragraph
one may request a hearing regarding (b) of this section.
such a decision (see § 1039.820).
(d) Noncritical emission-related mainte-
(6) If your engine family has an alter-
nance. Subject to the provisions of this
nate useful life under § 1039.101(g) that
paragraph (d), you may schedule any
is shorter than the period specified in
amount of emission-related inspection
paragraph (a)(2) or (a)(3) of this sec-
or maintenance that is not covered by
tion, you may not schedule critical
paragraph (a) of this section (that is,
emission-related maintenance more
maintenance that is neither explicitly
frequently than the alternate useful
identified as critical emission-related
life, except as specified in paragraph (c)
of this section. maintenance, nor that we approve as
(b) Recommended additional mainte- critical emission-related maintenance).
nance. You may recommend any addi- Noncritical emission-related mainte-
tional amount of maintenance on the nance generally includes maintenance
components listed in paragraph (a) of on the components we specify in 40
this section, as long as you state clear- CFR part 1068, appendix I, that is not
ly that these maintenance steps are covered in paragraph (a) of this sec-
not necessary to keep the emission-re- tion. You must state in the owners
lated warranty valid. If operators do manual that these steps are not nec-
the maintenance specified in paragraph essary to keep the emission-related
(a) of this section, but not the rec- warranty valid. If operators fail to do
ommended additional maintenance, this maintenance, this does not allow
this does not allow you to disqualify you to disqualify those engines from
those engines from in-use testing or in-use testing or deny a warranty
deny a warranty claim. Do not take claim. Do not take these inspection or
these maintenance steps during service maintenance steps during service accu-
accumulation on your emission-data mulation on your emission-data en-
engines. gines.
(c) Special maintenance. You may (e) Maintenance that is not emission-re-
specify more frequent maintenance to lated. For maintenance unrelated to
address problems related to special sit- emission controls, you may schedule
uations, such as atypical engine oper- any amount of inspection or mainte-
ation. You must clearly state that this nance. You may also take these inspec-
additional maintenance is associated tion or maintenance steps during serv-
with the special situation you are ad- ice accumulation on your emission-
dressing. You may also address mainte- data engines, as long as they are rea-
nance of low-use engines (such as rec- sonable and technologically necessary.
reational or stand-by engines) by speci- This might include adding engine oil,
fying the maintenance interval in changing air, fuel, or oil filters, serv-
terms of calendar months or years in icing engine-cooling systems or fuel-
addition to your specifications in water separator cartridges or elements,
terms of engine operating hours. All and adjusting idle speed, governor, en-
special maintenance instructions must gine bolt torque, valve lash, or injector
381
§ 1039.130 40 CFR Ch. I (7–1–21 Edition)
lash. You may not perform this non- (h) Owners manual. Explain the own-
emission-related maintenance on emis- er’s responsibility for proper mainte-
sion-data engines more often than the nance in the owners manual.
least frequent intervals that you rec- [69 FR 39213, June 29, 2004, as amended at 70
ommend to the ultimate purchaser. FR 40463, July 13, 2005; 72 FR 53130, Sept. 18,
(f) Source of parts and repairs. State 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 22989,
clearly in your written maintenance Apr. 30, 2010; 79 FR 46373, Aug. 8, 2014; 81 FR
instructions that a repair shop or per- 74134, Oct. 25, 2016]
son of the owner’s choosing may main- § 1039.130 What installation instruc-
tain, replace, or repair emission-con- tions must I give to equipment man-
trol devices and systems. Your instruc- ufacturers?
tions may not require components or (a) If you sell an engine for someone
service identified by brand, trade, or else to install in a piece of nonroad
corporate name. Also, do not directly equipment, give the engine installer in-
or indirectly condition your warranty structions for installing it consistent
on a requirement that the engine be with the requirements of this part. In-
serviced by your franchised dealers or clude all information necessary to en-
any other service establishments with sure that an engine will be installed in
which you have a commercial relation- its certified configuration.
ship. You may disregard the require- (b) Make sure these instructions have
ments in this paragraph (f) if you do the following information:
one of two things: (1) Include the heading: ‘‘Emission-
(1) Provide a component or service related installation instructions’’.
without charge under the purchase (2) State: ‘‘Failing to follow these in-
agreement. structions when installing a certified
(2) Get us to waive this prohibition in engine in a piece of nonroad equipment
the public’s interest by convincing us violates federal law (40 CFR
the engine will work properly only 1068.105(b)), subject to fines or other
with the identified component or serv- penalties as described in the Clean Air
Act.’’.
ice.
(3) Describe the instructions needed
(g) Payment for scheduled maintenance.
to properly install the exhaust system
Owners are responsible for properly and any other components. Include in-
maintaining their engines. This gen- structions consistent with the require-
erally includes paying for scheduled ments of § 1039.205(u). Also describe how
maintenance. However, manufacturers to properly size the DEF tank con-
must pay for scheduled maintenance sistent with the specifications in
during the useful life if the regulations § 1039.125(a), if applicable.
require it or if it meets all the fol- (4) Describe any necessary steps for
lowing criteria: installing the diagnostic system de-
(1) Each affected component was not scribed in § 1039.110.
in general use on similar engines be- (5) Describe how your certification is
fore the applicable dates shown in limited for any type of application. For
paragraph (6) of the definition of new example, if your engines are certified
nonroad engine in § 1039.801. only for constant-speed operation, tell
(2) The primary function of each af- equipment manufacturers not to in-
fected component is to reduce emis- stall the engines in variable-speed ap-
sions. plications.
(3) The cost of the scheduled mainte- (6) Describe any other instructions to
nance is more than 2 percent of the make sure the installed engine will op-
erate according to design specifications
price of the engine.
in your application for certification.
(4) Failure to perform the mainte- This may include, for example, instruc-
nance would not cause clear problems tions for installing aftertreatment de-
that would significantly degrade the vices when installing the engines.
engine’s performance. (7) State: ‘‘If you install the engine
in a way that makes the engine’s emis-

sion control information label hard to
382
read during normal engine mainte- (5) State the engine’s displacement
nance, you must place a duplicate label (in liters); however, you may omit this
on the equipment, as described in 40 from the label if all the engines in the
CFR 1068.105.’’. engine family have the same per-cyl-
(8) Describe equipment-labeling re- inder displacement and total displace-
quirements consistent with § 1039.135. ment.
State whether you are providing the (6) State the date of manufacture
label for the fuel inlet or the equip- [DAY (optional), MONTH, and YEAR];
ment manufacturer must provide the however, you may omit this from the
label.
label if you stamp, engrave, or other-
(c) You do not need installation in-
wise permanently identify it elsewhere
structions for engines you install in
your own equipment. on the engine, in which case you must
(d) Provide instructions in writing or also describe in your application for
in an equivalent format. For example, certification where you will identify
you may post instructions on a pub- the date on the engine.
licly available website for downloading (7) State the FELs to which the en-
or printing. If you do not provide the gines are certified if certification de-
instructions in writing, explain in your pends on the ABT provisions of subpart
application for certification how you H of this part.
will ensure that each installer is in- (8) Identify the emission-control sys-
formed of the installation require- tem. Use terms and abbreviations as
ments. described in 40 CFR 1068.45. You may
[69 FR 39213, June 29, 2004, as amended at 70 omit this information from the label if
FR 40463, July 13, 2005; 79 FR 46373, Aug. 8, there is not enough room for it and you
2014; 81 FR 74134, Oct. 25, 2016] put it in the owners manual instead.
(9) For diesel-fueled engines, unless
§ 1039.135 How must I label and iden-
tify the engines I produce? otherwise specified in § 1039.104(e)(2),
state: ‘‘ULTRA LOW SULFUR FUEL
(a) Assign each engine a unique iden- ONLY’.
tification number and permanently (10) Identify any additional require-
affix, engrave, or stamp it on the en-
ments for fuel and lubricants that do
gine in a legible way.
not involve fuel-sulfur levels. You may
(b) At the time of manufacture, affix
a permanent and legible label identi- omit this information from the label if
fying each engine. The label must meet there is not enough room for it and you
the requirements of 40 CFR 1068.45. put it in the owners manual instead.
(c) The label must— (11) State the useful life for your en-
(1) Include the heading ‘‘EMISSION gine family if we approve a shortened
CONTROL INFORMATION’’. useful life under § 1039.101(g)(2).
(2) Include your full corporate name (12) State: ‘‘THIS ENGINE COM-
and trademark. You may identify an- PLIES WITH U.S. EPA REGULATIONS
other company and use its trademark FOR [MODEL YEAR] NONROAD DIE-
instead of yours if you comply with the SEL ENGINES.’’.
branding provisions of 40 CFR 1068.45. (13) For engines above 560 kW, in-
(3) Include EPA’s standardized des- clude the following things:
ignation for the engine family (and (i) For engines certified to the emis-
subfamily, where applicable). sion standards for generator-set en-
(4) State the power category or sub-
gines, add the phrase ‘‘FOR GENER-
category from § 1039.101 or § 1039.102
ATOR SETS AND OTHER APPLICA-
that determines the applicable emis-
TIONS’’.
sion standards for the engine family.
For engines at or above 37 kW and (ii) For all other engines, add the
below 56 kW from model years 2008 phrase ‘‘NOT FOR USE IN A GENER-
through 2012, and for engines less than ATOR SET’’.
8 kW utilizing the provision at (14) If your engines are certified only
§ 1039.101(c), you must state the appli- for constant-speed operation, state
cable PM standard for the engine fam- ‘‘USE IN CONSTANT-SPEED APPLI-

ily. CATIONS ONLY’’.
383
§ 1039.140 40 CFR Ch. I (7–1–21 Edition)
(15) For engines with one or more ap- be read during normal maintenance,
proved auxiliary emission control de- you must place a duplicate label on the
vices for emergency equipment applica- equipment. If others install your en-
tions under § 1039.115(g)(4), the state- gine in their equipment in a way that
ment: ‘‘THIS ENGINE IS FOR IN- obscures the engine label, we require
STALLATION IN EMERGENCY them to add a duplicate label on the
EQUIPMENT ONLY.’’ Note that this equipment (see 40 CFR 1068.105); in that
label requirement does not apply for case, give them the number of dupli-
engines that include emergency AECDs cate labels they request and keep the
under § 1039.665 rather than following records for at least five
§ 1039.115(g)(4). years:
(d) You may add information to the (1) Written documentation of the re-
emission control information label as quest from the equipment manufac-
follows: turer.
(1) You may identify other emission (2) The number of duplicate labels
standards that the engine meets or you send for each engine family and
does not meet (such as international the date you sent them.
standards), as long as this does not [69 FR 39213, June 29, 2004, as amended at 72
cause you to omit any of the informa- FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8,
tion described in paragraphs (c)(5) 2008; 75 FR 22989, Apr. 30, 2010; 77 FR 34147,
through (10) of this section. You may June 8, 2012; 79 FR 46373, Aug. 8, 2014; 81 FR
add the information about the other 74135, Oct. 25, 2016]
emission standards to the statement EFFECTIVE DATE NOTE: At 86 FR 34504, June
we specify, or you may include it in a 29, 2021, § 1039.135 was amended, effective July
separate statement. 29, 2021.
(2) You may add other information to
ensure that the engine will be properly § 1039.140 What is my engine’s max-
maintained and used. imum engine power?
(3) You may add appropriate features (a) An engine configuration’s max-
to prevent counterfeit labels. For ex- imum engine power is the maximum
ample, you may include the engine’s brake power point on the nominal
unique identification number on the power curve for the engine configura-
label. tion, as defined in this section. Round
(e) Except as specified in the power value to the nearest whole
§ 1039.104(e)(2), create a separate label kilowatt.
with the statement: ‘‘ULTRA LOW (b) The nominal power curve of an
SULFUR FUEL ONLY’’. Permanently engine configuration is the relation-
attach this label to the equipment near ship between maximum available en-
the fuel inlet or, if you do not manu- gine brake power and engine speed for
facture the equipment, take one of the an engine, using the mapping proce-
following steps to ensure that the dures of 40 CFR part 1065, based on the
equipment will be properly labeled: manufacturer’s design and production
(1) Provide the label to the equip- specifications for the engine. This in-
ment manufacturer and include the ap- formation may also be expressed by a
propriate information in the emission- torque curve that relates maximum
related installation instructions. available engine torque with engine
(2) Confirm that the equipment man- speed.
ufacturers install their own complying (c) The nominal power curve must be
labels. within the range of the actual power
(f) You may ask us to approve modi- curves of production engines consid-
fied labeling requirements in this part ering normal production variability. If
1039 if you show that it is necessary or after production begins it is deter-
appropriate. We will approve your re- mined that your nominal power curve
quest if your alternate label is con- does not represent production engines,
sistent with the requirements of this we may require you to amend your ap-
part. plication for certification under
(g) If you obscure the engine label § 1039.225.
while installing the engine in the (d) Throughout this part, references
equipment such that the label cannot to a specific power value or a range of
384
power values for an engine are based on being used in motor vehicles, we may
maximum engine power. For example, specify alternate certification provi-
the group of engines with maximum sions consistent with the intent of this
engine power above 560 kW may be re- part. See the definition of ‘‘new
ferred to as engines above 560 kW. nonroad engine’’ in § 1039.801.
Subpart C—Certifying Engine FR 22990, Apr. 30, 2010; 81 FR 74135, Oct. 25,
Families 2016]
§ 1039.201 What are the general re- § 1039.205 What must I include in my
quirements for obtaining a certifi- application?
cate of conformity? This section specifies the informa-
(a) You must send us a separate ap- tion that must be in your application,
plication for a certificate of con- unless we ask you to include less infor-
formity for each engine family. A cer- mation under § 1039.201(c). We may re-
tificate of conformity is valid for new quire you to provide additional infor-
production from the indicated effective mation to evaluate your application.
date until the end of the model year for (a) Describe the engine family’s spec-
which it is issued, which may not ex- ifications and other basic parameters
tend beyond December 31 of that year. of the engine’s design and emission
No new certificate will be issued after controls. List the fuel type on which
December 31 of the model year. You your engines are designed to operate
may amend your application for cer- (for example, ultra low-sulfur diesel
tification after the end of the model fuel). List each distinguishable engine
year in certain circumstances as de- configuration in the engine family. For
scribed in §§ 1039.220 and 1039.225. You each engine configuration, list the
must renew your certification annually maximum engine power and the range
for any engines you continue to of values for maximum engine power
produce. resulting from production tolerances,
(b) The application must contain all as described in § 1039.140.
the information required by this part (b) Explain how the emission-control
and must not include false or incom- system operates. Describe in detail all
plete statements or information (see system components for controlling ex-
§ 1039.255). haust emissions, including all auxil-
(c) We may ask you to include less iary-emission control devices (AECDs)
information than we specify in this and all fuel-system components you
subpart, as long as you maintain all will install on any production or test
the information required by § 1039.250. engine. Identify the part number of
(d) You must use good engineering each component you describe. For this
judgment for all decisions related to paragraph (b), treat as separate AECDs
your application (see 40 CFR 1068.5). any devices that modulate or activate
(e) An authorized representative of differently from each other. Include all
your company must approve and sign the following:
the application. (1) Give a general overview of the en-
(f) See § 1039.255 for provisions de- gine, the emission-control strategies,
scribing how we will process your ap- and all AECDs.
plication. (2) Describe each AECD’s general pur-
(g) We may require you to deliver pose and function.
your test engines to a facility we des- (3) Identify the parameters that each
ignate for our testing (see § 1039.235(c)). AECD senses (including measuring, es-
Alternatively, you may choose to de- timating, calculating, or empirically
liver another engine that is identical in deriving the values). Include equip-
all material respects to the test engine, ment-based parameters and state
or another engine that we determine whether you simulate them during
can appropriately serve as an emission- testing with the applicable procedures.
data engine for the engine family. (4) Describe the purpose for sensing
(h) For engines that become new each parameter.
after being placed into service, such as (5) Identify the location of each sen-
engines converted to nonroad use after sor the AECD uses.
385
§ 1039.205 40 CFR Ch. I (7–1–21 Edition)
(6) Identify the threshold values for as needed to sufficiently protect those
the sensed parameters that activate components in a way that minimizes
the AECD. the emission impact.
(7) Describe the parameters that the (c) [Reserved]
AECD modulates (controls) in response (d) Describe the engines you selected
to any sensed parameters, including for testing and the reasons for select-
the range of modulation for each pa- ing them.
rameter, the relationship between the (e) Describe the test equipment and
sensed parameters and the controlled procedures that you used, including
parameters and how the modulation any special or alternate test proce-
achieves the AECD’s stated purpose. dures you used (see § 1039.501).
Use graphs and tables, as necessary. (f) Describe how you operated the
(8) Describe each AECD’s specific emission-data engine before testing, in-
calibration details. This may be in the cluding the duty cycle and the number
form of data tables, graphical represen- of engine operating hours used to sta-
tations, or some other description. bilize emission levels. Explain why you
(9) Describe the hierarchy among the selected the method of service accumu-
AECDs when multiple AECDs sense or lation. Describe any scheduled mainte-
modulate the same parameter. De- nance you did.
scribe whether the strategies interact (g) List the specifications of the test
in a comparative or additive manner fuel to show that it falls within the re-
and identify which AECD takes prece- quired ranges we specify in 40 CFR part
dence in responding, if applicable. 1065.
(10) Explain the extent to which the (h) Identify the engine family’s use-
AECD is included in the applicable test ful life.
procedures specified in subpart F of (i) Include the maintenance instruc-
this part. tions you will give to the ultimate pur-
(11) Do the following additional chaser of each new nonroad engine (see
things for AECDs designed to protect § 1039.125).
engines or equipment: (j) Include the emission-related in-
(i) Identify the engine and/or equip- stallation instructions you will provide
ment design limits that make protec- if someone else installs your engines in
tion necessary and describe any dam- a piece of nonroad equipment (see
age that would occur without the § 1039.130).
AECD. (k) Describe your emission control
(ii) Describe how each sensed param- information label (see § 1039.135).
eter relates to the protected compo- (l) Identify the emission standards or
nents’ design limits or those operating FELs to which you are certifying en-
conditions that cause the need for pro- gines in the engine family. Identify the
tection. ambient operating regions that will
(iii) Describe the relationship be- apply for NTE testing under
tween the design limits/parameters § 1039.101(e)(4).
being protected and the parameters (m) Identify the engine family’s dete-
sensed or calculated as surrogates for rioration factors and describe how you
those design limits/parameters, if ap- developed them (see § 1039.245). Present
plicable. any emission test data you used for
(iv) Describe how the modulation by this.
the AECD prevents engines and/or (n) State that you operated your
equipment from exceeding design lim- emission-data engines as described in
its. the application (including the test pro-
(v) Explain why it is necessary to es- cedures, test parameters, and test
timate any parameters instead of fuels) to show you meet the require-
measuring them directly and describe ments of this part.
how the AECD calculates the esti- (o) Present emission data for hydro-
mated value, if applicable. carbons (such as NMHC or THCE, as
(vi) Describe how you calibrate the applicable), NOX, PM, and CO on an
AECD modulation to activate only dur- emission-data engine to show your en-
ing conditions related to the stated gines meet the applicable duty-cycle
need to protect components and only emission standards we specify in
386
§ 1039.101. Show emission figures before valid under the requirements of this
and after applying adjustment factors part and 40 CFR part 1065.
for regeneration and deterioration fac- (2) Report measured CO2, N2O, and
tors for each engine. Include emission CH4 as described in § 1039.235. Small-
results for each mode if you do dis- volume engine manufacturers may
crete-mode testing under § 1039.505. omit reporting N2O and CH4.
Present emission data to show that you (s) Describe all adjustable operating
meet any applicable smoke standards parameters (see § 1039.115(e)), including
we specify in § 1039.105. If we specify production tolerances. Include the fol-
more than one grade of any fuel type lowing in your description of each pa-
(for example, high-sulfur and low-sul- rameter:
fur diesel fuel), you need to submit test (1) The nominal or recommended set-
data only for one grade, unless the reg- ting.
ulations of this part specify otherwise (2) The intended physically adjust-
for your engine. Note that § 1039.235 al- able range.
lows you to submit an application in (3) The limits or stops used to estab-
certain cases without new emission lish adjustable ranges.
data. (4) Information showing why the lim-
(p) State that all the engines in the its, stops, or other means of inhibiting
engine family comply with the not-to- adjustment are effective in preventing
exceed emission standards we specify adjustment of parameters on in-use en-
in subpart B of this part for all normal gines to settings outside your intended
operation and use when tested as speci- physically adjustable ranges.
fied in § 1039.515. Describe any relevant (t) Provide the information to read,
testing, engineering analysis, or other record, and interpret all the informa-
information in sufficient detail to sup- tion broadcast by an engine’s onboard
port your statement. computers and electronic control units.
(q) For engines above 560 kW, include State that, upon request, you will give
information showing how your emis- us any hardware, software, or tools we
sion controls will function during nor- would need to do this. If you broadcast
mal in-use transient operation. For ex- a surrogate parameter for torque val-
ample, this might include the fol- ues, you must provide us what we need
lowing: to convert these into torque units. You
(1) Emission data from transient may reference any appropriate publicly
testing of engines using measurement released standards that define conven-
systems designed for measuring in-use tions for these messages and param-
emissions. eters. Format your information con-
(2) Comparison of the engine design sistent with publicly released stand-
for controlling transient emissions ards.
with that from engines for which you (u) Confirm that your emission-re-
have emission data over the transient lated installation instructions specify
duty cycle for certification. how to ensure that sampling of exhaust
(3) Detailed descriptions of control emissions will be possible after engines
algorithms and other design param- are installed in equipment and placed
eters for controlling transient emis- in service. If this cannot be done by
sions. simply adding a 20-centimeter exten-
(r) Report test results as follows: sion to the exhaust pipe, show how to
(1) Report all valid test results in- sample exhaust emissions in a way
volving measurement of pollutants for that prevents diluting the exhaust
which emission standards apply. Also sample with ambient air.
indicate whether there are test results (v) State whether your certification
from invalid tests or from any other is intended to include engines used in
tests of the emission-data engine, stationary applications. State whether
whether or not they were conducted ac- your certification is limited for certain
cording to the test procedures of sub- engines. If this is the case, describe
part F of this part. We may require you how you will prevent use of these en-
to report these additional test results. gines in applications for which they are
We may ask you to send other informa- not certified. This applies for engines
tion to confirm that your tests were such as the following:
387
§ 1039.210 40 CFR Ch. I (7–1–21 Edition)
(1) Constant-speed engines. § 1039.210 May I get preliminary ap-

(2) Engines used for transportation proval before I complete my appli-
refrigeration units that you certify cation?
under the provisions of § 1039.645. If you send us information before you
(3) Hand-startable engines certified finish the application, we will review it
under the provisions of § 1039.101(c). and make any appropriate determina-
(4) Engines above 560 KW that are not tions, especially for questions related
certified to emission standards for gen- to engine family definitions, auxiliary
erator-set engines. emission-control devices, deterioration
(w) Unconditionally certify that all factors, testing for service accumula-
the engines in the engine family com- tion, maintenance, and NTE defi-
ply with the requirements of this part, ciencies and carve-outs. Decisions
other referenced parts of the CFR, and made under this section are considered
the Clean Air Act. to be preliminary approval, subject to
(x) Include good-faith estimates of final review and approval. We will gen-
U.S.-directed production volumes. In- erally not reverse a decision where we
clude a justification for the estimated have given you preliminary approval,
production volumes if they are sub- unless we find new information sup-
stantially different than actual produc- porting a different decision. If you re-
tion volumes in earlier years for simi- quest preliminary approval related to
lar models. the upcoming model year or the model
(y) Include the information required year after that, we will make best-ef-
by other subparts of this part. For ex- forts to make the appropriate deter-
ample, include the information re- minations as soon as practicable. We
quired by § 1039.725 if you participate in will generally not provide preliminary
the ABT program. approval related to a future model year
(z) Include other applicable informa- more than two years ahead of time.
tion, such as information specified in [72 FR 53131, Sept. 18, 2007]
this part or 40 CFR part 1068 related to
requests for exemptions. § 1039.220 How do I amend my mainte-
(aa) Name an agent for service lo- nance instructions?
cated in the United States. Service on
You may amend your emission-re-
this agent constitutes service on you
lated maintenance instructions after
or any of your officers or employees for
you submit your application for certifi-
any action by EPA or otherwise by the
cation as long as the amended instruc-
United States related to the require-
tions remain consistent with the provi-
ments of this part.
sions of § 1039.125. You must send the
(bb) For imported engines or equip-
Designated Compliance Officer a writ-
ment, identify the following:
ten request to amend your application
(1) Describe your normal practice for for certification for an engine family if
importing engines. For example, this you want to change the emission-re-
may include identifying the names and lated maintenance instructions in a
addresses of any agents you have au- way that could affect emissions. In
thorized to import your engines. your request, describe the proposed
(2) For engines below 560 kW, identify changes to the maintenance instruc-
a test facility in the United States tions. If operators follow the original
where you can test your engines if we maintenance instructions rather than
select them for testing under a selec- the newly specified maintenance, this
tive enforcement audit, as specified in does not allow you to disqualify those
40 CFR part 1068, subpart E. engines from in-use testing or deny a
[69 FR 39213, June 29, 2004, as amended at 71 warranty claim.
FR 39185, July 11, 2006; 72 FR 53131, Sept. 18, (a) If you are decreasing or elimi-
2007; 74 FR 56508, Oct. 30, 2009; 81 FR 74135, nating any specified maintenance, you
Oct. 25, 2016] may distribute the new maintenance
instructions to your customers 30 days

29, 2021, § 1039.205 was amended, effective July after we receive your request, unless
29, 2021. we disapprove your request. This would
388
generally include replacing one main- sions any time during the engine’s life-
tenance step with another. We may ap- time.
prove a shorter time or waive this re- (3) Modify an FEL for an engine fam-
quirement. ily as described in paragraph (f) of this
(b) If your requested change would section.
not decrease the specified mainte- (b) To amend your application for
nance, you may distribute the new certification, send the relevant infor-
maintenance instructions anytime mation to the Designated Compliance
after you send your request. For exam- Officer.
ple, this paragraph (b) would cover add- (1) Describe in detail the addition or
ing instructions to increase the fre- change in the engine model or configu-
quency of filter changes for engines in ration you intend to make.
severe-duty applications. (2) Include engineering evaluations or
(c) You need not request approval if data showing that the amended engine
you are making only minor corrections family complies with all applicable re-
(such as correcting typographical mis- quirements. You may do this by show-
takes), clarifying your maintenance in- ing that the original emission-data en-
structions, or changing instructions for gine is still appropriate for showing
maintenance unrelated to emission that the amended family complies with
control. We may ask you to send us all applicable requirements.
copies of maintenance instructions re- (3) If the original emission-data en-
vised under this paragraph (c). gine for the engine family is not appro-
[75 FR 22990, Apr. 30, 2010; 81 FR 74135, Oct. priate to show compliance for the new
25, 2016] or modified engine configuration, in-
clude new test data showing that the
§ 1039.225 How do I amend my applica- new or modified engine configuration
tion for certification? meets the requirements of this part.
Before we issue you a certificate of (4) Include any other information
conformity, you may amend your ap- needed to make your application cor-
plication to include new or modified rect and complete.
engine configurations, subject to the (c) We may ask for more test data or
provisions of this section. After we engineering evaluations. You must give
have issued your certificate of con- us these within 30 days after we request
formity, you may send us an amended them.
application requesting that we include (d) For engine families already cov-
new or modified engine configurations ered by a certificate of conformity, we
within the scope of the certificate, sub- will determine whether the existing
ject to the provisions of this section. certificate of conformity covers your
You must amend your application if newly added or modified engine. You
any changes occur with respect to any may ask for a hearing if we deny your
information that is included or should request (see § 1039.820).
be included in your application. (e) For engine families already cov-
(a) You must amend your application ered by a certificate of conformity, you
before you take any of the following may start producing the new or modi-
actions: fied engine configuration anytime after
(1) Add an engine configuration to an you send us your amended application
engine family. In this case, the engine and before we make a decision under
configuration added must be consistent paragraph (d) of this section. However,
with other engine configurations in the if we determine that the affected en-
engine family with respect to the cri- gines do not meet applicable require-
teria listed in § 1039.230. ments, we will notify you to cease pro-
(2) Change an engine configuration duction of the engines and may require
already included in an engine family in you to recall the engines at no expense
a way that may affect emissions, or to the owner. Choosing to produce en-
change any of the components you de- gines under this paragraph (e) is
scribed in your application for certifi- deemed to be consent to recall all en-
cation. This includes production and gines that we determine do not meet
design changes that may affect emis- applicable emission standards or other
389
§ 1039.230 40 CFR Ch. I (7–1–21 Edition)
requirements and to remedy the non- those engines to be in a certified con-

conformity at no expense to the owner. figuration if we approve a new or modi-
If you do not provide information re- fied engine configuration at any time
quired under paragraph (c) of this sec- under paragraph (d) of this section.
tion within 30 days after we request it, Modifying a new or in-use engine to be
you must stop producing the new or in a certified configuration does not
modified engines. violate the tampering prohibition of 40
(f) You may ask us to approve a CFR 1068.101(b)(1), as long as this does
change to your FEL in certain cases not involve changing to a certified con-
after the start of production. The figuration with a higher family emis-
changed FEL may not apply to engines sion limit.
you have already introduced into U.S. [69 FR 39213, June 29, 2004, as amended at 70
commerce, except as described in this FR 40463, July 13, 2005; 72 FR 53131, Sept. 18,
paragraph (f). If we approve a changed 2007; 75 FR 22990, Apr. 30, 2010; 81 FR 74135,
FEL after the start of production, you Oct. 25, 2016]
must include the new FEL on the emis-
sion control information label for all § 1039.230 How do I select engine fami-
engines produced after the change. You lies?
may ask us to approve a change to (a) For purposes of certification, di-
your FEL in the following cases: vide your product line into families of
(1) You may ask to raise your FEL engines that are expected to have simi-
for your engine family at any time. In lar emission characteristics through-
your request, you must show that you out the useful life as described in this
will still be able to meet the emission section. Your engine family is limited
standards as specified in subparts B to a single model year.
and H of this part. If you amend your (b) Group engines in the same engine
application by submitting new test family if they are the same in all the
data to include a newly added or modi- following aspects:
fied engine, as described in paragraph (1) The combustion cycle and fuel.
(b)(3) of this section, use the appro- However, you do not need to separate
priate FELs with corresponding pro- dual-fuel and flexible-fuel engines into
duction volumes to calculate emission separate engine families.
credits for the model year, as described (2) The cooling system (water-cooled
in subpart H of this part. In all other vs. air-cooled).
circumstances, you must use the high- (3) Method of air aspiration.
er FEL for the entire engine family to (4) Method of exhaust aftertreatment
calculate emission credits under sub- (for example, catalytic converter or
part H of this part. particulate trap).
(2) You may ask to lower the FEL for (5) Combustion chamber design.
your engine family only if you have (6) Bore and stroke.
test data from production engines (7) Cylinder arrangement (such as in-
showing that emissions are below the line vs. vee configurations). This ap-
proposed lower FEL. The lower FEL plies for engines with aftertreatment
applies only to engines you produce devices only.
after we approve the new FEL. Use the (8) Method of control for engine oper-
appropriate FELs with corresponding ation other than governing (i.e., me-
production volumes to calculate emis- chanical or electronic).
sion credits for the model year, as de- (9) Power category.
scribed in subpart H of this part. (10) Numerical level of the emission
(g) You may produce engines as de- standards that apply to the engine.
scribed in your amended application (c) You may subdivide a group of en-
for certification and consider those engines that is identical under paragraph
gines to be in a certified configuration (b) of this section into different engine
if we approve a new or modified engine families if you show the expected emis-
configuration during the model year sion characteristics are different dur-
under paragraph (d) of this section. ing the useful life.
Similarly, you may modify in-use en- (d) In unusual circumstances, you
gines as described in your amended ap- may group engines that are not iden-
plication for certification and consider tical with respect to the things listed
390
in paragraph (b) of this section in the ards), though you may ask us instead
same engine family if you show that to perform tests with both fuels sepa-
their emission characteristics during rately if you can show that inter-
the useful life will be similar. mediate mixtures are not likely to
(e) If you combine engines from dif- occur in use.
ferent power categories into a single (c) We may perform confirmatory
engine family under paragraph (d) of testing by measuring emissions from
this section, you must certify the en- any of your emission-data engines or
gine family to the more stringent set other engines from the engine family,
of standards from the two power cat- as follows:
egories in that model year. (1) We may decide to do the testing
[69 FR 39213, June 29, 2004, as amended at 72 at your plant or any other facility. If
FR 53131, Sept. 18, 2007; 75 FR 22990, Apr. 30, we do this, you must deliver the engine
2010; 81 FR 74135, Oct. 25, 2016] to a test facility we designate. The en-
gine you provide must include appro-
§ 1039.235 What testing requirements priate manifolds, aftertreatment de-
apply for certification? vices, electronic control units, and
This section describes the emission other emission-related components not
testing you must perform to show com- normally attached directly to the en-
pliance with the emission standards in gine block. If we do the testing at your
§ 1039.101(a) and (b) or § 1039.102(a) and plant, you must schedule it as soon as
(b). See § 1039.205(p) regarding emission possible and make available the instru-
testing related to the NTE standards. ments, personnel, and equipment we
See § 1039.240, § 1039.245, and 40 CFR part need.
1065, subpart E, regarding service accu- (2) If we measure emissions on one of
mulation before emission testing. your engines, the results of that test-
(a) Select an emission-data engine ing become the official emission re-
from each engine family for testing. sults for the engine. Unless we later in-
Select the engine configuration with validate these data, we may decide not
the highest volume of fuel injected per to consider your data in determining if
cylinder per combustion cycle at the your engine family meets applicable
point of maximum torque—unless good requirements.
engineering judgment indicates that a (3) Before we test one of your en-
different engine configuration is more gines, we may set its adjustable param-
likely to exceed (or have emissions eters to any point within the phys-
nearer to) an applicable emission ically adjustable ranges (see
standard or FEL. If two or more en- § 1039.115(e)).
gines have the same fueling rate at (4) Before we test one of your en-
maximum torque, select the one with gines, we may calibrate it within nor-
the highest fueling rate at rated speed. mal production tolerances for anything
In making this selection, consider all we do not consider an adjustable pa-
factors expected to affect emission- rameter. For example, this would apply
control performance and compliance for an engine parameter that is subject
with the standards, including emission to production variability because it is
levels of all exhaust constituents, espe- adjustable during production, but is
cially NOX and PM. not considered an adjustable parameter
(b) Test your emission-data engines (as defined in § 1039.801) because it is
using the procedures and equipment permanently sealed. For parameters
specified in subpart F of this part. In that relate to a level of performance
the case of dual-fuel engines, measure that is itself subject to a specified
emissions when operating with each range (such as maximum power out-
type of fuel for which you intend to put), we will generally perform any
certify the engine. In the case of flexi- calibration under this paragraph (c)(4)
ble-fuel engines, measure emissions in a way that keeps performance with-
when operating with the fuel mixture in the specified range.
that best represents in-use operation or (d) You may ask to use carryover
is most likely to have the highest NOX emission data from a previous model
emissions (or NOX+NMHC emissions for year instead of doing new tests, but
engines subject to NOX+NMHC stand- only if all the following are true:
391
§ 1039.240 40 CFR Ch. I (7–1–21 Edition)
(1) The engine family from the pre- § 1039.240 How do I demonstrate that
vious model year differs from the cur- my engine family complies with ex-
rent engine family only with respect to haust emission standards?
model year, items identified in (a) For purposes of certification, your
§ 1039.225(a), or other characteristics engine family is considered in compli-
unrelated to emissions. We may waive ance with the emission standards in
this criterion for differences we deter- § 1039.101(a) and (b), § 1039.102(a) and (b),
mine not to be relevant. § 1039.104, and § 1039.105 if all emission-
(2) The emission-data engine from data engines representing that family
the previous model year remains the have test results showing official emis-
appropriate emission-data engine sion results and deteriorated emission
under paragraph (b) of this section. levels at or below these standards. This
(3) The data show that the emission- also applies for all test points for emis-
data engine would meet all the require- sion-data engines within the family
ments that apply to the engine family used to establish deterioration factors.
covered by the application for certifi- Note that your FELs are considered to
cation. be the applicable emission standards
(e) We may require you to test a sec- with which you must comply if you
ond engine of the same or different participate in the ABT program in sub-
configuration in addition to the engine part H of this part.
tested under paragraph (b) of this sec- (b) Your engine family is deemed not
tion. to comply if any emission-data engine
(f) If you use an alternate test proce- representing that family has test re-
dure under 40 CFR 1065.10 and later sults showing an official emission re-
testing shows that such testing does sult or a deteriorated emission level
not produce results that are equivalent for any pollutant that is above an ap-
to the procedures specified in subpart F plicable emission standard. Similarly,
of this part, we may reject data you your engine family is deemed not to
generated using the alternate proce- comply if any emission-data engine
dure. representing that family has test re-
sults showing any emission level above
(g) Measure CO2 and CH4 with each
the applicable not-to-exceed emission
low-hour certification test using the
standard for any pollutant. This also
procedures specified in 40 CFR part 1065
applies for all test points for emission-
in the 2011 and 2012 model years, re-
data engines within the family used to
spectively. Also measure N2O with each
establish deterioration factors.
low-hour certification test using the
(c) To compare emission levels from
procedures specified in 40 CFR part 1065
the emission-data engine with the ap-
starting in the 2013 model year for any
plicable emission standards, apply de-
engine family that depends on NOx
terioration factors to the measured
aftertreatment to meet emission stand-
emission levels for each pollutant. Sec-
ards. Small-volume engine manufac-
tion 1039.245 specifies how to test your
turers may omit measurement of N2O
engine to develop deterioration factors
and CH4. These measurements are not
that represent the deterioration ex-
required for NTE testing. Use the same
pected in emissions over your engines’
units and modal calculations as for
full useful life. Your deterioration fac-
your other results to report a single
tors must take into account any avail-
weighted value for each constituent.
able data from in-use testing with
Round the final values as follows:
similar engines. Small-volume engine
(1) Round CO2 to the nearest 1 g/kW- manufacturers may use assigned dete-
hr. rioration factors that we establish.
(2) Round N2O to the nearest 0.001 g/ Apply deterioration factors as follows:
kW-hr. (1) Additive deterioration factor for ex-
(3) Round CH4 to the nearest 0.001g/ haust emissions. Except as specified in
kW-hr. paragraph (c)(2) of this section, use an
[69 FR 39213, June 29, 2004, as amended at 72 additive deterioration factor for ex-
haust emissions. An additive deteriora-
FR 53131, Sept. 18, 2007; 74 FR 56509, Oct. 30,

2009; 75 FR 22991, Apr. 30, 2010; 81 FR 74135, tion factor is the difference between
Oct. 25, 2016] exhaust emissions at the end of the
392
useful life and exhaust emissions at the allow such critical emission-related
low-hour test point. In these cases, ad- maintenance.
just the official emission results for (4) Deterioration factor for smoke. De-
each tested engine at the selected test terioration factors for smoke are al-
point by adding the factor to the meas- ways additive, as described in para-
ured emissions. If the factor is less graph (c)(1) of this section.
than zero, use zero. Additive deteriora- (5) Deterioration factor for crankcase
tion factors must be specified to one emissions. If your engine vents crank-
more decimal place than the applicable case emissions to the exhaust or to the
standard. atmosphere, you must account for
(2) Multiplicative deterioration factor crankcase emission deterioration,
for exhaust emissions. Use a multiplica- using good engineering judgment. You
tive deterioration factor if good engi- may use separate deterioration factors
neering judgment calls for the deterio- for crankcase emissions of each pollut-
ration factor for a pollutant to be the ant (either multiplicative or additive)
ratio of exhaust emissions at the end of or include the effects in combined dete-
rioration factors that include exhaust
the useful life to exhaust emissions at
and crankcase emissions together for
the low-hour test point. For example, if
each pollutant.
you use aftertreatment technology
(6) Dual-fuel and flexible-fuel engines.
that controls emissions of a pollutant
In the case of dual-fuel and flexible-
proportionally to engine-out emissions, fuel engines, apply deterioration fac-
it is often appropriate to use a mul- tors separately for each fuel type. You
tiplicative deterioration factor. Adjust may accumulate service hours on a sin-
the official emission results for each gle emission-data engine using the type
tested engine at the selected test point of fuel or the fuel mixture expected to
by multiplying the measured emissions have the highest combustion and ex-
by the deterioration factor. If the fac- haust temperatures; you may ask us to
tor is less than one, use one. A mul- approve a different fuel mixture if you
tiplicative deterioration factor may demonstrate that a different criterion
not be appropriate in cases where test- is more appropriate.
ing variability is significantly greater (d) Determine the official emission
than engine-to-engine variability. Mul- result for each pollutant to at least one
tiplicative deterioration factors must more decimal place than the applicable
be specified to one more significant fig- standard. Apply the deterioration fac-
ure than the applicable standard. tor to the official emission result, as
(3) Sawtooth and other nonlinear dete- described in paragraph (c) of this sec-
rioration patterns. The deterioration tion, then round the adjusted figure to
factors described in paragraphs (c)(1) the same number of decimal places as
and (2) of this section assume that the the emission standard. Compare the
highest useful life emissions occur ei- rounded emission levels to the emis-
ther at the end of useful life or at the sion standard for each emission-data
low-hour test point. The provisions of engine. In the case of NOX+NMHC
this paragraph (c)(3) apply where good standards, apply the deterioration fac-
engineering judgment indicates that tor to each pollutant and then add the
the highest emissions over the useful results before rounding.
life will occur between these two
points. For example, emissions may in- FR 40463, July 13, 2005; 75 FR 22991, Apr. 30,
crease with service accumulation until 2010; 81 FR 74136, Oct. 25, 2016]
a certain maintenance step is per-
formed, then return to the low-hour § 1039.245 How do I determine deterio-
emission levels and begin increasing ration factors from exhaust dura-
again. Base deterioration factors for bility testing?
engines with such emission patterns on This section describes how to deter-
the difference between (or ratio of) the mine deterioration factors, either with
point at which the highest emissions an engineering analysis, with pre-exist-
occur and the low-hour test point. Note ing test data, or with new emission
that this applies for maintenance-re- measurements. Apply these deteriora-

lated deterioration only where we tion factors to determine whether your
393
§ 1039.250 40 CFR Ch. I (7–1–21 Edition)
engines will meet the duty-cycle emis- terioration factors under this para-
sion standards throughout the useful graph (c).
life as described in § 1039.240. (d) Include the following information
(a) You may ask us to approve dete- in your application for certification:
rioration factors for an engine family (1) If you use test data from a dif-
with established technology based on ferent engine family, explain why this
engineering analysis instead of testing. is appropriate and include all the emis-
Engines certified to a NOX + NMHC sion measurements on which you base
standard or FEL greater than the Tier the deterioration factor.
3 NOX + NMHC standard described in 40 (2) If you determine your deteriora-
CFR 89.112 are considered to rely on es- tion factors based on engineering anal-
tablished technology for gaseous emis- ysis, explain why this is appropriate
sion control, except that this does not and include a statement that all data,
include any engines that use exhaust- analyses, evaluations, and other infor-
gas recirculation or aftertreatment. In mation you used are available for our
most cases, technologies used to meet review upon request.
the Tier 1 and Tier 2 emission stand- (3) If you do testing to determine de-
ards would be considered to be estab- terioration factors, describe the form
lished technology. and extent of service accumulation, in-
(b) You may ask us to approve dete- cluding a rationale for selecting the
rioration factors for an engine family service-accumulation period and the
based on emission measurements from method you use to accumulate hours.
similar highway or nonroad engines if
you have already given us these data [69 FR 39213, June 29, 2004, as amended at 72
for certifying the other engines in the FR 53131, Sept. 18, 2007; 75 FR 22991, Apr. 30,
2010]
same or earlier model years. Use good
engineering judgment to decide wheth- EFFECTIVE DATE NOTE: At 86 FR 34505, June
er the two engines are similar. We will 29, 2021, § 1039.245 was amended, effective July
approve your request if you show us 29, 2021.
that the emission measurements from
§ 1039.250 What records must I keep
other engines reasonably represent in- and what reports must I send to
use deterioration for the engine family EPA?
for which you have not yet determined
deterioration factors. (a) Within 45 days after the end of the
(c) If you are unable to determine de- model year, send the Designated Com-
terioration factors for an engine family pliance Officer a report describing the
under paragraph (a) or (b) of this sec- following information about engines
tion, select engines, subsystems, or you produced during the model year:
components for testing. Determine de- (1) Report the total number of en-
terioration factors based on service ac- gines you produced in each engine fam-
cumulation and related testing to rep- ily by maximum engine power, total
resent the deterioration expected from displacement, and the type of fuel sys-
in-use engines over the full useful life. tem.
You must measure emissions from the (2) If you produced exempted engines
emission-data engine at least three under the provisions of § 1039.625, report
times with evenly spaced intervals of the number of exempted engines you
service accumulation. You may use ex- produced for each engine model and
trapolation to determine deterioration identify the buyer or shipping destina-
factors once you have established a tion for each exempted engine.
trend of changing emissions with age (b) Organize and maintain the fol-
for each pollutant. You may use an en- lowing records:
gine installed in nonroad equipment to (1) A copy of all applications and any
accumulate service hours instead of summary information you send us.
running the engine only in the labora- (2) Any of the information we specify
tory. You may perform maintenance on in § 1039.205 that you were not required
emission-data engines as described in to include in your application.
§ 1039.125 and 40 CFR part 1065, subpart (3) A detailed history of each emis-
E. Use good engineering judgment for sion-data engine. For each engine, de-
all aspects of the effort to establish describe all of the following:
394
(i) The emission-data engine’s con- may make the approval subject to ad-
struction, including its origin and ditional conditions.
buildup, steps you took to ensure that (b) We may deny your application for
it represents production engines, any certification if we determine that your
components you built specially for it, engine family fails to comply with
and all the components you include in emission standards or other require-
your application for certification. ments of this part or the Clean Air Act.
(ii) How you accumulated engine op- We will base our decision on all avail-
erating hours (service accumulation), able information. If we deny your ap-
including the dates and the number of plication, we will explain why in writ-
hours accumulated. ing.
(iii) All maintenance, including (c) In addition, we may deny your ap-
modifications, parts changes, and other plication or suspend or revoke your
service, and the dates and reasons for certificate if you do any of the fol-
the maintenance. lowing:
(iv) All your emission tests, includ- (1) Refuse to comply with any testing
ing the date and purpose of each test or reporting requirements.
and documentation of test parameters (2) Submit false or incomplete infor-
as specified in part 40 CFR part 1065. mation (paragraph (e) of this section
(v) All tests to diagnose engine or applies if this is fraudulent). This in-
emission-control performance, giving cludes doing anything after submission
the date and time of each and the rea- of your application to render any of the
sons for the test. submitted information false or incom-
(vi) Any other significant events. plete.
(4) Production figures for each engine (3) Render inaccurate any test data.
family divided by assembly plant. (4) Deny us from completing author-
(5) Keep a list of engine identifica- ized activities (see 40 CFR 1068.20). This
tion numbers for all the engines you includes a failure to provide reasonable
produce under each certificate of con- assistance.
formity. (5) Produce engines for importation
(c) Keep required data from emission into the United States at a location
tests and all other information speci- where local law prohibits us from car-
fied in this section for eight years after rying out authorized activities.
we issue your certificate. If you use the (6) Fail to supply requested informa-
same emission data or other information or amend your application to in-
tion for a later model year, the eight- clude all engines being produced.
year period restarts with each year (7) Take any action that otherwise
that you continue to rely on the infor- circumvents the intent of the Act or
mation. this part.
(d) Store these records in any format (d) We may void the certificate of
and on any media, as long as you can conformity for an engine family if you
promptly send us organized, written fail to keep records, send reports, or
records in English if we ask for them. give us information as required under
You must keep these records readily this part or the Act. Note that these
available. We may review them at any are also violations of 40 CFR
time. 1068.101(a)(2).
(e) We may void your certificate if we
FR 22991, Apr. 30, 2010; 81 FR 74136, Oct. 25,
2016] false or incomplete information. This
includes rendering submitted informa-
§ 1039.255 What decisions may EPA tion false or incomplete after submis-
make regarding my certificate of sion.
conformity? (f) If we deny your application or sus-
(a) If we determine your application pend, revoke, or void your certificate,
is complete and shows that the engine you may ask for a hearing (see
family meets all the requirements of § 1039.820).
this part and the Act, we will issue a

certificate of conformity for your en- FR 53132, Sept. 18, 2007; 75 FR 22991, Apr. 30,
gine family for that model year. We 2010; 81 FR 74137, Oct. 25, 2016]
395
§ 1039.401 40 CFR Ch. I (7–1–21 Edition)
EFFECTIVE DATE NOTE: At 86 FR 34505, June cation for certification and ensure that
29, 2021, § 1039.255 was revised, effective July the emission control information label
29, 2021. is consistent with your selection of the
test fuel (see § 1039.135(c)(9)). For exam-
Subpart D [Reserved] ple, do not test with ultra low-sulfur
diesel fuel if you intend to label your
Subpart E—In-Use Testing engines to allow use of diesel fuel with
sulfur concentrations up to 500 ppm.
§ 1039.401 General provisions. (e) The following provisions apply for
We may perform in-use testing of any engines using aftertreatment tech-
engine subject to the standards of this nology with infrequent regeneration
part. However, we will limit recall test- events that may occur during testing:
ing to the first 75 percent of each en- (1) Adjust measured emissions to ac-
gine’s useful life as specified in count for aftertreatment technology
§ 1039.101(g). with infrequent regeneration as de-
Subpart F—Test Procedures (2) If your engine family includes en-
gines with one or more emergency
§ 1039.501 How do I run a valid emis- AECDs approved under § 1039.115(g)(4)
sion test? or (5), do not consider additional regen-
(a) Use the equipment and procedures erations resulting from those AECDs
for compression-ignition engines in 40 when developing adjustments to meas-
CFR part 1065 to determine whether en- ured values under this paragraph (e).
gines meet the duty-cycle emission (3) Invalidate a smoke test if active
standards in subpart B of this part. regeneration starts to occur during the
Measure the emissions of all the ex- test.
haust constituents subject to emission (f) You may disable any AECDs that
standards as specified in 40 CFR part have been approved solely for emer-
1065. Measure CO2, N2O, and CH4 as de- gency equipment applications under
scribed in § 1039.235. Use the applicable § 1039.115(g)(4). Note that the emission
duty cycles specified in §§ 1039.505 and standards do not apply when any of
1039.510. these AECDs are active.
(b) Section 1039.515 describes the sup- (g) You may use special or alternate
plemental procedures for evaluating procedures to the extent we allow them
whether engines meet the not-to-ex- under 40 CFR 1065.10.
ceed emission standards in subpart B of (h) This subpart is addressed to you
this part. as a manufacturer, but it applies equal-
(c) Measure smoke using the proce- ly to anyone who does testing for you,
dures in 40 CFR part 86, subpart I, for and to us when we perform testing to
evaluating whether engines meet the determine if your engines meet emis-
smoke standards in § 1039.105, except sion standards.
that you may test two-cylinder engines
with an exhaust muffler like those in- FR 40463, July 13, 2005; 72 FR 53132, Sept. 18,
stalled on in-use engines. 2007; 74 FR 56509, Oct. 30, 2009; 77 FR 34147,
(d) Use the fuels specified in June 8, 2012; 79 FR 46373, Aug. 8, 2014; 81 FR
§ 1039.104(e) and 40 CFR part 1065 to per- 74137, Oct. 25, 2016]
form valid tests.
(1) For service accumulation, use the § 1039.505 How do I test engines using
test fuel or any commercially available steady-state duty cycles, including
fuel that is representative of the fuel ramped-modal testing?
that in-use engines will use. This section describes how to test en-
(2) For diesel-fueled engines, use the gines under steady-state conditions. In
appropriate diesel fuel specified in 40 some cases, we allow you to choose the
CFR part 1065 for emission testing. Un- appropriate steady-state duty cycle for
less we specify otherwise, the appro- an engine; you may also choose be-
priate diesel test fuel is the ultra low- tween discrete-mode and ramped-modal
sulfur diesel fuel. If we allow you to testing. In all cases, you must use the
use a test fuel with higher sulfur lev- duty cycle you select in your applica-
els, identify the test fuel in your appli- tion for certification for all testing you
396
perform for that engine family. If we (d) To allow non-motoring

test your engines to confirm that they dynamometers on cycles with idle, you
meet emission standards, we will use may omit additional points from the
the duty cycle you select for your own duty-cycle regression as follows:
testing. If you submit certification test (1) For variable-speed engines with
data using more than one duty cycle, low-speed governors, you may omit
any of the selected duty cycles may be speed, torque, and power points from
used for any subsequent testing. We the duty-cycle regression statistics if
may also perform other testing as al- the following are met:
lowed by the Clean Air Act. (i) The engine operator demand is at
(a) You may perform steady-state its minimum.
testing with either discrete-mode or (ii) The dynamometer demand is at
ramped-modal cycles as described in 40 its minimum.
CFR part 1065. (iii) It is an idle point fnref = 0% (idle)
(b) Measure emissions by testing the and Tref = 0% (idle).
engine on a dynamometer with one of (iv) Tref < T ≤5% · Tmaxmapped.
the following duty cycles to determine (2) For variable-speed engines with-
whether it meets the steady-state out low-speed governors, you may omit
emission standards in § 1039.101(b): torque and power points from the duty-
(1) Use the 5-mode duty cycle or the cycle regression statistics if the fol-
corresponding ramped-modal cycle de- lowing are met:
scribed in paragraph (a) of Appendix II (i) The dynamometer demand is at its
of this part for constant-speed engines. minimum.
Note that these cycles do not apply to (ii) It is an idle point fnref = 0% (idle)
all engines used in constant-speed ap- and Tref = 0% (idle).
plications, as described in § 1039.801. (iii) fnref ¥ (2% · fntest) < fn < fnref + (2%
(2) Use the 6-mode duty cycle or the · fntest).
corresponding ramped-modal cycle de- (iv) Tref < T ≤5% · Tmaxmapped.
scribed in paragraph (b) of Appendix II [79 FR 23750, Apr. 28, 2014, as amended at 81
of this part for variable-speed engines FR 74137, Oct. 25, 2016]
below 19 kW. You may instead use the
8-mode duty cycle or the corresponding § 1039.510 Which duty cycles do I use
ramped-modal cycle described in para- for transient testing?
graph (c) of Appendix II of this part if (a) Measure emissions by testing the
some engines from your engine family engine on a dynamometer with one of
will be used in applications that do not the following transient duty cycles to
involve governing to maintain engine determine whether it meets the tran-
operation around rated speed. sient emission standards in § 1039.101(a):
(3) Use the 8-mode duty cycle or the (1) For variable-speed engines, use
corresponding ramped-modal cycle de- the transient duty cycle described in
scribed in paragraph (c) of Appendix II appendix VI of this part.
of this part for variable-speed engines (2) [Reserved]
at or above 19 kW. (b) The transient test sequence con-
(c) For constant-speed engines whose sists of an initial run through the tran-
design prevents full-load operation for sient duty cycle from a cold start, 20
extended periods, you may ask for ap- minutes with no engine operation, then
proval under 40 CFR 1065.10(c) to re- a final run through the same transient
place full-load operation with the max- duty cycle. Calculate the official tran-
imum load for which the engine is de- sient emission result from the fol-
signed to operate for extended periods. lowing equation:
0.05 ⋅ cold-start emissions (g) + 0.95 ⋅ hot-start emissions (g)

Official transient emission result =
0.05 ⋅ cold-start work (kW ⋅ hr ) + 0.95 ⋅ hot-start work (kW ⋅ hr )
397
ER30AP10.002</MATH>
§ 1039.515 40 CFR Ch. I (7–1–21 Edition)
[69 FR 39213, June 29, 2004, as amended at 70 (iii) 70% of maximum power at 100%
FR 40463, July 13, 2005; 75 FR 22991, Apr. 30, speed.
2010; 76 FR 57437, Sept. 15, 2011; 79 FR 23751,
Apr. 28, 2014] [69 FR 39213, June 29, 2004, as amended at 81
FR 74137, Oct. 25, 2016]
§ 1039.515 What are the test proce-
dures related to not-to-exceed § 1039.520 What testing must I perform
standards? to establish deterioration factors?
(a) General provisions. The provisions Sections 1039.240 and 1039.245 describe
in 40 CFR 86.1370 apply for determining the method for testing that must be
whether an engine meets the not-to-ex- performed to establish deterioration
ceed emission standards in § 1039.101(e), factors for an engine family.
except as noted in this section. Inter-
pret references to vehicles and vehicle § 1039.525 How do I adjust emission
operation to mean equipment and levels to account for infrequently
equipment operation. regenerating aftertreatment de-
(b) Special PM zone. For engines cer- vices?
tified to a PM standard or FEL above For engines using aftertreatment
0.07 g/kW-hr, a modified NTE control technology with infrequent regenera-
area applies for PM emissions only. tion events that may occur during test-
The speeds and loads to be excluded are ing, take one of the following ap-
determined based on speeds B and C, proaches to account for the emission
determined according to the provisions impact of regeneration:
of 40 CFR 86.1360–2007(c). One of the fol- (a) You may use the calculation
lowing provisions applies: methodology described in 40 CFR
(1) If the C speed is below 2400 rpm, 1065.680 to adjust measured emission
exclude the speed and load points to results. Do this by developing an up-
the right of or below the line formed by ward adjustment factor and a down-
connecting the following two points on ward adjustment factor for each pollut-
a plot of speed-vs.-power: ant based on measured emission data
(i) 30% of maximum power at the B and observed regeneration frequency as
speed; however, use the power value follows:
corresponding to the engine operation (1) Adjustment factors should gen-
at 30% of maximum torque at the B erally apply to an entire engine family,
speed if this is greater than 30% of but you may develop separate adjust-
maximum power at the B speed. ment factors for different configura-
(ii) 70% of maximum power at 100% tions within an engine family. Use the
speed. adjustment factors from this section
(2) If the C speed is at or above 2400 for all testing for the engine family.
rpm, exclude the speed and load points (2) You may use carryover or carry-
to the right of the line formed by con-
across data to establish adjustment
necting the two points in paragraphs
factors for an engine family as de-
(b)(2)(i) and (ii) of this section (the 30%
scribed in § 1039.235, consistent with
and 50% torque/power points) and
good engineering judgment.
below the line formed by connecting
the two points in paragraphs (b)(2)(ii) (3) For engines that are required to
and (iii) of this section (the 50% and certify to both transient and steady-
70% torque/power points). The 30%, state duty cycles, calculate a separate
50%, and 70% torque/power points are adjustment factor for steady-state and
defined as follows: transient operation.
(i) 30% of maximum power at the B (b) You may ask us to approve an al-
speed; however, use the power value ternate methodology to account for re-
corresponding to the engine operation generation events. We will generally
at 30% of maximum torque at the B limit approval to cases where your en-
speed if this is greater than 30% of gines use aftertreatment technology
maximum power at the B speed. with extremely infrequent regenera-
(ii) 50% of maximum power at 2400 tion and you are unable to apply the
rpm. provisions of this section.
398
(c) You may choose to make no ad- EFFECTIVE DATE NOTE: At 86 FR 34505, June
justments to measured emission re- 29, 2021, § 1039.601 was amended, effective July
sults if you determine that regenera- 29, 2021.
tion does not significantly affect emis-
sion levels for an engine family (or § 1039.605 What provisions apply to en-
gines certified under the motor-ve-
configuration) or if it is not practical hicle program?
to identify when regeneration occurs.
If you choose not to make adjustments (a) General provisions. If you are an
under paragraph (a) or (b) of this sec- engine manufacturer, this section al-
tion, your engines must meet emission lows you to introduce new nonroad en-
standards for all testing, without re- gines into commerce if they are al-
gard to regeneration. ready certified to the requirements
that apply to compression-ignition en-
[81 FR 74137, Oct. 25, 2016]
gines under 40 CFR parts 85 and 86 for
the appropriate model year. If you
Subpart G—Special Compliance comply with all the provisions of this
Provisions section, we consider the certificate
issued under 40 CFR part 86 for each en-
§ 1039.601 What compliance provisions gine to also be a valid certificate of
apply?
conformity under this part 1039 for its
(a) Engine and equipment manufac- model year, without a separate applica-
turers, as well as owners, operators, tion for certification under the require-
and rebuilders of engines subject to the ments of this part 1039. See § 1039.610 for
requirements of this part, and all other similar provisions that apply to en-
persons, must observe the provisions of gines certified to chassis-based stand-
this part, the requirements and prohi- ards for motor vehicles.
bitions in 40 CFR part 1068, and the (b) Equipment-manufacturer provisions.
provisions of the Act. If you are not an engine manufacturer,
(b) Subpart C of this part describes you may install motor-vehicle engines
how to test and certify dual-fuel and certified for the appropriate model
flexible-fuel engines. Some multi-fuel year under 40 CFR part 86 in nonroad
engines may not fit either of those de- equipment as long as you meet all the
fined terms. For such engines, we will requirements and conditions specified
determine whether it is most appro- in paragraph (d) of this section. You
priate to treat them as single-fuel en- must also add the fuel-inlet label we
gines, dual-fuel engines, or flexible-fuel specify in § 1039.135(e). If you modify
engines based on the range of possible the motor-vehicle engine in any of the
and expected fuel mixtures. For exam- ways described in paragraph (d)(2) of
ple, an engine might burn natural gas this section, we will consider you a
but initiate combustion with a pilot in- manufacturer of a new nonroad engine.
jection of diesel fuel. If the engine is Such engine modifications prevent you
designed to operate with a single fuel- from using the provisions of this sec-
ing algorithm (i.e., fueling rates are tion.
fixed at a given engine speed and load (c) Liability. Engines for which you
condition), we would generally treat it meet the requirements of this section
as a single-fuel engine, In this context, are exempt from all the requirements
the combination of diesel fuel and nat- and prohibitions of this part, except for
ural gas would be its own fuel type. If those specified in this section. Engines
the engine is designed to also operate exempted under this section must meet
on diesel fuel alone, we would generally all the applicable requirements from 40
treat it as a dual-fuel engine. If the en- CFR parts 85 and 86. This applies to en-
gine is designed to operate on varying gine manufacturers, equipment manu-
mixtures of the two fuels, we would facturers who use these engines, and
generally treat it as a flexible-fuel en- all other persons as if these engines
gine. To the extent that requirements were used in a motor vehicle. The pro-
vary for the different fuels or fuel mix- hibited acts of 40 CFR 1068.101(a)(1)
tures, we may apply the more stringent apply to these new engines and equip-
requirements. ment; however, we consider the certifi-

[81 FR 74137, Oct. 25, 2016] cate issued under 40 CFR part 86 for
399
§ 1039.605 40 CFR Ch. I (7–1–21 Edition)
each engine to also be a valid certifi- (4) You must ensure that the engine
cate of conformity under this part 1039 has the label we require under 40 CFR
for its model year. If we make a deter- part 86.
mination that these engines do not (5) You must add a permanent supple-
conform to the regulations during their mental label to the engine in a position
useful life, we may require you to re- where it will remain clearly visible
call them under 40 CFR part 86 or 40 after installation in the equipment. In
CFR 1068.505. the supplemental label, do the fol-
(d) Specific requirements. If you are an lowing:
engine manufacturer or equipment (i) Include the heading: ‘‘NONROAD
manufacturer and meet all the fol- ENGINE EMISSION CONTROL INFOR-
lowing criteria and requirements re- MATION’’.
garding your new nonroad engine, the (ii) Include your full corporate name
engine is eligible for an exemption and trademark. You may identify an-
under this section: other company and use its trademark
(1) Your engine must be covered by a instead of yours if you comply with the
valid certificate of conformity issued branding provisions of 40 CFR 1068.45.
under 40 CFR part 86. (iii) State: ‘‘THIS ENGINE WAS
(2) You must not make any changes ADAPTED FOR NONROAD USE WITH-
to the certified engine that could rea- OUT AFFECTING ITS EMISSION CON-
sonably be expected to increase its ex- TROLS. THE EMISSION–CONTROL
haust emissions for any pollutant, or SYSTEM DEPENDS ON THE USE OF
its evaporative emissions if it is sub- FUEL MEETING SPECIFICATIONS
ject to evaporative-emission standards. THAT APPLY FOR MOTOR–VEHICLE
For example, if you make any of the APPLICATIONS. OPERATING THE
ENGINE ON OTHER FUELS MAY BE
following changes to one of these en-
A VIOLATION OF FEDERAL LAW.’’
gines, you do not qualify for this ex-
emption: (iv) State the date you finished modi-
fying the engine (month and year), if
(i) Change any fuel system param-
applicable.
eters from the certified configuration.
(6) The original and supplemental la-
(ii) Change, remove, or fail to prop-
bels must be readily visible after the
erly install any other component, ele-
engine is installed in the equipment or,
ment of design, or calibration specified if the equipment obscures the engine’s
in the engine manufacturer’s applica- emission control information label, the
tion for certification. This includes equipment manufacturer must attach
aftertreatment devices and all related duplicate labels, as described in 40 CFR
components. 1068.105.
(iii) Modify or design the engine cool- (7) You must make sure that nonroad
ing system so that temperatures or equipment produced under this section
heat rejection rates are outside the will have the fueling label we specify in
original engine manufacturer’s speci- § 1039.135(c)(9)(i).
fied ranges. (8) Send the Designated Compliance
(3) You must show that fewer than 50 Officer written notification describing
percent of the engine family’s total your plans before using the provisions
sales in the United States are used in of this section. In addition, by Feb-
nonroad applications. This includes en- ruary 28 of each calendar year (or less
gines used in any application without often if we tell you), send the Des-
regard to which company manufactures ignated Compliance Oficer a signed let-
the vehicle or equipment. Show this as ter with all the following information:
follows: (i) Identify your full corporate name,
(i) If you are the original manufac- address, and telephone number.
turer of the engine, base this showing (ii) List the engine or equipment
on your sales information. models for which you used this exemp-
(ii) In all other cases, you must get tion in the previous year and describe
the original manufacturer of the en- your basis for meeting the sales re-
gine to confirm this based on its sales strictions of paragraph (d)(3) of this
information. section.
400
(iii) State: ‘‘We prepared each listed sions that apply to motor-vehicle en-
[engine or equipment] model for gines produced for nonroad equipment.
nonroad application without making (b) Equipment-manufacturer provisions.
any changes that could increase its If you are not a motor-vehicle manu-
certified emission levels, as described facturer, you may produce nonroad
in 40 CFR 1039.605.’’ equipment from motor vehicles under
(e) Failure to comply. If your engines this section as long as you meet all the
do not meet the criteria listed in para- requirements and conditions specified
graph (d) of this section, they will be in paragraph (d) of this section. You
subject to the standards, requirements, must also add the fuel-inlet label we
and prohibitions of this part 1039 and specify in § 1039.135(e). If you modify
the certificate issued under 40 CFR the motor vehicle or its engine in any
part 86 will not be deemed to also be a of the ways described in paragraph
certificate issued under this part 1039. (d)(2) of this section, we will consider
Introducing these engines into com- you a manufacturer of a new nonroad
merce without a valid exemption or engine. Such modifications prevent you
certificate of conformity under this from using the provisions of this sec-
part violates the prohibitions in 40 tion.
CFR 1068.101(a)(1). (c) Liability. Engines, vehicles, and
(f) Data submission. We may require equipment for which you meet the re-
you to send us emission test data on quirements of this section are exempt
any applicable nonroad duty cycles. from all the requirements and prohibi-
(g) Participation in averaging, banking tions of this part, except for those
and trading. Engines adapted for specified in this section. Engines ex-
nonroad use under this section may not empted under this section must meet
generate or use emission credits under all the applicable requirements from 40
this part 1039. These engines may gen- CFR parts 85 and 86. This applies to en-
erate credits under the ABT provisions gine manufacturers, equipment manu-
in 40 CFR part 86. These engines must facturers, and all other persons as if
use emission credits under 40 CFR part the nonroad equipment were motor ve-
86 if they are certified to an FEL that hicles. The prohibited acts of 40 CFR
exceeds an applicable standard under 40 1068.101(a)(1) apply to these new pieces
CFR part 86. of equipment; however, we consider the
certificate issued under 40 CFR part 86
for each motor vehicle to also be a
FR 40463, July 13, 2005; 72 FR 53132, Sept. 18,
2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74138, valid certificate of conformity for the
Oct. 25, 2016] engine under this part 1039 for its
model year. If we make a determina-
§ 1039.610 What provisions apply to ve- tion that these engines, vehicles, or
hicles certified under the motor-ve- equipment do not conform to the regu-
hicle program? lations during their useful life, we may
(a) General provisions. If you are a require you to recall them under 40
motor-vehicle manufacturer, this sec- CFR part 86 or 40 CFR 1068.505.
tion allows you to introduce new (d) Specific requirements. If you are a
nonroad engines or equipment into motor-vehicle manufacturer and meet
commerce if the vehicle is already cer- all the following criteria and require-
tified to the requirements that apply ments regarding your new nonroad
under 40 CFR parts 85 and 86 for the ap- equipment and its engine, the engine is
propriate model year. If you comply eligible for an exemption under this
with all of the provisions of this sec- section:
tion, we consider the certificate issued (1) Your equipment must be covered
under 40 CFR part 86 for each motor ve- by a valid certificate of conformity as
hicle to also be a valid certificate of a motor vehicle issued under 40 CFR
conformity for the engine under this part 86.
part 1039 for its model year, without a (2) You must not make any changes
separate application for certification to the certified vehicle that we could
under the requirements of this part reasonably expect to increase its ex-
1039. See § 1039.605 for similar provi- haust emissions for any pollutant, or
401
§ 1039.610 40 CFR Ch. I (7–1–21 Edition)
its evaporative emissions if it is sub- FUEL MEETING SPECIFICATIONS

ject to evaporative-emission standards. THAT APPLY FOR MOTOR-VEHICLE
For example, if you make any of the APPLICATIONS. OPERATING THE
following changes, you do not qualify ENGINE ON OTHER FUELS MAY BE
for this exemption: A VIOLATION OF FEDERAL LAW.’’.
(i) Change any fuel system param- (iv) State the date you finished modi-
eters from the certified configuration. fying the vehicle (month and year), if
(ii) Change, remove, or fail to prop- applicable.
erly install any other component, ele- (6) The original and supplemental la-
ment of design, or calibration specified bels must be readily visible in the fully
in the vehicle manufacturer’s applica- assembled equipment.
tion for certification. This includes
(7) Send the Designated Compliance
aftertreatment devices and all related
components. Officer written notification describing
(iii) Modify or design the engine cool- your plans before using the provisions
ing system so that temperatures or of this section. In addition, by Feb-
heat rejection rates are outside the ruary 28 of each calendar year (or less
original vehicle manufacturer’s speci- often if we tell you), send the Des-
fied ranges. ignated Compliance Officer a signed
(iv) Add more than 500 pounds to the letter with all the following informa-
curb weight of the originally certified tion:
motor vehicle. (i) Identify your full corporate name,
(3) You must show that fewer than 50 address, and telephone number.
percent of the engine family’s total (ii) List the equipment models for
sales in the United States are used in which you used this exemption in the
nonroad applications. This includes previous year and describe your basis
any type of vehicle, without regard to for meeting the sales restrictions of
which company completes the manu- paragraph (d)(3) of this section.
facturing of the nonroad equipment. (iii) State: ‘‘We prepared each listed
Show this as follows: engine or equipment model for nonroad
(i) If you are the original manufac- application without making any
turer of the vehicle, base this showing changes that could increase its cer-
on your sales information. tified emission levels, as described in 40
(ii) In all other cases, you must get CFR 1039.610.’’
the original manufacturer of the vehi- (e) Failure to comply. If your engines,
cle to confirm this based on their sales vehicles, or equipment do not meet the
information. criteria listed in paragraph (d) of this
(4) The equipment must have the ve- section, the engines will be subject to
hicle emission control information and the standards, requirements, and prohi-
fuel labels we require under 40 CFR
bitions of this part 1039, and the certifi-
86.007–35.
cate issued under 40 CFR part 86 will
(5) You must add a permanent supple-
not be deemed to also be a certificate
mental label to the equipment in a po-
issued under this part 1039. Introducing
sition where it will remain clearly visi-
these engines into commerce without a
ble. In the supplemental label, do the
following: valid exemption or certificate of con-
(i) Include the heading: ‘‘NONROAD formity under this part violates the
ENGINE EMISSION CONTROL INFOR- prohibitions in 40 CFR 1068.101(a)(1).
MATION’’. (f) Data submission. We may require
(ii) Include your full corporate name you to send us emission test data on
and trademark. You may identify an- any applicable nonroad duty cycles.
other company and use its trademark (g) Participation in averaging, banking
instead of yours if you comply with the and trading. Vehicles adapted for
branding provisions of 40 CFR 1068.45. nonroad use under this section may not
(iii) State: ‘‘THIS VEHICLE WAS generate or use emission credits under
ADAPTED FOR NONROAD USE WITH- this part 1039. These vehicles may gen-
OUT AFFECTING ITS EMISSION CON- erate credits under the ABT provisions
TROLS. THE EMISSION-CONTROL in 40 CFR part 86. These vehicles must

SYSTEM DEPENDS ON THE USE OF be included in the calculation of the
402
applicable fleet average in 40 CFR part § 1039.620 What are the provisions for
86. exempting engines used solely for
competition?
FR 40463, July 13, 2005; 72 FR 53132, Sept. 18, The provisions of this section apply
2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74138, for new engines built on or after Janu-
Oct. 25, 2016] ary 1, 2006.
(a) Equipment manufacturers may
§ 1039.615 What special provisions use uncertified engines if the vehicles
apply to engines using noncommer- or equipment in which they are in-
cial fuels? stalled will be used solely for competi-
In § 1039.115(e), we generally require tion.
that engines meet emission standards (b) The definition of nonroad engine
for any adjustment within the full in 40 CFR 1068.30 excludes engines used
range of any adjustable parameters. solely for competition. These engines
For engines that use noncommercial are not required to comply with this
fuels significantly different than the part 1039 or 40 CFR part 89, but 40 CFR
specified test fuel of the same type, 1068.101 prohibits the use of competi-
you may ask to use the parameter-ad- tion engines for noncompetition pur-
justment provisions of this section in- poses.
stead of those in § 1039.115(e). Engines (c) We consider a vehicle or piece of
certified under this section must be in equipment to be one that will be used
a separate engine family. solely for competition if it has features
(a) If we approve your request, the that are not easily removed that would
following provisions apply: make its use other than in competition
(1) You must certify the engine using unsafe, impractical, or highly unlikely.
the test fuel specified in § 1039.501. (d) As an engine manufacturer, your
(2) You may produce the engine with- engine is exempt without our prior ap-
out limits or stops that keep the en- proval if you have a written request for
gine adjusted within the certified an exempted engine from the equip-
range. ment manufacturer showing the basis
(3) You must specify in-use adjust- for believing that the equipment will
ments different than the adjustable be used solely for competition. You
settings appropriate for the specified must permanently label engines ex-
test fuel, consistent with the provi- empted under this section to clearly in-
sions of paragraph (b)(1) of this section. dicate that they are to be used solely
(b) To produce engines under this sec- for competition. Failure to properly
tion, you must do the following: label an engine will void the exemp-
(1) Specify in-use adjustments needed tion.
so the engine’s level of emission con- (e) We may discontinue an exemption
trol for each regulated pollutant is under this section if we find that en-
equivalent to that from the certified gines are not used solely for competi-
configuration. tion.
(2) Add the following information to EFFECTIVE DATE NOTE: At 86 FR 34505, June
the emission control information label 29, 2021, § 1039.620 was amended, effective July
specified in § 1039.135: 29, 2021.
(i) Include instructions describing
how to adjust the engine to operate in § 1039.625 What requirements apply
a way that maintains the effectiveness under the program for equipment-
of the emission-control system. manufacturer flexibility?
(ii) State: ‘‘THIS ENGINE IS CER- The provisions of this section allow
TIFIED TO OPERATE IN APPLICA- equipment manufacturers to produce
TIONS USING NONCOMMERCIAL equipment with engines that are sub-
FUEL. MALADJUSTMENT OF THE ject to less stringent emission stand-
ENGINE IS A VIOLATION OF FED- ards after the Tier 4 emission stand-
ERAL LAW SUBJECT TO CIVIL PEN- ards begin to apply. To be eligible to
ALTY.’’. use these provisions, you must follow
(3) Keep records to document the des- all the instructions in this section. See
tinations and quantities of engines pro- 40 CFR 89.102(d) and (e) for provisions
duced under this section. that apply to equipment produced
403
§ 1039.625 40 CFR Ch. I (7–1–21 Edition)
while Tier 1, Tier 2, or Tier 3 standards TABLE 2 OF § 1039.625—AVAILABILITY OF

apply. See § 1039.626 for requirements DELAYED ALLOWANCES—Continued
that apply specifically to companies
Power category Calendar years
that manufacture equipment outside
the United States and to companies 56 ≤kW <130 ............................................. 2014–2020
that import such equipment without 130 ≤kW ≤560 ........................................... 2014–2020
manufacturing it. Engines and equip- kW >560 .................................................... 2015–2021
ment you produce under this section
are exempt from the prohibitions in 40 (b) Allowances. You may choose one
CFR 1068.101(a)(1), subject to the provi- of the following options for each power
sions of this section. category to produce equipment with
(a) General. If you are an equipment exempted engines under this section,
manufacturer, you may introduce into except as allowed under § 1039.627:
commerce in the United States limited (1) Percent-of-production allowances.
numbers of nonroad equipment with You may produce a certain number of
engines exempted under this section. units with exempted engines calculated
You may use the exemptions in this using a percentage of your total sales
section only if you have primary re- within a power category relative to
sponsibility for designing and manufac- your total U.S.-directed production
turing equipment and your manufac- volume. The sum of these percentages
turing procedures include installing within a power category during the
some engines in this equipment. Con- seven-year period specified in para-
sider all U.S.-directed equipment sales graph (a) of this section may not ex-
in showing that you meet the require- ceed 80 percent, except as allowed
ments of this section, including those under paragraph (b)(2) or (m) of this
from any parent or subsidiary compa- section.
nies and those from any other compa- (2) Small-volume allowances. You may
nies you license to produce equipment determine an alternate allowance for a
for you. If you produce a type of equip- specific number of exempted engines
ment that has more than one engine, under this section using one of the fol-
count each engine separately. These lowing approaches for your U.S.-di-
provisions are available over the fol- rected production volumes:
lowing periods: (i) You may produce up to 700 units
(1) These provisions are available for with exempted engines within a power
the years shown in the following table, category during the seven-year period
except as provided in paragraph (a)(2) specified in paragraph (a) of this sec-
of this section: tion, with no more than 200 units in
any single year within a power cat-
TABLE 1 OF § 1039.625—GENERAL AVAILABILITY egory, except as provided in paragraph
OF ALLOWANCES
(m) of this section. Engines within a
Power category Calendar years power category that are exempted
under this section must be from a sin-
kW <19 ...................................................... 2008–2014
19 ≤kW <56 ............................................... 2008–2014
gle engine family within a given year.
56 ≤kW <130 ............................................. 2012–2018 (ii) For engines below 130 kW, you
130 ≤kW ≤560 ........................................... 2011–2017 may produce up to 525 units with ex-
kW >560 .................................................... 2011–2017
empted engines within a power cat-
egory during the seven-year period
(2) If you do not use any allowances
specified in paragraph (a) of this sec-
in a power category before the earliest
tion, with no more than 150 units in
dates shown in the following table, you
any single year within a power cat-
may delay the start of the seven-year
egory, except as provided in paragraph
period for using allowances under this
(m) of this section. For engines at or
section as follows:
above 130 kW, you may produce up to
TABLE 2 OF § 1039.625—AVAILABILITY OF 350 units with exempted engines within
DELAYED ALLOWANCES a power category during the seven-year
period, with no more than 100 units in
Power category Calendar years any single year within a power cat-
kW <19 ...................................................... ............................ egory. Exemptions under this para-

19 ≤kW <56 ............................................... 2012–2018 graph (b)(2)(ii) may apply to engines
404
from multiple engine families in a engine has a permanent label describ-

given year. ing why it is exempted from the Tier 4
(iii) In each power category at or standards.
above 56 kW, you may apply the provi- (3) Do not include equipment using
sions of paragraph (b)(2)(i) of this sec- model year 2008 or 2009 engines cer-
tion in the first two model years for tified under the provisions of
which Tier 4 standards apply, regard- § 1039.101(c) in your count of equipment
less of the number of engine families using exempted engines. However, you
you use in your equipment, provided may include these units in your count
you exceed the single engine family re- of total equipment you produce for the
striction of that paragraph primarily given year for the percentage calcula-
due to production of equipment in- tion in paragraph (b)(1) of this section.
tended specifically to travel on snow (4) You may start using the allow-
and to commonly operate at more than ances under this section for engines
9,000 feet above sea level. After the that are not yet subject to Tier 4
first two Tier 4 model years in a power standards, as long as the seven-year pe-
category, you may continue to apply riod for using allowances under the
the provisions of paragraph (b)(2)(i) of Tier 2 or Tier 3 program has expired
this section, subject to the single en- (see 40 CFR 89.102(d)). Table 3 of this
gine family restriction. section shows the years for which this
(c) Percentage calculation. Calculate applies. To use these early allowances,
for each calendar year the percentage you must use engines that meet the
of equipment with exempted engines emission standards described in para-
from your total U.S.-directed produc- graph (e) of this section. You must also
tion within a power category if you count these units or calculate these
need to show that you meet the per- percentages as described in paragraph
cent-of-production allowances in para- (c) of this section and apply them to-
graph (b)(1) of this section. ward the total number or percentage of
(d) Inclusion of engines not subject to equipment with exempted engines we
Tier 4 standards. The following provi- allow for the Tier 4 standards as de-
sions apply to engines that are not sub- scribed in paragraph (b) of this section.
ject to Tier 4 standards: The maximum number of cumulative
(1) If you use the provisions of 40 CFR early allowances under this paragraph
1068.105(a) to use up your inventories of (d)(4) is 10 percent under the percent-
engines not certified to new emission of-production allowance or 100 units
standards, do not include these units in under the small-volume allowance. For
your count of equipment with exempt- example, if you produce 5 percent of
ed engines under paragraph (b) of this your equipment with engines between
section. However, you may include 130 and 560 kW that use allowances
these units in your count of total under this paragraph (d)(4) in 2009, you
equipment you produce for the given may use up to an additional 5 percent
year for the percentage calculation in of your allowances in 2010. If you use
paragraph (b)(1) of this section. allowances for 5 percent of your equip-
(2) If you install engines that are ex- ment in both 2009 and 2010, your 80 per-
empted from the Tier 4 standards for cent allowance for 2011–2017 in the 130–
any reason, other than for equipment- 560 kW power category decreases to 70
manufacturer allowances under this percent. Manufacturers using allow-
section, do not include these units in ances under this paragraph (d)(4) must
your count of exempted engines under comply with the notification and re-
paragraph (b) of this section. However, porting requirements specified in para-
you may include these units in your graph (g) of this section.
count of total equipment you produce
for the given year for the percentage TABLE 3 OF § 1039.625—YEARS FOR EARLY
calculation in paragraph (b)(1) of this ALLOWANCES
section. For example, if we grant a Maximum engine power Calendar years
hardship exemption for the engine
manufacturer, you may count these as kW <19 ...................................................... 2007
19 ≤kW <37 ............................................... 2006–2011

compliant engines under this section. 37 ≤kW <56 ............................................... 2011
This paragraph (d)(2) applies only if the 56 ≤kW <75 ............................................... 2011
405
§ 1039.625 40 CFR Ch. I (7–1–21 Edition)
TABLE 3 OF § 1039.625—YEARS FOR EARLY (3) The calendar year in which the
ALLOWANCES—Continued equipment is manufactured.
(4) An e-mail address and phone num-
Maximum engine power Calendar years
ber to contact for further information,
75 ≤kW <130 ............................................. 2010–2011 or a Web site that includes this contact
130 ≤kW <225 ........................................... 2010 information.
225 ≤kW <450 ........................................... 2008–2010
450 ≤kW ≤560 ........................................... 2009–2010
(5) The following statement:
KW >560 .................................................... ............................ THIS EQUIPMENT [or identify the type of
equipment] HAS AN ENGINE THAT MEETS
(e) Standards. If you produce equip- U.S. EPA EMISSION STANDARDS UNDER
ment with exempted engines under this 40 CFR 1039.625.
section, the engines must meet emis-
(g) Notification and reporting. You
sion standards specified in this para-
must notify us of your intent to use
graph (e), or more stringent standards.
the provisions of this section and send
Note that we consider engines to be
us an annual report to verify that you
meeting emission standards even if
are not exceeding the allowances, as
they are certified with a family emis-
follows:
sion limit that is higher than the emis-
(1) Before you use the provisions of
sion standard that would otherwise
this section, send the Designated Com-
apply.
pliance Officer a written notice of your
(1) If you are using the provisions of
intent, including:
paragraph (d)(4) of this section, engines
(i) Your company’s name and ad-
must meet the applicable Tier 1 or Tier
dress, and your parent company’s name
2 emission standards described in 40
and address, if applicable.
CFR 89.112. (ii) The name, phone number and e-
(2) If you are using the provisions of
mail address of a person to contact for
paragraph (a)(2) of this section, engines
more information.
must be identical in all material re- (iii) The calendar years in which you
spects to engines certified under this expect to use the exemption provisions
part 1039 as follows: of this section.
Must meet all standards and (iv) The name and address of each
Engines in the following requirements that applied in company you expect to produce engines
power category. . . the following model year. . .
for the equipment you manufacture
(i) 19 ≤kW <56 ....................... 2008 (Option 1, where appli- under this section.
cable). (v) Your best estimate of the number
(ii) 56 ≤kW <130 .................... 2012 (Phase-out).
(iii) 130 ≤kW ≤560 ................. 2011 (Phase-out). of units in each power category you
(iv) kW >560 .......................... 2011. will produce under this section and
whether you intend to comply under
(3) In all other cases, engines at or paragraph (b)(1) or (b)(2) of this sec-
above 56 kW and at or below 560 kW tion.
must meet the appropriate Tier 3 (vi) The number of units in each
standards described in 40 CFR 89.112. power category you have sold in pre-
Engines below 56 kW and engines above vious calendar years under 40 CFR
560 kW must meet the appropriate Tier 89.102(d).
2 standards described in 40 CFR 89.112. (2) For each year that you use the
(f) Equipment labeling. You must add a provisions of this section, send the Des-
permanent label, written legibly in ignated Compliance Officer a written
English, to the engine or another read- report by March 31 of the following
ily visible part of each piece of equip- year. Identify the following things in
ment you produce with exempted en- your report:
gines under this section. This label, (i) The total count of units you sold
which supplements the engine manu- in the preceding year for each power
facturer’s emission control information category, based on actual U.S.-directed
label, must include at least the fol- production information.
lowing items: (ii) The percentages of U.S.-directed
(1) The label heading ‘‘EMISSION production that correspond to the
CONTROL INFORMATION’’. number of units in each power category
(2) Your corporate name and trade- and the cumulative numbers and per-
mark. centages of units for all the units you
406
have sold under this section for each identical in all material respects to en-
power category. You may omit the per- gines previously certified under this
centage figures if you include in the re- part 1039. If you show under 40 CFR
port a statement that you will not be 1068.265(c) that the engines are iden-
using the percent-of-production allow- tical in all material respects to engines
ances in paragraph (b)(1) of this sec- that you have previously certified to
tion. one or more FELs above the standards
(iii) The manufacturer of the engine specified in paragraph (e) of this sec-
installed in the equipment you produce tion, you must supply sufficient credits
under this section if this is different for these engines. Calculate these cred-
than you specified under paragraph its under subpart H of this part using
(g)(1)(iv) of this section. the previously certified FELs and the
(h) Recordkeeping. Keep the following alternate standards. You must meet
records of all equipment with exempted the labeling requirements in 40 CFR
engines you produce under this section 89.110 or § 1039.135, as applicable, with
for at least five full years after the the following exceptions:
final year in which allowances are (1) Add the following statement in-
available for each power category: stead of the compliance statement in 40
(1) The model number, serial number, CFR 89.110(b)(10) or § 1039.135(c)(12), as
and the date of manufacture for each
applicable:
engine and piece of equipment.
(2) The maximum power of each en- THIS ENGINE MEETS U.S. EPA
gine. EMISSION STANDARDS UNDER 40
(3) The total number or percentage of CFR 1039.625. SELLING OR INSTALL-
equipment with exempted engines, as ING THIS ENGINE FOR ANY PUR-
described in paragraph (b) of this sec- POSE OTHER THAN FOR THE EQUIP-
tion and all documentation supporting MENT FLEXIBILITY PROVISIONS OF
your calculation. 40 CFR 1039.625 MAY BE A VIOLATION
(4) The notifications and reports we OF FEDERAL LAW SUBJECT TO
require under paragraph (g) of this sec- CIVIL PENALTY.
tion. (2) You may omit the family emis-
(i) Enforcement. Producing more ex- sion limits if they are below the emis-
empted engines or equipment than we sion standards.
allow under this section or installing
(k) Other exemptions. See 40 CFR
engines that do not meet the emission
1068.255 for exemptions based on hard-
standards of paragraph (e) of this sec-
ship for equipment manufacturers and
tion violates the prohibitions in 40 CFR
secondary engine manufacturers.
1068.101(a)(1). You must give us the
records we require under this section if (l) [Reserved]
we ask for them (see 40 CFR (m) Additional exemptions for technical
1068.101(a)(2)). or engineering hardship. You may re-
(j) Provisions for engine manufacturers. quest additional engine allowances
As an engine manufacturer, you may under paragraph (b) of this section;
produce exempted engines as needed however, you may use these extra al-
under this section. You do not have to lowances only for those equipment
request this exemption for your en- models for which you, or an affiliated
gines, but you must have written as- company, do not also produce the en-
surance from equipment manufacturers gine. Additional allowances under this
that they need a certain number of ex- paragraph (m) must be used within the
empted engines under this section. specified seven-year period. After con-
Send us an annual report of the engines sidering the circumstances, we may
you produce under this section, as de- permit you to introduce into U.S. com-
scribed in § 1039.250(a). Exempt engines merce equipment with such engines
must meet the emission standards in that do not comply with Tier 4 emis-
paragraph (e) of this section and you sion standards, as follows:
must meet all the requirements of 40 (1) We may approve additional ex-
CFR 1068.265, except that engines pro- emptions if extreme and unusual cir-
duced under the provisions of para- cumstances that are clearly outside
graph (a)(2) of this section must be your control and that could not have
407
§ 1039.626 40 CFR Ch. I (7–1–21 Edition)
been avoided with reasonable discre- quest, as described in paragraph (m)(4)

tion have resulted in technical or engi- of this section.
neering problems that prevent you (3) We may approve your request to
from meeting the requirements of this increase the allowances under para-
part. You must show that you exer- graph (b)(1) of this section, subject to
cised prudent planning and have taken the following limitations:
all reasonable steps to minimize the (i) You must use up the allowances
scope of your request for additional al- under paragraph (b)(1) of this section
lowances. before using any additional allowances
(2) To apply for exemptions under under this paragraph (m).
this paragraph (m), send the Des- (ii) The additional allowances under
ignated Compliance Officer a written this paragraph (m)(3) may not exceed
request as soon as possible before you 200 percent for each power category.
are in violation. In your request, in- (iii) You may use these additional al-
clude the following information: lowances only for the specific equip-
(i) Describe your process for design- ment models covered by your request.
ing equipment. (4) We may approve your request to
(ii) Describe how you normally work increase the small-volume allowances
cooperatively or concurrently with under paragraph (b)(2) of this section,
your engine supplier to design prod- subject to the following limitations:
ucts. (i) You are eligible for additional al-
(iii) Describe the engineering or tech- lowances under this paragraph (m)(4)
nical problems causing you to request only if you do not use the provisions of
the exemption and explain why you paragraph (m)(3) of this section to ob-
have not been able to solve them. De- tain additional allowances within a
scribe the extreme and unusual cir- given power category.
cumstances that led to these problems (ii) You must use up the allowances
and explain how they were unavoid- under paragraph (b)(2) of this section
able. before using any additional allowances
under this paragraph (m).
(iv) Describe any information or
(iii) The additional allowances under
products you received from your engine
this paragraph (m)(4) may not exceed
supplier related to equipment design—
2,000 units.
such as written specifications, perform-
(iv) We may approve additional al-
ance data, or prototype engines—and
lowances in the form of waiving the an-
when you received it.
nual limits specified in paragraph (b)(2)
(v) Compare the design processes of
of this section instead of or in addition
the equipment model for which you
to increasing the total number of al-
need additional exemptions and that
lowances under this paragraph (m)(4).
for other models for which you do not
(v) If we increase the total number of
need additional exemptions. Explain
allowances, you may use these allow-
the technical differences that justify
ances only for the specific equipment
your request.
models covered by your request.
(vi) Describe your efforts to find and
use other compliant engines, or other- [69 FR 39213, June 29, 2004, as amended at 70
wise explain why none is available. FR 40464, July 13, 2005; 72 FR 53133, Sept. 18,
2007; 73 FR 59191, Oct. 8, 2008; 75 FR 68461,
(vii) Describe the steps you have Nov. 8, 2010; 78 FR 49966, Aug. 16, 2013; 79 FR
taken to minimize the scope of your re- 7084, Feb. 6, 2014]
quest.
(viii) Include other relevant informa- 29, 2021, § 1039.325 was amended, effective July
tion. You must give us other relevant 29, 2021.
information if we ask for it.
(ix) Estimate the increased percent § 1039.626 What special provisions
of production you need for each equip- apply to equipment imported under
ment model covered by your request, the equipment-manufacturer flexi-
as described in paragraph (m)(3) of this bility program?
section. Estimate the increased num- This section describes requirements
ber of allowances you need for each that apply to equipment manufacturers
equipment model covered by your re- using the provisions of § 1039.625 for
408
equipment produced outside the United (2) Name an agent for service located
States. Note that § 1039.625 limits these in the United States. Service on this
provisions to equipment manufacturers agent constitutes service on you or any
that install some engines and have pri- of your officers or employees for any
mary responsibility for designing and action by EPA or otherwise by the
manufacturing equipment. Companies United States related to the require-
that import equipment into the United ments of this part.
States without meeting these criteria (3) The forum for any civil or crimi-
are not eligible for these allowances. nal enforcement action related to the
Such importers may import equipment provisions of this section for violations
with exempted engines only as de- of the Clean Air Act or regulations pro-
scribed in paragraph (b) of this section. mulgated thereunder shall be governed
(a) As a foreign equipment manufac- by the Clean Air Act.
turer, you or someone else may import (4) The substantive and procedural
equipment with exempted engines laws of the United States shall apply to
under this section if you comply with any civil or criminal enforcement ac-
the provisions in § 1039.625 and commit tion against you or any of your officers
to the following: or employees related to the provisions
(1) Give any EPA inspector or auditor of this section.
complete and immediate access to in- (5) Provide the notification required
spect and audit, as follows: by § 1039.625(g). Include in the notice of
(i) Inspections and audits may be an- intent in § 1039.625(g)(1) a commitment
nounced or unannounced. to comply with the requirements and
(ii) Inspections and audits may be by obligations of § 1039.625 and this sec-
EPA employees or EPA contractors. tion. This commitment must be signed
(iii) You must provide access to any by the owner or president.
location where— (6) You, your agents, officers, and
(A) Any nonroad engine, equipment, employees must not seek to detain or
or vehicle is produced or stored. to impose civil or criminal remedies
(B) Documents related to manufac- against EPA inspectors or auditors,
turer operations are kept. whether EPA employees or EPA con-
(C) Equipment, engines, or vehicles tractors, for actions performed within
are tested or stored for testing. the scope of EPA employment related
(iv) You must provide any documents to the provisions of this section.
requested by an EPA inspector or audi- (7) By submitting notification of
tor that are related to matters covered your intent to use the provisions of
by the inspections or audit. § 1039.625, producing and exporting for
(v) EPA inspections and audits may resale to the United States nonroad
include review and copying of any doc- equipment under this section, or tak-
uments related to demonstrating coming other actions to comply with the
pliance with the exemptions in requirements of this part, you, your
§ 1039.625. agents, officers, and employees, with-
(vi) EPA inspections and audits may out exception, become subject to the
include inspection and evaluation of full operation of the administrative
complete or incomplete equipment, en- and judicial enforcement powers and
gines, or vehicles, and interviewing provisions of the United States as de-
employees. scribed in 28 U.S.C. 1605(a)(2), without
(vii) You must make any of your em- limitation based on sovereign immu-
ployees available for interview by the nity, for conduct that violates the re-
EPA inspector or auditor, on request, quirements applicable to you under
within a reasonable time period. this part 1039—including such conduct
(viii) You must provide English lan- that violates 18 U.S.C. 1001, 42 U.S.C.
guage translations of any documents to 7413(c)(2), or other applicable provi-
an EPA inspector or auditor, on re- sions of the Clean Air Act—with re-
quest, within 10 working days. spect to actions instituted against you
(ix) You must provide English-lan- and your agents, officers, and employ-
guage interpreters to accompany EPA ees in any court or other tribunal in

inspectors and auditors, on request. the United States.
409
§ 1039.626 40 CFR Ch. I (7–1–21 Edition)
(8) Any report or other document you TABLE 1 OF § 1039.626—PER-ENGINE BOND

submit to us must be in the English VALUES—Continued
language, or include a complete trans-
The per-en-
lation in English. For engines with maximum engine power gine bond
falling in the following ranges . . .
(9) You must post a bond to cover any value is . . .
potential enforcement actions under 19 ≤kW <56 ................................................... 300
the Clean Air Act before you or anyone 56 ≤kW <130 ................................................. 500
else imports your equipment under this 130 ≤kW <225 ............................................... 1,000
225 ≤kW <450 ............................................... 3,000
section, as follows: kW ≥450 ........................................................ 8,000
(i) The value of the bond is based on
the per-engine bond values shown in (iv) You will forfeit the proceeds of
Table 1 of this section and on the high- the bond posted under this section if
est number of engines in each power you need to satisfy any U.S. adminis-
category you produce in any single cal- trative settlement agreement, adminis-
endar year under the provisions of trative final order or judicial judgment
§ 1039.625. For example, if you have pro- against you arising from your violation
jected U.S.-directed production vol- of this chapter, or violation of 18 U.S.C.
umes of 100 exempt engines in the 19–56 1001, 42 U.S.C. 7413(c)(2), or other appli-
kW power category and 300 exempt en- cable provisions of the Clean Air Act.
gines in the 56–130 kW power category (b) The provisions of this paragraph
in 2013, the appropriate bond amount is (b) apply to importers that do not in-
$180,000. If your estimated or actual en- stall engines into equipment and do
gine imports increase beyond the level not have primary responsibility for de-
appropriate for your current bond pay- signing and manufacturing equipment.
ment, you must post additional bond to Such importers may import equipment
reflect the increased sales within 90 with engines exempted under § 1039.625
days after you change your estimate or only if each engine is exempted under
determine the actual sales. You may an allowance provided to an equipment
not decrease your bond. manufacturer meeting the require-
(ii) You may meet the bond requirements of § 1039.625 and this section. You
ments of this section with any of the must notify us of your intent to use
following methods: the provisions of this section and send
(A) Get a bond from a third-party us an annual report, as follows:
surety that is cited in the U.S. Depart- (1) Before you use the provisions of
ment of Treasury Circular 570, ‘‘Com- this section, send the Designated Com-
panies Holding Certificates of Author- pliance Officer a written notice of your
ity as Acceptable Sureties on Federal intent, including:
Bonds and as Acceptable Reinsuring (i) Your company’s name and ad-
Companies.’’ Maintain this bond for dress, and your parent company’s name
five years after the applicable allow- and address, if applicable.
ance period expires, or five years after (ii) The name and address of the com-
you use up all the available allowances panies that produce the equipment and
under § 1039.625, whichever comes first. engines you will be importing under
(B) Get us to approve a waiver from this section.
the bonding requirement if you can (iii) Your best estimate of the num-
show that you meet the asset thresh- ber of units in each power category you
olds described in 40 CFR 1054.690. will import under this section in the
(iii) If you forfeit some or all of your upcoming calendar year, broken down
bond in an enforcement action, you by equipment manufacturer and power
must post any appropriate bond for category.
continuing importation within 90 days (iv) The number of units in each
after you forfeit the bond amount. power category you have imported in
previous calendar years under 40 CFR
TABLE 1 OF § 1039.626—PER-ENGINE BOND 89.102(d).
VALUES (2) For each year that you use the
The per-en- provisions of this section, send the Des-
For engines with maximum engine power gine bond ignated Compliance Officer a written
falling in the following ranges . . . value is . . .

report by March 31 of the following
kW <19 .......................................................... $150 year. Include in your report the total
410
number of engines you imported under (a) For early-compliant engines to

this section in the preceding calendar generate offsets for use under this sec-
year, broken down by engine manufac- tion, the following general provisions
turer and by equipment manufacturer. apply:
[69 FR 39213, June 29, 2004, as amended at 73 (1) The engine manufacturer must
FR 59192, Oct. 8, 2008] comply with the provisions of
EFFECTIVE DATE NOTE: At 86 FR 34506, June § 1039.104(a)(1) for the offset-generating
29, 2021, § 1039.626 was amended, effective July engines.
29, 2021. (2) Engines you install in your equip-
ment after December 31 of the years
§ 1039.627 What are the incentives for
equipment manufacturers to use specified in § 1039.104(a)(1) do not gen-
cleaner engines? erate allowances under this section,
even if the engine manufacturer gen-
This section allows equipment manu-
erated offsets for that engine under
facturers to generate additional allow-
§ 1039.104(a).
ances under the provisions of § 1039.625
by producing equipment using engines (3) Offset-generating engines must be
at or above 19 kW certified to specified certified to the following standards
levels earlier than otherwise required. under this part 1039:
You may reduce the num-

ber of engines in the
If the engine’s max- And you install In later model
Certified early to the . . . same power category that
imum power is . . . . . . years by . . .
are required to meet the
. . .
(i) kW ≥19 ................ One engine ....... Emissions standards in § 1039.101 Standards in Tables 2 One engine.
through 7 of § 1039.102
or in § 1039.101.
(ii) 56 ≤kW <130 ...... Two engines ..... NOX standards in § 1039.102(e)(1), Standards in Tables 2 One engine.
and NMHC standard of 0.19 g/ through 7 of § 1039.102
kW-hr, a PM standard of 0.02 g/ or in § 1039.101.
kW-hr, and a CO standard of 5.0
g/kW-hr.
(iii) 130 ≤kW <560 ... Two engines ..... NOX standards in § 1039.102(e)(2), Standards in Tables 2 One engine.
an NMHC standard of 0.19 g/kW- through 7 of § 1039.102
hr, a PM standard of 0.02 g/kW- or in § 1039.101.
hr, and a CO standard of 3.5 g/
kW-hr.
(b) Using engine offsets. (1) You may total number of available power-
use engine offsets generated under weighted allowances. For example, if
paragraph (a) of this section to gen- you generate engine offsets for 75 500-
erate additional allowances under kW engines, you may generate up to
§ 1039.625, as follows: 37,500 kW-engines of power-weighted al-
(i) For each engine offset, you may lowances. You may apply this to 375
increase the number of available allow- 100-kW engines or any other combina-
ances under § 1039.625(b) for that power tion that totals 37,500 kW-engines.
category by one engine for the years (2) You may decline to use the off-
indicated. sets. If you decline, the engine manu-
(ii) For engines in 56–560 kW power facturer may use the provisions of
categories, you may transfer engine § 1039.104(a)(1).
offsets across power categories within (c) Limitation on offsets for engines
this power range. Calculate the number above 560 kW. For engines above 560
of additional allowances by scaling the kW, you must track how many engines
number of generated engine offsets ac- you install in generator sets and how
cording to the ratio of engine power for
many you install in other applications
offset and allowance engines. Make
under the provisions of this section.
this calculation for all your offset en-
Offsets from generator-set engines may
gines for which you will transfer off-
sets under this paragraph (b)(1)(ii), be used only for generator-set engines.
then round the result to determine the
411
§ 1039.630 40 CFR Ch. I (7–1–21 Edition)
Offsets from engines for other applica- § 1039.635 What are the hardship pro-
tions may be used only for other appli- visions for engine manufacturers?
cations besides generator sets.
If you qualify for the hardship provi-
(d) Reporting. When you submit your
first annual report under § 1039.625(g), sions specified in 40 CFR 1068.245, we
include the following additional infor- may approve a period of delayed com-
mation related to the engines you use pliance for up to one model year total
to generate offsets under this section: (or two model years total for small-vol-
(1) The name of each engine family ume manufacturers). If you qualify for
involved. the hardship provisions specified in 40
(2) The number of engines from each CFR 1068.250 for small-volume manu-
power category. facturers, we may approve a period of
(3) The maximum engine power of delayed compliance for up to two
each engine. model years total.
(4) For engines above 560 kW, wheth-
er you use engines certified to the § 1039.645 What special provisions
standards for generator-set engines. apply to engines used for transpor-
(e) In-use fuel. If the engine manufac- tation refrigeration units?
turer certifies using ultra low-sulfur Manufacturers may choose to use the
diesel fuel, you must take steps to en- provisions of this section for engines
sure that the in-use engines in the fam- used in transportation refrigeration
ily will use diesel fuel with a sulfur
units (TRUs). The operating restric-
concentration no greater than 15 ppm.
For example, selling equipment only tions and characteristics in paragraph
into applications where the operator (f) of this section define engines that
commits to a central-fueling facility are not used in TRUs. All provisions of
with ultra low-sulfur diesel fuel this part apply for TRU engines, except
throughout its lifetime would meet as specified in this section.
this requirement. (a) You may certify engines under
this section with the following special
FR 22992, Apr. 30, 2010] provisions:
(1) The engines are not subject to the
§ 1039.630 What are the economic transient emission standards of sub-
hardship provisions for equipment part B of this part.
manufacturers? (2) The steady-state emission stand-
If you qualify for the economic hard- ards in subpart B of this part apply for
ship provisions specified in 40 CFR emissions measured over the steady-
1068.255, we may approve your hardship state test cycle described in paragraph
application subject to the following ad- (b) of this section instead of the other-
ditional conditions: wise applicable duty cycle described in
(a) You must show that you have
§ 1039.505.
used up the allowances to produce
equipment with exempted engines (b) Measure steady-state emissions
under § 1039.625. using the procedures specified in
(b) You may produce equipment § 1039.505, except for the duty cycles, as
under this section for up to 12 months follows:
total (or 24 months total for small-vol- (1) The following duty cycle applies
ume manufacturers). for discrete-mode testing:
TABLE 1 OF § 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

3 ................................ Intermediate test speed ......................................................................... 75 0.25
2 The percent torque is relative to the maximum torque at the given engine speed.
412
(2) The following duty cycle applies

for ramped-modal testing:
TABLE 2 OF § 1039.645—RAMPED-MODAL CYCLE FOR TRU ENGINES
RMC Time in mode Torque
Engine speed 1
mode (seconds) (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
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 pro-
gression from the torque setting of the current mode to the torque setting of the next mode, and simultaneously command a simi-
lar linear progression for engine speed if there is a change in speed setting.
(c) Engines certified under this sec- (f) An engine is not considered to be
tion must be certified in a separate en- used in a TRU if any of the following is
gine family that contains only TRU en- true:
gines. (1) The engine is installed in any
(d) You must do the following for equipment other than refrigeration
each engine certified under this sec- units for railcars, truck trailers, or
tion: other freight vehicles.
(1) State on the emission control in- (2) The engine operates in any mode
formation label: ‘‘THIS ENGINE IS not covered by the test cycle described
CERTIFIED TO OPERATE ONLY IN in this section, except as follows:
TRANSPORTATION REFRIGERATION (i) The engine may operate briefly at
UNITS. INSTALLING OR USING THIS idle. Note, however, that TRU engines
ENGINE IN ANY OTHER APPLICA- must meet NTE emission standards
TION MAY BE A VIOLATION OF FED- under any type of operation, including
ERAL LAW SUBJECT TO CIVIL PEN- idle, as described in paragraph (e) of
ALTY.’’. this section.
(2) State in the emission-related in- (ii) The engine may have a minimal
stallation instructions all steps nec- amount of transitional operation be-
essary to ensure that the engine will tween two allowable modes. As an ex-
operate only in the modes covered by ample, a thirty-second transition pe-
the test cycle described in this section. riod would clearly not be considered
(3) Keep records to document the des- minimal.
tinations and quantities of engines pro- (iii) The engine as installed may ex-
duced under this section. perience up to a 2-percent decrease in
(e) All engines certified under this load at a given setpoint over any 10-
section must comply with NTE stand- minute period, and up to a 15-percent
ards, as described in § 1039.101 or decrease in load at a given setpoint
§ 1039.102 for the applicable model year, over any 60-minute period.
except that the NTE standards are not
(3) The engine is sold in a configura-
limited with respect to operating
tion that allows the engine to operate
speeds and loads. In your application
in any mode not covered by the test
for certification, certify that all the
cycle described in this section. For ex-
engines in the engine family comply
with the not-to-exceed emission stand- ample, this section does not apply to
ards for all normal operation and use. an engine sold without a governor lim-
The deficiency provisions of § 1039.104(d) iting operation only to those modes
do not apply to these engines. This covered by the test cycle described in
paragraph (e) applies whether or not this section.
the engine would otherwise be subject

to NTE standards.
413
§ 1039.650 40 CFR Ch. I (7–1–21 Edition)
(4) The engine is subject to Tier 3 or § 1039.665 Special provisions for use of
earlier standards, or phase-out Tier 4 engines in emergency situations.
standards. This section specifies provisions that
[69 FR 39213, June 29, 2004, as amended at 73 allow for temporarily disabling emis-
FR 37241, June 30, 2008] sion controls during qualified emer-
gency situations. For purposes of this
§ 1039.650 [Reserved] section, a qualified emergency situa-
tion is one in which the condition of an
§ 1039.655 What special provisions engine’s emission controls poses a sig-
apply to engines sold in Guam, nificant direct or indirect risk to
American Samoa, or the Common- human life. An example of a direct risk
wealth of the Northern Mariana Is- would be an emission control condition
lands? that inhibits the performance of an en-
(a) The prohibitions in § 1068.101(a)(1) gine being used to rescue a person from
do not apply to an engine if the fol- a life-threatening situation. An exam-
lowing conditions are met: ple of an indirect risk would be an
emission control condition that inhib-
(1) The engine is intended for use and
its the performance of an engine being
will be used in Guam, American
used to provide electrical power to a
Samoa, or the Commonwealth of the data center that routes ‘‘911’’ emer-
Northern Mariana Islands. gency response telecommunications.
(2) The engine meets the latest appli- (a) Scope. To facilitate temporarily
cable emission standards in 40 CFR disabling emission controls during a
89.112. qualified emergency situation, manu-
(3) You meet all the requirements of facturers may apply for approval of
40 CFR 1068.265. auxiliary emission control devices
(b) If you introduce an engine into (AECDs) under this section. Once acti-
commerce in the United States under vated, an AECD approved under this
this section, you must meet the label- section may disable any emission con-
ing requirements in 40 CFR 89.110, but trols as necessary to address a quali-
add the following statement instead of fied emergency situation, subject to
the compliance statement in 40 CFR the limitations in this section. For the
89.110(b)(10): purposes of this section, automatically
limiting engine performance to induce
THIS ENGINE DOES NOT COMPLY WITH an operator to perform emission-re-
U.S. EPA TIER 4 EMISSION REQUIRE- lated maintenance—such as refilling a
MENTS. IMPORTING THIS ENGINE INTO DEF tank—is considered an emission
THE UNITED STATES OR ANY TERRI- control. AECDs approved under this
TORY OF THE UNITED STATES EXCEPT section are not defeat devices, and
GUAM, AMERICAN SAMOA, OR THE COM-
their proper use during a qualified
MONWEALTH OF THE NORTHERN MAR-
emergency situation is not prohibited
IANA ISLANDS MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PEN- under Clean Air Act section 203 (42
ALTY. U.S.C. 7522). Manufacturers may apply
for AECD approval at any time; how-
(c) Introducing into commerce an en- ever, we encourage manufacturers to
gine exempted under this section in obtain preliminary approval before
any state or territory of the United submitting an application for certifi-
States other than Guam, American cation. We may allow manufacturers to
Samoa, or the Commonwealth of the apply an approved AECD to engines
Northern Mariana Islands, throughout and equipment that have already been
its lifetime, violates the prohibitions placed into service.
in 40 CFR 1068.101(a)(1), unless it is ex- (b) AECD approval criteria. We will ap-
empt under a different provision. prove an AECD where we determine
that the following criteria have been
[69 FR 39213, June 29, 2004, as amended at 70 met:
FR 40464, July 13, 2005] (1) The AECD’s design must be con-
sistent with good engineering judg-

29, 2021, § 1039.655 was amended, effective July ment and the manufacturer must show
29, 2021. that the AECD deactivates emission
414
controls only to the extent necessary tion. For emission controls that in-
to address the expected emergency sit- volve a sequence of increasingly severe
uation. engine performance limits to induce
(2) Manufacturers must discourage operators to perform emission-related
improper activation of the AECD by maintenance, the emission controls
displaying information where it is may be reset to the initial point of
clearly visible to the equipment oper- that sequence when the AECD is de-
ator when the operator is in a position activated.
to activate the AECD. Unless we ap- (8) The manufacturer must ensure
prove alternate language, state the fol- that resetting the AECD cannot occur
lowing: ‘‘EMERGENCY USE ONLY. without the manufacturer’s specific
SEE OWNERS MANUAL. PENALTIES permission, and that resetting the
APPLY FOR MISUSE.’’ AECD requires either input of a tem-
(3) Manufacturers may design and porary code, reconfiguration of the en-
produce their engines with the AECD gine’s electronic control module by a
initially armed to allow operators to qualified service technician, or an
activate the AECD one time per engine equivalent security feature that is
without any further input or permis- unique to each engine. AECD resets
sion from the manufacturer. The AECD may not occur unless either the manu-
may be subsequently reset as specified facturer has evidence that the emer-
in paragraph (b)(8) of this section. gency situation is continuing or the
(4) Except as allowed by paragraph operator provides the information re-
(b)(3) of this section, AECD activation quired in paragraph (e) of this section,
must require either input of a tem- in writing or by any other means.
porary code, reconfiguration of the en- (9) The manufacturer must take ap-
gine’s electronic control module by a propriate additional steps to induce op-
qualified service technician, or an erators to report AECD activation and
equivalent security feature that is
request resetting the AECD. We rec-
unique to each engine.
ommend including one or more per-
(5) The engine controls must be con-
sistent visible and/or audible alarms
figured to record the total number of
that are active from the point when
AECD activations in that engine’s non-
the AECD is activated to the point
volatile electronic memory.
when it is reset.
(6) The engine controls must include
an operator-activated switch or other (c) Required information. Manufactur-
element of design to allow the operator ers producing engines equipped with an
to manually deactivate the AECD once AECD approved under this section
a qualified emergency situation has must communicate at least the fol-
ended. This manual control may in- lowing information in writing to the
clude a ‘‘confirm-delete’’ function, as operator:
needed, to prevent unintentionally de- (1) Instructions for activating, de-
activating the AECD. This control may activating, and reactivating the AECD;
allow for manual reactivation of the reporting AECD use; and requesting
AECD provided that the AECD’s auto- AECD resets.
matic deactivation limits in paragraph (2) A warning that federal regula-
(b)(7) of this section have not yet been tions prohibit activating the emer-
reached, but such reactivation by oper- gency AECD for something other than
ators would be allowed only under a qualified emergency situation, failing
emergency situations. This manual de- to disable the emergency AECD after a
activation control must not deactivate qualified emergency situation ends,
operator inducements required by para- and failing to notify the manufacturer
graph (b)(9) of this section. and send reports as required under
(7) The AECD must automatically de- paragraph (e) of this section. The warn-
activate within a cumulative engine ing must also identify the maximum
run time of 120 hours after the AECD civil penalty for such violations as de-
was initially activated (excluding any scribed in 40 CFR 1068.101.
time the AECD was deactivated). The (3) Notification that the manufac-
AECD may be subsequently reset as turer will send the information from
specified in paragraph (b)(8) of this sec- the operator’s report under paragraph
415
§ 1039.665 40 CFR Ch. I (7–1–21 Edition)
(e) of this section to EPA and that fed- of the AECD and are prohibited under
eral regulation separately prohibits Clean Air Act section 203 (42 U.S.C.
submitting false information. 7522):
(d) Resetting AECDs. The operator (or (1) Activating the emergency AECD
other person responsible for the engine/ for any use other than a qualified
equipment) may request resetting the emergency situation where the emis-
AECD at any time. The manufacturer sion control strategy would curtail en-
may reset the AECD only if the manu- gine performance.
facturer has evidence that the emer- (2) Failing to disable the emergency
gency situation is continuing, or after
AECD after a qualified emergency situ-
the operator provides the information
ation has ended.
required in paragraph (e) of this sec-
tion, in writing or by any other means. (3) Failing to disable the emergency
(e) Operator reporting of AECD use. AECD after the problem causing the
The operator (or other person respon- emission control strategy to interfere
sible for the engine/equipment) must with engine performance has been or
send a written report to the manufac- can reasonably be fixed.
turer within 60 calendar days after ac- (4) Failing to provide the information
tivating an AECD approved under this required under paragraph (e) of this
section. The report must include the section within 60 days of AECD activa-
following: tion.
(1) Contact name, mail and email ad- (h) Manufacturer reporting to EPA.
dresses, and telephone number for the Within 90 days after each calendar
responsible company or entity. year, the manufacturer must send an
(2) A description of the emergency annual report to the Designated Com-
situation, the location of the engine pliance Officer describing the use of
during the emergency, and the contact AECDs approved under this section. A
information for an official who can manufacturer may request an exten-
verify the emergency situation (such as sion if it is impractical to meet this
a county sheriff, fire marshal, or hos- deadline as the result of an emergency
pital administrator).
situation occurring late in a given cal-
(3) The reason for AECD activation
endar year. The annual report must in-
during the emergency situation, such
clude a description of each emergency
as the lack of DEF, or the failure of an
emission-related sensor when the en- situation leading to each AECD activa-
gine was needed to respond to an emer- tion and copies of the reports sub-
gency situation. mitted by operators (or statements
(4) The engine’s serial number (or that an operator did not submit a re-
equivalent). port, to the extent of the manufactur-
(5) A description of the extent and er’s knowledge).
duration of the engine operation while (i) Submissions to EPA. Notifications
the AECD was active, including a and reports submitted to comply with
statement describing whether or not this section are deemed to be submis-
the AECD was manually deactivated sions to EPA.
after the emergency situation ended. (j) Recordkeeping. The manufacturer
(f) Operator failure to report. If the op- must keep records to document the use
erator fails to submit the report re- of AECDs approved under this section
quired by paragraph (e) of this section until the end of the calendar year five
to the manufacturer within 60 days of years after the onset of the relevant
activating an AECD approved under emergency situation. We may approve
this section, the manufacturer, to the alternate recordkeeping and reporting
extent it has been made aware of the requirements.
AECD activation, must send written (k) Anti-circumvention. We may set
notification to the operator that fail- other reasonable conditions to ensure
ure to meet the submission require- that the provisions in this section are
ments may subject the operator to pen- not used to circumvent the emission
alties under 40 CFR 1068.101.
standards of this part.

(g) Prohibited acts. The following ac-
tions by the operator are improper use [79 FR 46373, Aug. 8, 2014]
416
§ 1039.670 Approval of an emergency information to support your deter-

equipment field modification mination under paragraph (b) of this
(EEFM). section, as follows:
This section describes how you may (i) If we request additional informa-
implement design changes for emer- tion and you do not provide it within 30
gency equipment that has already been days after we ask, we may deem that
placed into service to ensure that the you have retracted your request for our
equipment will perform properly in approval; however, we may extend this
emergency situations. deadline for submitting the additional
(a) You must notify us in writing of information.
your intent to install or distribute an (ii) We will deny your request if we
emergency equipment field modifica- determine that the EEFM is not nec-
tion (EEFM). In some cases you may essary to prevent the equipment from
install or distribute an EEFM only losing speed, torque, or power due to
with our advance approval, as specified abnormal conditions of the emission
in this section. control system during operation re-
(b) Include in your notification a full lated to emergency response, or to pre-
description of the EEFM and any docu- vent such abnormal conditions from
mentation to support your determina- occurring during operation related to
tion that the EEFM is necessary to emergency response.
prevent the equipment from losing (iii) Unless we say otherwise, your
speed, torque, or power due to abnor- proposed EEFM is deemed approved 30
mal conditions of its emission control days after we acknowledge that you
system during operation related to have provided us with all the addi-
emergency response, or to prevent such tional information we have specified.
abnormal conditions from occurring (4) If your proposed EEFM is deemed
during operation related to emergency to be approved under paragraph (c)(2)
response. Examples of such abnormal or (3) of this section and we find later
conditions may include excessive ex- that your EEFM in fact does not meet
haust backpressure from an overloaded the requirements of this section, we
particulate trap, or running out of die- may require you to no longer install or
sel exhaust fluid (DEF) for engines that distribute it.
rely on urea-based selective catalytic
reduction. Your determination must be FR 46375, Aug. 8, 2014]
based on an engineering evaluation or
testing or both. § 1039.699 Emission standards and cer-
(c) You may need our advance ap- tification requirements for auxil-
proval for your EEFM, as follows: iary power units for highway trac-
(1) Where the proposed EEFM is iden- tors. Emission standards and cer-
tical to an AECD we approved under tification requirements for auxil-
this part for an engine family cur- iary power units for highway trac-
tors.
rently in production, no approval of
the proposed EEFM is necessary. (a) This section describes emission
(2) Where the proposed EEFM is for standards and certification require-
an engine family currently in produc- ments for auxiliary power units (APU)
tion but the applicable demonstration installed on highway tractors subject
is based on an AECD we approved to standards under 40 CFR 1037.106
under this part for an engine family no starting in model year 2024.
longer in production, you must de- (b) You may apply for a certificate of
scribe to us how your proposed EEFM conformity under this section if you
differs from the approved AECD. Unless manufacture APUs, or if you install
we say otherwise, your proposed EEFM emission control hardware to meet the
is deemed approved 30 days after you standard in this section.
notify us. (c) Exhaust emissions may not ex-
(3) If we have not approved an EEFM ceed a PM standard of 0.02 g/kW-hr
comparable to the one you are pro- when tested using the steady-state test
posing, you must get our approval be- procedures described in subpart F of
fore installing or distributing it. In this part for the duty cycles specified
this case, we may request additional in § 1039.505(b)(1). Your APUs must
417
§ 1039.699 40 CFR Ch. I (7–1–21 Edition)
meet the exhaust emission standards of (5) Additional testing provisions

this section over the engine’s useful apply as described in § 1039.235(c), (e),
life as specified in § 1039.101(g). These and (f).
emission standards also apply for test- (i) Your APU certificate is valid for
ing with production and in-use APUs. any engine certified under this part
(d) The APU is deemed to have a 1039, as long as the engine has a max-
valid certificate of conformity under imum engine power no more than 10
this section if the engine manufacturer percent greater than the maximum en-
certifies the engine under 40 CFR part gine power of the engine used for cer-
1039 with a family emission limit of 0.02 tification testing under this section.
g/kW-hr or less. (j) The following provisions apply for
(e) The APU may draw power from determining whether your APU com-
the installed engine to regenerate a plies with the requirements of this sec-
particulate filter, but you must not tion:
make any other changes to the cer-
(1) For purposes of certification, your
tified engine that could reasonably be
emission family is considered in com-
expected to increase its emissions of
any pollutant. pliance with the emission standards of
(f) Sections 1039.115, 1039.120, 1039.125, this section if all emission-data APUs
and 1039.130 apply for APUs as written. representing that family have test re-
You must exercise due diligence in en- sults showing compliance with the
suring that your system will not ad- standards.
versely affect safety or otherwise vio- (2) Your engine family is deemed not
late the prohibition of § 1039.115(f). to comply if any emission-data APU
(g) All your APUs are considered to representing that family for certifi-
be part of a single emission family; cation has test results showing a full-
however, you may subdivide your APUs life emission level above the PM stand-
into multiple emission families if you ard.
show the expected emission character- (k) At the time of manufacture, affix
istics are different during the useful a permanent and legible label identi-
life. fying each APU. This applies even if
(h) Testing requirements apply for the engine manufacturer certifies a
certification as follows: compliant engine as described in para-
(1) Select an emission-data APU rep- graph (d) of this section. The label
resenting a worst-case condition for must meet the specifications described
PM emissions. Measure emissions from in 40 CFR 1068.45(a). The label must—
the test engine with the APU installed (1) Include the heading ‘‘EMISSION
according to your specifications. CONTROL INFORMATION’’.
(2) We may require you to provide an (2) Include your full corporate name
engineering analysis showing that the and trademark.
performance of your emission controls (3) State: ‘‘THIS APU ENGINE COM-
will not deteriorate during the useful PLIES WITH 40 CFR 1039.699.’’
life with proper maintenance. If we de-
(l) [Reserved]
termine that your emission controls
are likely to deteriorate during the (m) See §§ 1039.201, 1039.210, 1039.220,
useful life, we may require you to de- 1039.225, 1039.250, and 1039.255 for gen-
velop and apply deterioration factors eral requirements related to obtaining
consistent with good engineering judg- a certificate of conformity. A certifi-
ment. cate issued under this section may
(3) Collect emission data and round apply for a production period lasting
to the nearest 0.01 g/kW-hr for com- up to five years. Include the following
paring to the standard. Calculate full- information in your application for
life emissions as described in certification, unless we ask you to in-
§ 1039.240(d) if you need to apply a dete- clude less information:
rioration factor. (1) Describe the emission family’s
(4) You may ask to use emission data specifications and other basic param-
from a previous production period in- eters of the APU’s design and emission
stead of doing new tests as described in controls. List each distinguishable con-
§ 1039.235(d). figuration in the emission family. For
418
each APU configuration, list the max- (15) Provide additional information if
imum engine power for which the APU we say we need it to evaluate your ap-
is designed to operate. plication.
(2) Explain how the emission control (16) Name an agent for service lo-
system operates. Identify the part cated in the United States. Service on
number of each component you de- this agent constitutes service on you
scribe. or any of your officers or employees for
(3) Describe the engines you selected any action by EPA or otherwise by the
for testing and the reasons for select- United States related to the require-
ing them. ments of this part.
(4) Describe the test equipment and (n) If a highway tractor manufac-
procedures that you used. Also describe turer violates 40 CFR 1037.106(g) by in-
any special or alternate test proce- stalling an APU from you that is not
dures you used. properly certified and labeled, you are
(5) Describe how you operated the presumed to have caused the violation
emission-data APU before testing, in-
(see 40 CFR 1068.101(c)).
cluding any operation to break in the
APU or otherwise stabilize emission [81 FR 74138, Oct. 25, 2016]
levels. Describe any scheduled mainte-
nance you did. Subpart H—Averaging, Banking,
(6) List the specifications of the test and Trading for Certification
fuel to show that it falls within the re-
quired ranges we specify in 40 CFR part § 1039.701 General provisions.
1065.
(7) Include the maintenance and war- (a) You may average, bank, and trade
ranty instructions you will provide (see (ABT) emission credits for purposes of
§§ 1039.120 and 1039.125). certification as described in this sub-
(8) Describe your emission control in- part to show compliance with the
formation label. standards of this part. Participation in
(9) Identify the emission family’s de- this program is voluntary.
terioration factors and describe how (b) Section 1039.740 restricts the use
you developed them, or summarize of emission credits to certain aver-
your analysis describing why you don’t aging sets.
expect performance of emission con- (c) The definitions of Subpart I of
trols to deteriorate. Present any emis- this part apply to this subpart. The fol-
sion test data you used for this. lowing definitions also apply:
(10) State that you operated your (1) Actual emission credits means emis-
emission-data APU as described in the sion credits you have generated that
application (including the test proce- we have verified by reviewing your
dures, test parameters, and test fuels) final report.
to show you meet the requirements of (2) Averaging set means a set of en-
this part. gines in which emission credits may be
(11) Present emission data for PM. exchanged only with other engines in
(12) Report all test results, including the same averaging set.
those from invalid tests, whether or
(3) Broker means any entity that fa-
not they were conducted according to
cilitates a trade of emission credits be-
the test procedures of subpart F of this
tween a buyer and seller.
part. We may ask you to send other in-
formation to confirm that your tests (4) Buyer means the entity that re-
were valid under the requirements of ceives emission credits as a result of a
this part and 40 CFR part 1065. trade.
(13) Describe any adjustable oper- (5) Reserved emission credits means
ating parameters as described in emission credits you have generated
§ 1039.205(s). that we have not yet verified by re-
(14) Unconditionally certify that all viewing your final report.
the APUs in the emission family com- (6) Seller means the entity that pro-
ply with the requirements of this part, vides emission credits during a trade.
other referenced parts of the CFR, and (7) Standard means the emission
the Clean Air Act. standard that applies under subpart B
419
§ 1039.705 40 CFR Ch. I (7–1–21 Edition)
of this part for engines not partici- or keep the associated records de-
pating in the ABT program of this sub- scribed in this subpart for that family.
part. [69 FR 39213, June 29, 2004, as amended at 81
(8) Trade means to exchange emission FR 74139, Oct. 25, 2016]
credits, either as a buyer or seller.
(d) You may not use emission credits § 1039.705 How do I generate and cal-
generated under this subpart to offset culate emission credits?
any emissions that exceed an FEL or The provisions of this section apply
standard. This applies for all testing, separately for calculating emission
including certification testing, in-use credits for NOX, NOX + NMHC, or PM.
testing, selective enforcement audits, (a) [Reserved]
and other production-line testing. How- (b) For each participating family,
ever, if emissions from an engine ex- calculate positive or negative emission
ceed an FEL or standard (for example, credits relative to the otherwise appli-
during a selective enforcement audit), cable emission standard. Calculate
you may use emission credits to recer- positive emission credits for a family
tify the engine family with a higher that has an FEL below the standard.
FEL that applies only to future pro- Calculate negative emission credits for
duction. a family that has an FEL above the
(e) Engine families that use emission standard. Sum your positive and nega-
credits for one or more pollutants may tive credits for the model year before
not generate positive emission credits rounding. Round the sum of emission
for another pollutant. credits to the nearest kilogram (kg),
(f) Emission credits may be used in using consistent units throughout the
the model year they are generated or following equation:
in future model years. Emission credits Emission credits (kg) = (Std¥FEL) C
may not be used for past model years. (Volume) C (AvgPR) C (UL) C
(g) You may increase or decrease an (10¥3)
FEL during the model year by amend- Where:
ing your application for certification
Std = the emission standard, in grams per
under § 1039.225. The new FEL may kilowatt-hour, that applies under sub-
apply only to engines you have not al- part B of this part for engines not par-
ready introduced into commerce. Each ticipating in the ABT program of this
engine’s emission control information subpart (the ‘‘otherwise applicable stand-
label must include the applicable ard’’).
FELs. FEL = the family emission limit for the en-
gine family, in grams per kilowatt-hour.
(h) You may use either of the fol-
Volume = the number of engines eligible to
lowing approaches to retire or forego participate in the averaging, banking,
emission credits: and trading program within the given en-
(1) You may retire emission credits gine family during the model year, as de-
generated from any number of your en- scribed in paragraph (c) of this section.
gines. This may be considered donating AvgPR = the average value of maximum en-
emission credits to the environment. gine power values for the engine configu-
rations within an engine family, cal-
Identify any such credits in the reports
culated on a sales-weighted basis, in
described in § 1039.730. Engines must kilowatts.
comply with the applicable FELs even UL = the useful life for the given engine fam-
if you donate or sell the corresponding ily, in hours.
emission credits under this paragraph (c) As described in § 1039.730, compli-
(h). Those credits may no longer be ance with the requirements of this sub-
used by anyone to demonstrate compli- part is determined at the end of the
ance with any EPA emission standards. model year based on actual U.S.-di-
(2) You may certify a family using an rected production volumes. Do not in-
FEL below the emission standard as clude any of the following engines to
described in this part and choose not to calculate emission credits:
generate emission credits for that fam- (1) Engines with a permanent exemp-
ily. If you do this, you do not need to tion under subpart G of this part or
calculate emission credits for those under 40 CFR part 1068.

families and you do not need to submit (2) Exported engines.
420
(3) Engines not subject to the re- future model years for averaging or
quirements of this part, such as those trading.
excluded under § 1039.5. (b) You may designate any emission
(4) Engines in families that include credits you plan to bank in the reports
only stationary engines, except for en- you submit under § 1039.730 as reserved
gines in families certified to standards credits. During the model year and be-
that are identical to standards applica- fore the due date for the final report,
ble under this part 1039 to nonroad en- you may designate your reserved emis-
gines of the same type for the same sion credits for averaging or trading.
model year. (c) Reserved credits become actual
(5) Any other engines, where we indi- emission credits when you submit your
cate elsewhere in this part 1039 that final report. However, we may revoke
they are not to be included in the cal-
these emission credits if we are unable
culations of this subpart.
to verify them after reviewing your re-
[69 FR 39213, June 29, 2004, as amended at 71 ports or auditing your records.
FR 39185, July 11, 2006; 72 FR 53133, Sept. 18,
2007; 75 FR 22992, Apr. 30, 2010; 81 FR 74139, [75 FR 22992, Apr. 30, 2010]
Oct. 25, 2016]
§ 1039.720 How do I trade emission
§ 1039.710 How do I average emission credits?
credits?
(a) Trading is the exchange of emis-
(a) Averaging is the exchange of sion credits between manufacturers.
emission credits among your engine You may use traded emission credits
families. You may average emission for averaging, banking, or further trad-
credits only within the same averaging ing transactions. Traded emission cred-
set. its may be used only within the aver-
(b) You may certify one or more en- aging set in which they were gen-
gine families to an FEL above the ap- erated.
plicable standard, subject to the FEL
(b) You may trade actual emission
caps and other provisions in subpart B
of this part, if you show in your appli-
cation for certification that your pro-
credits, but we may revoke these emis-
jected balance of all emission-credit
sion credits based on our review of
transactions in that model year is
your records or reports or those of the
greater than or equal to zero.
company with which you traded emis-
(c) If you certify an engine family to
sion credits. You may trade banked
an FEL that exceeds the otherwise ap-
plicable standard, you must obtain credits within an averaging set to any
enough emission credits to offset the certifying manufacturer.
engine family’s deficit by the due date (c) If a negative emission credit bal-
for the final report required in ance results from a transaction, both
§ 1039.730. The emission credits used to the buyer and seller are liable, except
address the deficit may come from in cases we deem to involve fraud. See
your other engine families that gen- § 1039.255(e) for cases involving fraud.
erate emission credits in the same We may void the certificates of all en-
model year, from emission credits you gine families participating in a trade
have banked from previous model that results in a manufacturer having
years, or from emission credits gen- a negative balance of emission credits.
erated in the same or previous model See § 1039.745.
years that you obtained through trad- [69 FR 39213, June 29, 2004, as amended at 75
ing. FR 22992, Apr. 30, 2010]
FR 74140, Oct. 25, 2016] § 1039.725 What must I include in my
application for certification?
§ 1039.715 How do I bank emission (a) You must declare in your applica-
credits? tion for certification your intent to use
(a) Banking is the retention of emis- the provisions of this subpart for each
sion credits by the manufacturer gen- engine family that will be certified
erating the emission credits for use in using the ABT program. You must also
421
§ 1039.730 40 CFR Ch. I (7–1–21 Edition)
declare the FELs you select for the en- FEL. In this case, identify each appli-
gine family for each pollutant for cable FEL and calculate the positive or
which you are using the ABT program. negative emission credits as specified
Your FELs must comply with the spec- in § 1039.225.
ifications of subpart B of this part, in- (4) The projected and actual U.S.-di-
cluding the FEL caps. FELs must be rected production volumes for the
expressed to the same number of dec- model year. If you changed an FEL
imal places as the applicable stand- during the model year, identify the ac-
ards. tual U.S.-directed production volume
(b) Include the following in your ap- associated with each FEL.
plication for certification: (5) Maximum engine power for each
(1) A statement that, to the best of engine configuration, and the average
your belief, you will not have a nega- engine power weighted by U.S.-directed
tive balance of emission credits for any production volumes for the engine fam-
averaging set when all emission credits ily.
are calculated at the end of the year. (6) Useful life.
(2) Detailed calculations of projected (7) Calculated positive or negative
emission credits (positive or negative) emission credits for the whole engine
based on projected production volumes. family. Identify any emission credits
We may require you to include similar that you traded, as described in para-
calculations from your other engine graph (d)(1) of this section.
families to demonstrate that you will (c) Your end-of-year and final reports
be able to avoid negative credit bal- must include the following additional
ances for the model year. If you project information:
negative emission credits for a family, (1) Show that your net balance of
state the source of positive emission emission credits from all your partici-
credits you expect to use to offset the pating engine families in each aver-
negative emission credits. aging set in the applicable model year
[69 FR 39213, June 29, 2004, as amended at 75 is not negative.
FR 22992, Apr. 30, 2010; 81 FR 74140, Oct. 25, (2) State whether you will retain any
2016] emission credits for banking. If you
choose to retire emission credits that
§ 1039.730 What ABT reports must I would otherwise be eligible for bank-
send to EPA? ing, identify the engine families that
(a) If any of your engine families are generated the emission credits, includ-
certified using the ABT provisions of ing the number of emission credits
this subpart, you must send an end-of- from each family.
year report within 90 days after the end (3) State that the report’s contents
of the model year and a final report are accurate.
within 270 days after the end of the (d) If you trade emission credits, you
model year. We may waive the require- must send us a report within 90 days
ment to send the end-of year report, as after the transaction, as follows:
long as you send the final report on (1) As the seller, you must include
time. the following information in your re-
(b) Your end-of-year and final reports port:
must include the following information (i) The corporate names of the buyer
for each engine family participating in and any brokers.
the ABT program: (ii) A copy of any contracts related
(1) Engine-family designation and to the trade.
averaging set. (iii) The averaging set corresponding
(2) The emission standards that to the engine families that generated
would otherwise apply to the engine emission credits for the trade, includ-
family. ing the number of emission credits
(3) The FEL for each pollutant. If you from each averaging set.
change the FEL after the start of pro- (2) As the buyer, you must include
duction, identify the date that you the following information in your re-
started using the new FEL and/or give port:
the engine identification number for (i) The corporate names of the seller
the first engine covered by the new and any brokers.
422
(ii) A copy of any contracts related range. If you change the FEL after the
to the trade. start of production, identify the date
(iii) How you intend to use the emis- you started using each FEL and the
sion credits, including the number of range of engine identification numbers
emission credits you intend to apply associated with each FEL. You must
for each averaging set. also identify the purchaser and des-
(e) Send your reports electronically tination for each engine you produce to
to the Designated Compliance Officer the extent this information is avail-
using an approved information format. able.
If you want to use a different format, (e) We may require you to keep addi-
send us a written request with jus- tional records or to send us relevant in-
tification for a waiver. formation not required by this section
(f) Correct errors in your end-of-year in accordance with the Clean Air Act.
report or final report as follows:
(1) You may correct any errors in [69 FR 39213, June 29, 2004, as amended at 72
FR 53133, Sept. 18, 2007; 75 FR 22993, Apr. 30,
your end-of-year report when you pre-
2010; 81 FR 74140, Oct. 25, 2016]
pare the final report, as long as you
send us the final report by the time it § 1039.740 What restrictions apply for
is due. using emission credits?
(2) If you or we determine within 270
days after the end of the model year The following restrictions apply for
that errors mistakenly decreased your using emission credits:
balance of emission credits, you may (a) Averaging sets. Emission credits
correct the errors and recalculate the may be exchanged only within an aver-
balance of emission credits. You may aging set. For emission credits gen-
not make these corrections for errors erated by Tier 4 engines, there are two
that are determined more than 270 days averaging sets—one for engines at or
after the end of the model year. If you below 560 kW and another for engines
report a negative balance of emission above 560 kW.
credits, we may disallow corrections (b) Emission credits from earlier tiers of
under this paragraph (f)(2). standards. (1) For purposes of ABT
(3) If you or we determine anytime under this subpart, you may not use
that errors mistakenly increased your emission credits generated from en-
balance of emission credits, you must gines subject to emission standards
correct the errors and recalculate the under 40 CFR part 89, except as speci-
balance of emission credits. fied in § 1039.102(d)(1) or the following
table:
FR 53133, Sept. 18, 2007; 75 FR 22992, Apr. 30, And it was certified Then you may use
If the maximum
2010; 81 FR 74140, Oct. 25, 2016] to the following those banked
power of the credit- standards under credits for the fol-
generating engine 40 CFR part 89 lowing Tier 4 en-
§ 1039.735 What records must I keep? is . . . . . . gines . . .
(a) You must organize and maintain (i) kW <19 ............. Tier 2 .................... kW <19
your records as described in this sec- (ii) 19 ≤kW <37 ..... Tier 2 .................... kW ≥19
tion. (iii) 37 ≤kW ≤560 ... Tier 3 .................... kW ≥19
(b) Keep the records required by this (iv) kW >560 ......... Tier 2 .................... kW ≥19
section for at least eight years after
the due date for the end-of-year report. (2) Emission credits generated from
You may not use emission credits for marine engines certified under the pro-
any engines if you do not keep all the visions of 40 CFR part 89 may not be
records required under this section. used under this part.
You must therefore keep these records (3) See 40 CFR part 89 for other re-
to continue to bank valid credits. strictions that may apply for using
(c) Keep a copy of the reports we re- emission credits generated under that
quire in § 1039.725 and § 1039.730. part.
(d) Keep records of the engine identi- (4) If the maximum power of an en-
fication number for each engine you gine generating credits under the Tier
produce that generates or uses emis- 2 standards in 40 CFR part 89 is at or
sion credits under the ABT program. above 37 kW and below 75 kW, you may
You may identify these numbers as a use those credits for certifying engines
423
§ 1039.745 40 CFR Ch. I (7–1–21 Edition)
under the Option #1 standards in Subpart I—Definitions and Other

§ 1039.102. Reference Information
(c) NOX and NOX + NMHC emission
credits. You may use NOX emission § 1039.801 What definitions apply to
credits without adjustment to show this part?
compliance with NOX + NMHC stand-
ards. You may use NOX + NMHC emis- The following definitions apply to
sion credits to show compliance with this part. The definitions apply to all
NOX standards, but you must adjust subparts unless we note otherwise. All
the NOX + NMHC emission credits undefined terms have the meaning the
downward by twenty percent when you Act gives to them. The definitions fol-
use them, as shown in the following low:
equation: Act means the Clean Air Act, as
amended, 42 U.S.C. 7401–7671q.
NOX emission credits = (0.8) × (NOX +
Adjustable parameter means any de-
NMHC emission credits).
vice, system, or element of design that
(d) Other restrictions. Other sections someone can adjust (including those
of this part specify additional restric- which are difficult to access) and that,
tions for using emission credits under if adjusted, may affect emissions or en-
certain special provisions. gine performance during emission test-
[69 FR 39213, June 29, 2004, as amended at 70 ing or normal in-use operation. This in-
FR 40464, July 13, 2005; 81 FR 74140, Oct. 25, cludes, but is not limited to, param-
2016] eters related to injection timing and
EFFECTIVE DATE NOTE: At 86 FR 34506, June fueling rate. You may ask us to ex-
29, 2021, § 1039.740 was amended, effective July clude a parameter that is difficult to
29, 2021. access if it cannot be adjusted to affect
emissions without significantly de-
§ 1039.745 What can happen if I do not grading engine performance, or if you
comply with the provisions of this otherwise show us that it will not be
subpart?
adjusted in a way that affects emis-
(a) For each engine family partici- sions during in-use operation.
pating in the ABT program, the certifi- Aftertreatment means relating to a
cate of conformity is conditional upon catalytic converter, particulate filter,
full compliance with the provisions of or any other system, component, or
this subpart during and after the model technology mounted downstream of the
year. You are responsible to establish exhaust valve (or exhaust port) whose
to our satisfaction that you fully com- design function is to decrease emis-
ply with applicable requirements. We sions in the engine exhaust before it is
may void the certificate of conformity exhausted to the environment. Ex-
for an engine family if you fail to com-
haust-gas recirculation (EGR) and
ply with any provisions of this subpart.
turbochargers are not aftertreatment.
(b) You may certify your engine fam-
ily to an FEL above an applicable Aircraft means any vehicle capable of
standard based on a projection that sustained air travel more than 100 feet
you will have enough emission credits above the ground.
to offset the deficit for the engine fam- Alcohol-fueled engine means an engine
ily. However, we may void the certifi- that is designed to run using an alcohol
cate of conformity if you cannot show fuel. For purposes of this definition, al-
in your final report that you have cohol fuels do not include fuels with a
enough actual emission credits to off- nominal alcohol content below 25 per-
set a deficit for any pollutant in an en- cent by volume.
gine family. Amphibious vehicle means a vehicle
(c) We may void the certificate of with wheels or tracks that is designed
conformity for an engine family if you primarily for operation on land and
fail to keep records, send reports, or secondarily for operation in water.
give us information we request. Auxiliary emission-control device
(d) You may ask for a hearing if we means any element of design that
void your certificate under this section senses temperature, motive speed, en-
(see § 1039.820). gine RPM, transmission gear, or any
424
other parameter for the purpose of ac- actuators associated with any of these
tivating, modulating, delaying, or de- components.
activating the operation of any part of (2) Any other component whose pri-
the emission-control system. mary purpose is to reduce emissions.
Brake power means the usable power Date of manufacture has the meaning
output of the engine, not including given in 40 CFR 1068.30.
power required to fuel, lubricate, or Designated Compliance Officer means
heat the engine, circulate coolant to the Director, Diesel Engine Compliance
the engine, or to operate Center, U.S. Environmental Protection
aftertreatment devices. Agency, 2000 Traverwood Drive, Ann
Calibration means the set of specifica- Arbor, MI 48105;
tions and tolerances specific to a par- complianceinfo@epa.gov; epa.gov/otaq/
ticular design, version, or application verify.
of a component or assembly capable of Deteriorated emission level means the
functionally describing its operation emission level that results from apply-
over its working range. ing the appropriate deterioration fac-
Carryover means relating to certifi- tor to the official emission result of
cation based on emission data gen- the emission-data engine.
erated from an earlier model year as Deterioration factor means the rela-
described in § 1039.235(d). tionship between emissions at the end
Certification means relating to the of useful life and emissions at the low-
process of obtaining a certificate of hour test point, expressed in one of the
conformity for an engine family that following ways:
complies with the emission standards (1) For multiplicative deterioration
and requirements in this part. factors, the ratio of emissions at the
Certified emission level means the end of useful life to emissions at the
highest deteriorated emission level in low-hour test point.
an engine family for a given pollutant (2) For additive deterioration factors,
from either transient or steady-state the difference between emissions at the
testing. end of useful life and emissions at the
Compression-ignition means relating low-hour test point.
to a type of reciprocating, internal- Diesel exhaust fluid (DEF) means a liq-
combustion engine that is not a spark- uid reducing agent (other than the en-
ignition engine. gine fuel) used in conjunction with se-
Constant-speed engine means an en- lective catalytic reduction to reduce
gine whose certification is limited to NOX emissions. Diesel exhaust fluid is
constant-speed operation. Engines generally understood to be an aqueous
whose constant-speed governor func- solution of urea conforming to the
tion is removed or disabled are no specifications of ISO 22241.
longer constant-speed engines. Discrete-mode means relating to the
Constant-speed operation has the discrete-mode type of steady-state test
meaning given in 40 CFR 1065.1001. described in § 1039.505.
Crankcase emissions means airborne Dual-fuel means relating to an engine
substances emitted to the atmosphere designed for operation on two different
from any part of the engine crank- fuels but not on a continuous mixture
case’s ventilation or lubrication sys- of those fuels (see § 1039.601(b)). For
tems. The crankcase is the housing for purposes of this part, such an engine
the crankshaft and other related inter- remains a dual-fuel engine even if it is
nal parts. designed for operation on three or more
Critical emission-related component different fuels.
means any of the following compo- Emergency equipment means any of
nents: the following types of equipment that
(1) Electronic control units, is not a motor vehicle:
aftertreatment devices, fuel-metering (1) Specialized vehicles used to per-
components, EGR-system components, form aircraft rescue and/or fire-fight-
crankcase-ventilation valves, all coming functions at airports, with par-
ponents related to charge-air compres- ticular emphasis on saving lives and re-
sion and cooling, and all sensors and ducing injuries coincident with aircraft
425
§ 1039.801 40 CFR Ch. I (7–1–21 Edition)
fires following impact, or aircraft Engine manufacturer means the manu-

ground fires. facturer of the engine. See the defini-
(2) Wildland firefighting equipment tion of ‘‘manufacturer’’ in this section.
designed primarily to support wildland Engine used in a locomotive means ei-
fire suppression operations. For exam- ther an engine placed in the loco-
ple, a bulldozer designed with special motive to move other equipment,
features for fighting wildfires would be freight, or passenger traffic; or an en-
a piece of emergency equipment. gine mounted on the locomotive to pro-
(3) Any other equipment that we vide auxiliary power.
have determined will likely be used in Equipment manufacturer means a
emergency situations where emission manufacturer of nonroad equipment.
control function or malfunction may All nonroad equipment manufacturing
cause a significant risk to human life. entities under the control of the same
For example, we would consider person are considered to be a single
nonroad equipment that is certain to nonroad equipment manufacturer.
be retrofitted with a slip-on fire- (Note: In § 1039.626, the term ‘‘equip-
fighting module to be emergency ment manufacturer’’ has a narrower
equipment, irrespective of the equip- meaning, which applies only to that
ment manufacturer’s original design. section.)
In making this determination, we may Excluded means relating to an engine
consider any factor that has an effect that either:
on the totality of the actual risk to (1) Has been determined not to be a
human life. For example, we may con- nonroad engine, as specified in 40 CFR
sider how frequently the equipment 1068.30; or
will be used in emergency situations or (2) Is a nonroad engine that, accord-
how likely it is that the emission con- ing to § 1039.5, is not subject to this
trols will cause a significant risk to part 1039.
human life when the equipment is used Exempted has the meaning we give in
in emergency situations. We will con- 40 CFR 1068.30.
sider to what extent the flexibility pro- Exhaust-gas recirculation means a
visions of § 1039.665 already address the technology that reduces emissions by
risk. In the example above, we would routing exhaust gases that had been
not consider equipment to be emer- exhausted from the combustion cham-
gency equipment if there is merely a ber(s) back into the engine to be mixed
possibility (rather than a certainty) with incoming air before or during
that the equipment will be retrofitted combustion. The use of valve timing to
with a slip-on firefighting module. increase the amount of residual ex-
Emission-control system means any de- haust gas in the combustion cham-
vice, system, or element of design that ber(s) that is mixed with incoming air
controls or reduces the emissions of before or during combustion is not con-
regulated pollutants from an engine. sidered exhaust-gas recirculation for
Emission-data engine means an engine the purposes of this part.
that is tested for certification. This in- Family emission limit (FEL) means an
cludes engines tested to establish dete- emission level declared by the manu-
rioration factors. facturer to serve in place of an other-
Emission-related maintenance means wise applicable emission standard
maintenance that substantially affects under the ABT program in subpart H of
emissions or is likely to substantially this part. The family emission limit
affect emission deterioration. must be expressed to the same number
Engine configuration means a unique of decimal places as the emission
combination of engine hardware and standard it replaces. The family emis-
calibration within an engine family. sion limit serves as the emission stand-
Engines within a single engine configu- ard for the engine family with respect
ration differ only with respect to nor- to all required testing.
mal production variability or factors Flexible-fuel means relating to an en-
unrelated to emissions. gine designed for operation on any mix-
Engine family has the meaning given ture of two or more different fuels (see
in § 1039.230. § 1039.601(b)).
426
Fuel system means all components in- (2) For testing, low-sulfur diesel fuel
volved in transporting, metering, and has the meaning we give in 40 CFR part
mixing the fuel from the fuel tank to 1065.
the combustion chamber(s), including Manufacture means the physical and
the fuel tank, fuel tank cap, fuel pump, engineering process of designing, con-
fuel filters, fuel lines, carburetor or structing, and assembling a nonroad
fuel-injection components, and all fuel- engine or a piece of nonroad equip-
system vents. ment.
Fuel type means a general category of Manufacturer has the meaning given
fuels such as diesel fuel or natural gas. in section 216(1) of the Act. In general,
There can be multiple grades within a this term includes any person who
single fuel type, such as high-sulfur or manufactures an engine, vehicle, or
low-sulfur diesel fuel. piece of equipment for sale in the
Generator-set engine means an engine United States or otherwise introduces
a new nonroad engine into commerce
used primarily to operate an electrical
in the United States. This includes im-
generator or alternator to produce
porters who import engines, equip-
electric power for other applications.
ment, or vehicles for resale. (Note: In
Good engineering judgment has the § 1039.626, the term ‘‘equipment manu-
meaning we give in 40 CFR 1068.30. See facturer’’ has a narrower meaning,
40 CFR 1068.5 for the administrative which applies only to that section.)
process we use to evaluate good engi- Marine engine means a nonroad en-
neering judgment. gine that is installed or intended to be
High-sulfur diesel fuel means one of installed on a marine vessel. This in-
the following: cludes a portable auxiliary marine en-
(1) For in-use fuels, high-sulfur diesel gine only if its fueling, cooling, or ex-
fuel means a diesel fuel with a max- haust system is an integral part of the
imum sulfur concentration greater vessel. There are two kinds of marine
than 500 parts per million. engines:
(2) For testing, high-sulfur diesel fuel (1) Propulsion marine engine means a
has the meaning we give in 40 CFR part marine engine that moves a vessel
1065. through the water or directs the ves-
Hydrocarbon (HC) means the hydro- sel’s movement.
carbon group on which the emission (2) Auxiliary marine engine means a
standards are based for each fuel type. marine engine not used for propulsion.
For alcohol-fueled engines, HC means Marine vessel has the meaning given
total hydrocarbon equivalent (THCE). in 1 U.S.C. 3, except that it does not in-
For all other engines, HC means non- clude amphibious vehicles. The defini-
methane hydrocarbon (NMHC). tion in 1 U.S.C. 3 very broadly includes
Identification number means a unique every craft capable of being used as a
specification (for example, a model means of transportation on water.
number/serial number combination) Maximum engine power has the mean-
that allows someone to distinguish a ing given in § 1039.140. Note that
§ 1039.230 generally disallows grouping
particular engine from other similar
engines from different power categories
engines.
in the same engine family.
Intermediate test speed has the mean- Maximum test speed has the meaning
ing given in 40 CFR 1065.1001. we give in 40 CFR 1065.1001.
Low-hour means relating to an engine Maximum test torque has the meaning
with stabilized emissions and rep- we give in 40 CFR 1065.1001.
resents the undeteriorated emission Model year means one of the fol-
level. This would generally involve less lowing things:
than 300 hours of operation. (1) For freshly manufactured equip-
Low-sulfur diesel fuel means one of ment and engines (see definition of
the following: ‘‘new nonroad engine,’’ paragraph (1)),
(1) For in-use fuels, low-sulfur diesel model year means one of the following:
fuel means a diesel fuel with a max- (i) Calendar year of production.
imum sulfur concentration of 500 parts (ii) Your annual new model produc-
per million. tion period if it is different than the
427
§ 1039.801 40 CFR Ch. I (7–1–21 Edition)
calendar year. This must include Janu- chaser has never received the equitable
ary 1 of the calendar year for which the or legal title. This kind of engine
model year is named. It may not begin might commonly be thought of as
before January 2 of the previous cal- ‘‘brand new.’’ In the case of this para-
endar year and it must end by Decem- graph (1), the engine is new from the
ber 31 of the named calendar year. time it is produced until the ultimate
(2) For an engine that is converted to purchaser receives the title or the
a nonroad engine after being placed product is placed into service, which-
into service as a stationary engine, or ever comes first.
being certified and placed into service (2) An engine originally manufac-
as a motor vehicle engine, model year tured as a motor vehicle engine or a
means the calendar year in which the stationary engine that is later used or
engine was originally produced. For a intended to be used in a piece of
motor vehicle engine that is converted nonroad equipment. In this case, the
to be a nonroad engine without having engine is no longer a motor vehicle or
been certified, model year means the stationary engine and becomes a ‘‘new
calendar year in which the engine be- nonroad engine.’’ The engine is no
comes a new nonroad engine. (See defi- longer new when it is placed into
nition of ‘‘new nonroad engine,’’ para- nonroad service. This paragraph (2) ap-
graph (2).) plies if a motor vehicle engine or a sta-
(3) For a nonroad engine excluded tionary engine is installed in nonroad
under § 1039.5 that is later converted to equipment, or if a motor vehicle or a
operate in an application that is not piece of stationary equipment is modi-
excluded, model year means the cal- fied (or moved) to become nonroad
endar year in which the engine was equipment.
originally produced (see definition of (3) A nonroad engine that has been
‘‘new nonroad engine,’’ paragraph (3)). previously placed into service in an ap-
(4) For engines that are not freshly
plication we exclude under § 1039.5,
manufactured but are installed in new
when that engine is installed in a piece
nonroad equipment, model year means
of equipment that is covered by this
the calendar year in which the engine
part 1039. The engine is no longer new
is installed in the new nonroad equip-
when it is placed into nonroad service
ment (see definition of ‘‘new nonroad
covered by this part 1039. For example,
engine,’’ paragraph (4)).
this would apply to marine diesel en-
(5) For imported engines:
gine that is no longer used in a marine
(i) For imported engines described in
vessel but is instead installed in a piece
paragraph (5)(i) of the definition of
‘‘new nonroad engine,’’ model year has of nonroad equipment subject to the
the meaning given in paragraphs (1) provisions of this part.
through (4) of this definition. (4) An engine not covered by para-
(ii) For imported engines described in graphs (1) through (3) of this definition
paragraph (5)(ii) of the definition of that is intended to be installed in new
‘‘new nonroad engine,’’ model year has nonroad equipment. This generally in-
the meaning given in 40 CFR 89.602 for cludes installation of used engines in
independent commercial importers. new equipment. The engine is no longer
(iii) For imported engines described new when the ultimate purchaser re-
in paragraph (5)(iii) of the definition of ceives a title for the equipment or the
‘‘new nonroad engine,’’ model year product is placed into service, which-
means the calendar year in which the ever comes first.
engine is first assembled in its im- (5) An imported nonroad engine, sub-
ported configuration, unless specified ject to the following provisions:
otherwise in this part or in 40 CFR part (i) An imported nonroad engine cov-
1068. ered by a certificate of conformity
Motor vehicle has the meaning we give issued under this part that meets the
in 40 CFR 85.1703(a). criteria of one or more of paragraphs
New nonroad engine means any of the (1) through (4) of this definition, where
following things: the original engine manufacturer holds
(1) A freshly manufactured nonroad the certificate, is new as defined by

engine for which the ultimate pur- those applicable paragraphs.
428
(ii) An imported engine covered by a includes methane that is produced and

certificate of conformity issued under released from landfills or oil wells, or
this part, where someone other than similar unprocessed fuels that are not
the original engine manufacturer holds intended to meet any otherwise appli-
the certificate (such as when the en- cable fuel specifications. See § 1039.615
gine is modified after its initial assem- for provisions related to engines de-
bly), is a new nonroad engine when it is signed to burn noncommercial fuels.
imported. It is no longer new when the Noncompliant engine means an engine
ultimate purchaser receives a title for that was originally covered by a cer-
the engine or it is placed into service, tificate of conformity, but is not in the
whichever comes first. certified configuration or otherwise
(iii) An imported nonroad engine that does not comply with the conditions of
is not covered by a certificate of con- the certificate.
formity issued under this part at the Nonconforming engine means an en-
time of importation is new, but only if gine not covered by a certificate of
it was produced on or after the dates conformity that would otherwise be
shown in the following table. This ad- subject to emission standards.
dresses uncertified engines and equip- Nonmethane hydrocarbons (NMHC)
ment initially placed into service that means the sum of all hydrocarbon spe-
someone seeks to import into the cies except methane. Refer to 40 CFR
United States. Importation of this kind 1065.660 for NMHC determination.
of engine (or equipment containing Nonroad means relating to nonroad
such an engine) is generally prohibited engines or equipment that includes
by 40 CFR part 1068. However, the im- nonroad engines.
portation of such an engine is not pro- Nonroad engine has the meaning we
hibited if the engine has an earlier give in 40 CFR 1068.30. In general this
model year than that identified in the means all internal-combustion engines
following table: except motor vehicle engines, sta-
tionary engines, engines used solely for
APPLICABILITY OF EMISSION STANDARDS FOR competition, or engines used in air-
NONROAD DIESEL ENGINES craft. This part does not apply to all
Initial date of nonroad engines (see § 1039.5).
Maximum engine power emission standards Nonroad equipment means a piece of
kW <19 ............................................ January 1, 2000.
equipment that is powered by one or
19 ≤kW <37 ..................................... January 1, 1999. more nonroad engines.
37 ≤kW <75 ..................................... January 1, 1998. Official emission result means the
75 ≤kW <130 ................................... January 1, 1997.
130 ≤kW ≤560 ................................. January 1, 1996.
measured emission rate for an emis-
kW >560 .......................................... January 1, 2000. sion-data engine on a given duty cycle
before the application of any deteriora-
New nonroad equipment means either tion factor, but after the applicability
of the following things: of regeneration adjustment factors.
(1) A nonroad piece of equipment for Opacity means the fraction of a beam
which the ultimate purchaser has of light, expressed in percent, which
never received the equitable or legal fails to penetrate a plume of smoke, as
title. The product is no longer new measured by the procedure specified in
when the ultimate purchaser receives § 1039.501.
this title or the product is placed into Owners manual means a document or
service, whichever comes first. collection of documents prepared by
(2) An imported nonroad piece of the engine manufacturer for the owner
equipment with an engine not covered or operator to describe appropriate en-
by a certificate of conformity issued gine maintenance, applicable warran-
under this part at the time of importa- ties, and any other information related
tion and manufactured after the re- to operating or keeping the engine. The
quirements of this part start to apply owners manual is typically provided to
(see § 1039.1). the ultimate purchaser at the time of
Noncommercial fuel means a combus- sale. The owners manual may be in
tible product that is not marketed as a paper or electronic format.
commercial fuel, but is used as a fuel Oxides of nitrogen has the meaning
for nonroad engines. For example, this given in 40 CFR 1065.1001.
429
§ 1039.801 40 CFR Ch. I (7–1–21 Edition)
Particulate trap means a filtering de- tion of failure or malfunction for which
vice that is designed to physically trap periodic maintenance is not appro-
all particulate matter above a certain priate.
size. Small-volume engine manufacturer
Piece of equipment means any vehicle, means a small business engine manu-
vessel, or other type of equipment facturer that had engine families cer-
using engines to which this part ap- tified to meet the requirements of 40
plies. CFR part 89 before 2003 (40 CFR part 89,
Placed into service means put into ini- revised as of July 1, 2002), had annual
tial use for its intended purpose. En- U.S.-directed production of no more
gines and equipment do not qualify as than 2,500 units in 2002 and all earlier
being ‘‘placed into service’’ based on calendar years, and has 1000 or fewer
incidental use by a manufacturer or
employees. For manufacturers owned
dealer.
by a parent company, the production
Power category means a specific range
limit applies to the production of the
of maximum engine power that defines
parent company and all its subsidiaries
the applicability of standards. For ex-
ample, references to the 56–130 kW and the employee limit applies to the
power category and 56 ≤kW <130 include total number of employees of the par-
all engines with maximum engine ent company and all its subsidiaries.
power at or above 56 kW but below 130 Spark-ignition means relating to a
kW. Also references to 56–560 kW power gasoline-fueled engine or any other
categories or 56 ≤kW ≤560 include all type of engine with a spark plug (or
engines with maximum engine power other sparking device) and with oper-
at or above 56 kW but at or below 560 ating characteristics significantly
kW, even though these engines span similar to the theoretical Otto combus-
multiple power categories. Note that in tion cycle. Spark-ignition engines usu-
some cases, FEL caps are based on a ally use a throttle to regulate intake
subset of a power category. The power air flow to control power during nor-
categories are defined as follows: mal operation.
(1) Engines with maximum power Steady-state has the meaning given in
below 19 kW. 40 CFR 1065.1001.
(2) Engines with maximum power at Sulfur-sensitive technology means an
or above 19 kW but below 56 kW. emission control technology that expe-
(3) Engines with maximum power at riences a significant drop in emission
or above 56 kW but below 130 kW. control performance or emission-sys-
(4) Engines with maximum power at tem durability when an engine is oper-
or above 130 kW but at or below 560 kW. ated on low-sulfur diesel fuel (i.e., fuel
(5) Engines with maximum power with a sulfur concentration of 300 to 500
above 560 kW. ppm) as compared to when it is oper-
Ramped-modal means relating to the ated on ultra-low sulfur diesel fuel (i.e.,
ramped-modal type of steady-state test fuel with a sulfur concentration less
described in § 1039.505. than 15 ppm). Exhaust gas recircula-
Rated speed means the maximum full- tion is not a sulfur-sensitive tech-
load governed speed for governed en- nology.
gines and the speed of maximum power
Suspend has the meaning we give in
for ungoverned engines.
40 CFR 1068.30.
Revoke has the meaning we give in 40
CFR 1068.30. Test engine means an engine in a test
Round has the meaning given in 40 sample.
CFR 1065.1001. Test sample means the collection of
Scheduled maintenance means adjust- engines selected from the population of
ing, repairing, removing, disassem- an engine family for emission testing.
bling, cleaning, or replacing compo- This may include testing for certifi-
nents or systems periodically to keep a cation, production-line testing, or in-
part or system from failing, malfunc- use testing.
tioning, or wearing prematurely. It Tier 1 means relating to the Tier 1
also may mean actions you expect are emission standards, as shown in 40 CFR
necessary to correct an overt indica- 89.112.
430
Tier 2 means relating to the Tier 2 that sale was or will be made to ulti-
emission standards, as shown in 40 CFR mate purchasers in the United States.
89.112. Useful life means the period during
Tier 3 means relating to the Tier 3 which the engine is designed to prop-
emission standards, as shown in 40 CFR erly function in terms of reliability
89.112. and fuel consumption, without being
Tier 4 means relating to the Tier 4 remanufactured, specified as a number
emission standards, as shown in of hours of operation or calendar years,
§ 1039.101 and § 1039.102. This includes whichever comes first. It is the period
the emission standards that are shown during which a nonroad engine is re-
in § 1039.101 and § 1039.102 that are un- quired to comply with all applicable
changed from Tier 2 or Tier 3 emission emission standards. See § 1039.101(g).
standards. Variable-speed engine means an engine
Total hydrocarbon has the meaning that is not a constant-speed engine.
given in 40 CFR 1065.1001. This gen- Void has the meaning we give in 40
erally means the combined mass of or- CFR 1068.30.
ganic compounds measured by the Volatile liquid fuel means any fuel
specified procedure for measuring total other than diesel or biodiesel that is a
hydrocarbon, expressed as a hydro- liquid at atmospheric pressure and has
carbon with an atomic hydrogen-to- a Reid Vapor Pressure higher than 2.0
carbon ratio of 1.85:1. pounds per square inch.
Total hydrocarbon equivalent has the We (us, our) means the Administrator
meaning given in 40 CFR 1065.1001. This of the Environmental Protection Agen-
generally means the sum of the carbon cy and any authorized representatives.
mass contributions of non-oxygenated [69 FR 39213, June 29, 2004, as amended at 70
hydrocarbons, alcohols and aldehydes, FR 40464, July 13, 2005; 72 FR 53133, Sept. 18,
or other organic compounds that are 2007; 73 FR 59192, Oct. 8, 2008; 75 FR 22993,
measured separately as contained in a Apr. 30, 2010; 77 FR 34147, June 8, 2012; 79 FR
gas sample, expressed as exhaust hy- 46375, Aug. 8, 2014; 81 FR 74140, Oct. 25, 2016]
drocarbon from petroleum-fueled en- EFFECTIVE DATE NOTE: At 86 FR 34506, June
gines. The atomic hydrogen-to-carbon 29, 2021, § 1039.801 was amended, effective July
ratio of the equivalent hydrocarbon is 29, 2021.
1.85:1.
§ 1039.805 What symbols, acronyms,
Ultimate purchaser means, with re- and abbreviations does this part
spect to any new nonroad equipment or use?
new nonroad engine, the first person
The following symbols, acronyms,
who in good faith purchases such new
and abbreviations apply to this part:
nonroad equipment or new nonroad en-
gine for purposes other than resale. CFR Code of Federal Regulations.
Ultra low-sulfur diesel fuel means one CH4 methane.
of the following: CO carbon monoxide.
CO2 carbon dioxide.
(1) For in-use fuels, ultra low-sulfur DEF Diesel exhaust fluid.
diesel fuel means a diesel fuel with a EEFM Emergency equipment field modi-
maximum sulfur concentration of 15 fication.
parts per million. EPA Environmental Protection Agency.
(2) For testing, ultra low-sulfur diesel FEL Family Emission Limit.
fuel has the meaning we give in 40 CFR g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
part 1065.
ISO International Organization for Stand-
United States has the meaning we give ardization (see www.iso.org).
in 40 CFR 1068.30. kW kilowatts.
Upcoming model year means for an en- N2O nitrous oxide.
gine family the model year after the NIST National Institute of Standards and
one currently in production. Technology.
NMHC nonmethane hydrocarbons.
U.S.-directed production volume means
NOX oxides of nitrogen (NO and NO2).
the number of engine units, subject to NTE not-to-exceed
the requirements of this part, produced
PM particulate matter.
by a manufacturer for which the manu- rpm revolutions per minute.
facturer has a reasonable assurance SAE Society of Automotive Engineers.
431
§ 1039.815 40 CFR Ch. I (7–1–21 Edition)
SCR Selective catalytic reduction. ful and complete information. This in-
SEA Selective enforcement audit. cludes information not related to cer-
THC total hydrocarbon. tification. Failing to properly report
THCE total hydrocarbon equivalent.
information and keep the records we
TRU transportation refrigeration unit.
U.S.C. United States Code.
specify violates 40 CFR 1068.101(a)(2),
which may involve civil or criminal
[69 FR 39213, June 29, 2004, as amended at 74 penalties.
FR 56509, Oct. 30, 2009; 77 FR 34148, June 8,
2012]
(c) Send all reports and requests for
approval to the Designated Compliance
§ 1039.815 What provisions apply to Officer (see § 1039.801).
confidential information? (d) Any written information we re-
The provisions of 40 CFR 1068.10 apply quire you to send to or receive from an-
for information you consider confiden- other company is deemed to be a re-
tial. quired record under this section. Such
[81 FR 74141, Oct. 25, 2016] sions to EPA. We may require you to
send us these records whether or not
§ 1039.820 How do I request a hearing? you are a certificate holder.
(a) You may request a hearing under (e) Under the Paperwork Reduction
certain circumstances, as described Act (44 U.S.C. 3501 et seq), the Office of
elsewhere in this part. To do this, you Management and Budget approves the
must file a written request, including a reporting and recordkeeping specified
description of your objection and any in the applicable regulations. The fol-
supporting data, within 30 days after lowing items illustrate the kind of re-
we make a decision. porting and recordkeeping we require
(b) For a hearing you request under for engines and equipment regulated
the provisions of this part, we will ap- under this part:
prove your request if we find that your (1) We specify the following require-
request raises a substantial factual ments related to engine certification in
issue. this part 1039:
(c) If we agree to hold a hearing, we (i) In § 1039.20 we require engine man-
will use the procedures specified in 40 ufacturers to label stationary engines
CFR part 1068, subpart G. that do not meet the standards in this
part.
§ 1039.825 What reporting and record-
keeping requirements apply under (ii) In § 1039.135 we require engine
this part? manufacturers to keep certain records
related to duplicate labels sent to
(a) This part includes various re-
equipment manufacturers.
quirements to submit and record data
or other information. Unless we specify (iii) [Reserved]
otherwise, store required records in (iv) In subpart C of this part we iden-
any format and on any media and keep tify a wide range of information re-
them readily available for eight years quired to certify engines.
after you send an associated applica- (v) [Reserved]
tion for certification, or eight years (vi) In subpart G of this part we iden-
after you generate the data if they do tify several reporting and record-
not support an application for certifi- keeping items for making demonstra-
cation. You are expected to keep your tions and getting approval related to
own copy of required records rather various special compliance provisions.
than relying on someone else to keep For example, equipment manufacturers
records on your behalf. We may review must submit reports and keep records
these records at any time. You must related to the flexibility provisions in
promptly send us organized, written § 1039.625.
records in English if we ask for them. (vii) In § 1039.725, 1039.730, and 1039.735
We may require you to submit written we specify certain records related to
records in an electronic format. averaging, banking, and trading.
(b) The regulations in § 1039.255, 40 (2) We specify the following require-
CFR 1068.25, and 40 CFR 1068.101 de- ments related to testing in 40 CFR part
scribe your obligation to report truth- 1065:
432
(i) In 40 CFR 1065.2 we give an over- (vi) In 40 CFR part 1068, subpart C, we
view of principles for reporting infor- identify several reporting and record-
mation. keeping items for making demonstra-
(ii) In 40 CFR 1065.10 and 1065.12 we tions and getting approval related to
specify information needs for estab- various exemptions.
lishing various changes to published (vii) In 40 CFR part 1068, subpart D,
test procedures. we identify several reporting and rec-
(iii) In 40 CFR 1065.25 we establish ordkeeping items for making dem-
basic guidelines for storing test infor- onstrations and getting approval re-
mation. lated to importing engines.
(iv) In 40 CFR 1065.695 we identify the (viii) In 40 CFR 1068.450 and 1068.455
specific information and data items to we specify certain records related to
record when measuring emissions. testing production-line engines in a se-
(3) We specify the following require- lective enforcement audit.
ments related to the general compli- (ix) In 40 CFR 1068.501 we specify cer-
ance provisions in 40 CFR part 1068: tain records related to investigating
(i) In 40 CFR 1068.5 we establish a and reporting emission-related defects.
process for evaluating good engineer- (x) In 40 CFR 1068.525 and 1068.530 we
ing judgment related to testing and specify certain records related to re-
certification. calling nonconforming engines.
(ii) In 40 CFR 1068.25 we describe gen- (xi) In 40 CFR part 1068, subpart G,
eral provisions related to sending and we specify certain records for request-
keeping information. ing a hearing.
(iii) In 40 CFR 1068.27 we require man- [81 FR 74141, Oct. 25, 2016]
ufacturers to make engines available
for our testing or inspection if we APPENDIX I TO PART 1039—SUMMARY OF
make such a request. PREVIOUS EMISSION STANDARDS
(iv) In 40 CFR 1068.105 we require
equipment manufacturers to keep cer- The following standards, which EPA origi-
nally adopted under 40 CFR part 89, apply to
tain records related to duplicate labels
nonroad compression-ignition engines pro-
from engine manufacturers. duced before the model years specified in
(v) In 40 CFR 1068.120 we specify rec- § 1039.1:
ordkeeping related to rebuilding en- (a) Tier 1 standards apply as summarized
gines. in the following table:
TABLE 1 TO APPENDIX I—TIER 1 EMISSION STANDARDS
[g/kW-hr]
Rated power Starting NOX HC NOX+NMHC CO PM

(kW) model year
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:

[g/kW-hr]
Rated power Starting NOX+NMHC CO PM

(kW) model year
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
433
Pt. 1039, App. II 40 CFR Ch. I (7–1–21 Edition)
TABLE 2 TO APPENDIX I—TIER 2 EMISSION STANDARDS—Continued

[g/kW-hr]

(kW) model year
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:

[g/kW-hr]

(kW) model year
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 APPENDIX II TO PART 1039—STEADY-

only for discrete-mode steady-state testing. STATE DUTY CYCLES
There were no not-to-exceed standards or
transient testing. (a) The following duty cycles apply for con-
[86 FR 34507, June 29, 2021] stant-speed engines:
(1) The following duty cycle applies for dis-
EFFECTIVE DATE NOTE: At 86 FR 34507, June crete-mode testing:
29, 2021, appendix I to part 1039 was added, ef-
fective July 29, 2021.
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 Torque

RMC mode Engine speed
(seconds) (percent) 1 2
1a Steady-state ................. 53 Engine governed .......................................................... 100.

1b Transition ..................... 20 Engine governed .......................................................... Linear transition.
5 Steady-state ................... 350 Engine governed .......................................................... 50.
1 The
percent torque is relative to maximum test torque.
2 Advancefrom one mode to the next within a 20-second transition phase. During the transition phase, command a linear pro-
gression from the torque setting of the current mode to the torque setting of the next mode.
434
Environmental Protection Agency Pt. 1039, App. II
(b) The following duty cycles apply for (1) The following duty cycle applies for dis-
variable-speed engines with maximum en- crete-mode testing:
gine power below 19 kW:
Torque Weighting
G2 mode number Engine speed 1 (percent) 2 factors

6 ................................ Warm idle ............................................................................................... 0 0.05
2 The percent torque is relative to the maximum torque at the commanded test speed.

Time in mode Torque

RMC mode Engine speed 1 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.
6b Transition ..................... 20 Linear transition ........................................................... Linear transition.
7 Steady-state ................... 43 Warm idle ..................................................................... 0.
2 Thepercent torque is relative to the maximum torque at the commanded engine speed.
(c) The following duty cycles apply for (1) The following duty cycle applies for dis-
variable-speed engines with maximum en- crete-mode testing:
gine power at or above 19 kW:
Torque Weighting
C1 mode number Engine speed 1 (percent) 2 factors

8 ................................ Warm idle ............................................................................................... 0 0.15
2 The percent torque is relative to the maximum torque at the commanded test speed.

Time in mode Torque

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.
435
Pt. 1039, App. VI 40 CFR Ch. I (7–1–21 Edition)
Time in mode Torque

3b Transition ..................... 20 Intermediate Speed ..................................................... Linear Transition.

5a Steady-state ................. 246 Maximum Test Speed .................................................. 100.
5b Transition ..................... 20 Maximum Test Speed .................................................. Linear Transition.
9 Steady-state ................... 128 Warm Idle .................................................................... 0.
2 The percent torque is relative to the maximum torque at the commanded engine speed.
[69 FR 39213, June 29, 2004, as amended at 73 Normalized Normalized

FR 37241, June 30, 2008] Time(s) speed torque
(percent) (percent) 1
APPENDIX V TO PART 1039 [RESERVED] 41 ............................................... 22 27
42 ............................................... 33 43
APPENDIX VI TO PART 1039—NONROAD 43 ............................................... 80 49
COMPRESSION-IGNITION COMPOSITE 44 ............................................... 105 47
45 ............................................... 98 70
TRANSIENT CYCLE 46 ............................................... 104 36
47 ............................................... 104 65
Normalized Normalized
Time(s) speed torque 48 ............................................... 96 71
(percent) (percent) 1 49 ............................................... 101 62
50 ............................................... 102 51
1 ................................................. 0 0 51 ............................................... 102 50
2 ................................................. 0 0 52 ............................................... 102 46
3 ................................................. 0 0 53 ............................................... 102 41
4 ................................................. 0 0 54 ............................................... 102 31
5 ................................................. 0 0 55 ............................................... 89 2
6 ................................................. 0 0 56 ............................................... 82 0
7 ................................................. 0 0 57 ............................................... 47 1
8 ................................................. 0 0 58 ............................................... 23 1
9 ................................................. 0 0 59 ............................................... 1 3
10 ............................................... 0 0 60 ............................................... 1 8
11 ............................................... 0 0 61 ............................................... 1 3
12 ............................................... 0 0 62 ............................................... 1 5
13 ............................................... 0 0 63 ............................................... 1 6
14 ............................................... 0 0 64 ............................................... 1 4
15 ............................................... 0 0 65 ............................................... 1 4
16 ............................................... 0 0 66 ............................................... 0 6
17 ............................................... 0 0 67 ............................................... 1 4
18 ............................................... 0 0 68 ............................................... 9 21
19 ............................................... 0 0 69 ............................................... 25 56
20 ............................................... 0 0 70 ............................................... 64 26
21 ............................................... 0 0 71 ............................................... 60 31
22 ............................................... 0 0 72 ............................................... 63 20
23 ............................................... 0 0 73 ............................................... 62 24
24 ............................................... 1 3 74 ............................................... 64 8
25 ............................................... 1 3 75 ............................................... 58 44
26 ............................................... 1 3 76 ............................................... 65 10
27 ............................................... 1 3 77 ............................................... 65 12
28 ............................................... 1 3 78 ............................................... 68 23
29 ............................................... 1 3 79 ............................................... 69 30
30 ............................................... 1 6 80 ............................................... 71 30
31 ............................................... 1 6 81 ............................................... 74 15
32 ............................................... 2 1 82 ............................................... 71 23
33 ............................................... 4 13 83 ............................................... 73 20
34 ............................................... 7 18 84 ............................................... 73 21
35 ............................................... 9 21 85 ............................................... 73 19
36 ............................................... 17 20 86 ............................................... 70 33
37 ............................................... 33 42 87 ............................................... 70 34
38 ............................................... 57 46 88 ............................................... 65 47
39 ............................................... 44 33 89 ............................................... 66 47
40 ............................................... 31 0 90 ............................................... 64 53
436
Environmental Protection Agency Pt. 1039, App. VI
Normalized Normalized Normalized Normalized

Time(s) speed torque Time(s) speed torque
(percent) (percent) 1 (percent) (percent) 1
91 ............................................... 65 45 163 ............................................. 35 72

92 ............................................... 66 38 164 ............................................. 60 39
93 ............................................... 67 49 165 ............................................. 55 31
94 ............................................... 69 39 166 ............................................. 47 30
95 ............................................... 69 39 167 ............................................. 16 7
96 ............................................... 66 42 168 ............................................. 0 6
97 ............................................... 71 29 169 ............................................. 0 8
98 ............................................... 75 29 170 ............................................. 0 8
99 ............................................... 72 23 171 ............................................. 0 2
100 ............................................. 74 22 172 ............................................. 2 17
101 ............................................. 75 24 173 ............................................. 10 28
102 ............................................. 73 30 174 ............................................. 28 31
103 ............................................. 74 24 175 ............................................. 33 30
104 ............................................. 77 6 176 ............................................. 36 0
105 ............................................. 76 12 177 ............................................. 19 10
106 ............................................. 74 39 178 ............................................. 1 18
107 ............................................. 72 30 179 ............................................. 0 16
108 ............................................. 75 22 180 ............................................. 1 3
109 ............................................. 78 64 181 ............................................. 1 4
110 ............................................. 102 34 182 ............................................. 1 5
111 ............................................. 103 28 183 ............................................. 1 6
112 ............................................. 103 28 184 ............................................. 1 5
113 ............................................. 103 19 185 ............................................. 1 3
114 ............................................. 103 32 186 ............................................. 1 4
115 ............................................. 104 25 187 ............................................. 1 4
116 ............................................. 103 38 188 ............................................. 1 6
117 ............................................. 103 39 189 ............................................. 8 18
118 ............................................. 103 34 190 ............................................. 20 51
119 ............................................. 102 44 191 ............................................. 49 19
120 ............................................. 103 38 192 ............................................. 41 13
121 ............................................. 102 43 193 ............................................. 31 16
122 ............................................. 103 34 194 ............................................. 28 21
123 ............................................. 102 41 195 ............................................. 21 17
124 ............................................. 103 44 196 ............................................. 31 21
125 ............................................. 103 37 197 ............................................. 21 8
126 ............................................. 103 27 198 ............................................. 0 14
127 ............................................. 104 13 199 ............................................. 0 12
128 ............................................. 104 30 200 ............................................. 3 8
129 ............................................. 104 19 201 ............................................. 3 22
130 ............................................. 103 28 202 ............................................. 12 20
131 ............................................. 104 40 203 ............................................. 14 20
132 ............................................. 104 32 204 ............................................. 16 17
133 ............................................. 101 63 205 ............................................. 20 18
134 ............................................. 102 54 206 ............................................. 27 34
135 ............................................. 102 52 207 ............................................. 32 33
136 ............................................. 102 51 208 ............................................. 41 31
137 ............................................. 103 40 209 ............................................. 43 31
138 ............................................. 104 34 210 ............................................. 37 33
139 ............................................. 102 36 211 ............................................. 26 18
140 ............................................. 104 44 212 ............................................. 18 29
141 ............................................. 103 44 213 ............................................. 14 51
142 ............................................. 104 33 214 ............................................. 13 11
143 ............................................. 102 27 215 ............................................. 12 9
144 ............................................. 103 26 216 ............................................. 15 33
145 ............................................. 79 53 217 ............................................. 20 25
146 ............................................. 51 37 218 ............................................. 25 17
147 ............................................. 24 23 219 ............................................. 31 29
148 ............................................. 13 33 220 ............................................. 36 66
149 ............................................. 19 55 221 ............................................. 66 40
150 ............................................. 45 30 222 ............................................. 50 13
151 ............................................. 34 7 223 ............................................. 16 24
152 ............................................. 14 4 224 ............................................. 26 50
153 ............................................. 8 16 225 ............................................. 64 23
154 ............................................. 15 6 226 ............................................. 81 20
155 ............................................. 39 47 227 ............................................. 83 11
156 ............................................. 39 4 228 ............................................. 79 23
157 ............................................. 35 26 229 ............................................. 76 31
158 ............................................. 27 38 230 ............................................. 68 24
159 ............................................. 43 40 231 ............................................. 59 33
160 ............................................. 14 23 232 ............................................. 59 3

161 ............................................. 10 10 233 ............................................. 25 7
162 ............................................. 15 33 234 ............................................. 21 10
437

235 ............................................. 20 19 307 ............................................. 31 10

236 ............................................. 4 10 308 ............................................. 43 19
237 ............................................. 5 7 309 ............................................. 49 63
238 ............................................. 4 5 310 ............................................. 78 61
239 ............................................. 4 6 311 ............................................. 78 46
240 ............................................. 4 6 312 ............................................. 66 65
241 ............................................. 4 5 313 ............................................. 78 97
242 ............................................. 7 5 314 ............................................. 84 63
243 ............................................. 16 28 315 ............................................. 57 26
244 ............................................. 28 25 316 ............................................. 36 22
245 ............................................. 52 53 317 ............................................. 20 34
246 ............................................. 50 8 318 ............................................. 19 8
247 ............................................. 26 40 319 ............................................. 9 10
248 ............................................. 48 29 320 ............................................. 5 5
249 ............................................. 54 39 321 ............................................. 7 11
250 ............................................. 60 42 322 ............................................. 15 15
251 ............................................. 48 18 323 ............................................. 12 9
252 ............................................. 54 51 324 ............................................. 13 27
253 ............................................. 88 90 325 ............................................. 15 28
254 ............................................. 103 84 326 ............................................. 16 28
255 ............................................. 103 85 327 ............................................. 16 31
256 ............................................. 102 84 328 ............................................. 15 20
257 ............................................. 58 66 329 ............................................. 17 0
258 ............................................. 64 97 330 ............................................. 20 34
259 ............................................. 56 80 331 ............................................. 21 25
260 ............................................. 51 67 332 ............................................. 20 0
261 ............................................. 52 96 333 ............................................. 23 25
262 ............................................. 63 62 334 ............................................. 30 58
263 ............................................. 71 6 335 ............................................. 63 96
264 ............................................. 33 16 336 ............................................. 83 60
265 ............................................. 47 45 337 ............................................. 61 0
266 ............................................. 43 56 338 ............................................. 26 0
267 ............................................. 42 27 339 ............................................. 29 44
268 ............................................. 42 64 340 ............................................. 68 97
269 ............................................. 75 74 341 ............................................. 80 97
270 ............................................. 68 96 342 ............................................. 88 97
271 ............................................. 86 61 343 ............................................. 99 88
272 ............................................. 66 0 344 ............................................. 102 86
273 ............................................. 37 0 345 ............................................. 100 82
274 ............................................. 45 37 346 ............................................. 74 79
275 ............................................. 68 96 347 ............................................. 57 79
276 ............................................. 80 97 348 ............................................. 76 97
277 ............................................. 92 96 349 ............................................. 84 97
278 ............................................. 90 97 350 ............................................. 86 97
279 ............................................. 82 96 351 ............................................. 81 98
280 ............................................. 94 81 352 ............................................. 83 83
281 ............................................. 90 85 353 ............................................. 65 96
282 ............................................. 96 65 354 ............................................. 93 72
283 ............................................. 70 96 355 ............................................. 63 60
284 ............................................. 55 95 356 ............................................. 72 49
285 ............................................. 70 96 357 ............................................. 56 27
286 ............................................. 79 96 358 ............................................. 29 0
287 ............................................. 81 71 359 ............................................. 18 13
288 ............................................. 71 60 360 ............................................. 25 11
289 ............................................. 92 65 361 ............................................. 28 24
290 ............................................. 82 63 362 ............................................. 34 53
291 ............................................. 61 47 363 ............................................. 65 83
292 ............................................. 52 37 364 ............................................. 80 44
293 ............................................. 24 0 365 ............................................. 77 46
294 ............................................. 20 7 366 ............................................. 76 50
295 ............................................. 39 48 367 ............................................. 45 52
296 ............................................. 39 54 368 ............................................. 61 98
297 ............................................. 63 58 369 ............................................. 61 69
298 ............................................. 53 31 370 ............................................. 63 49
299 ............................................. 51 24 371 ............................................. 32 0
300 ............................................. 48 40 372 ............................................. 10 8
301 ............................................. 39 0 373 ............................................. 17 7
302 ............................................. 35 18 374 ............................................. 16 13
303 ............................................. 36 16 375 ............................................. 11 6
304 ............................................. 29 17 376 ............................................. 9 5

305 ............................................. 28 21 377 ............................................. 9 12
306 ............................................. 31 15 378 ............................................. 12 46
438

379 ............................................. 15 30 451 ............................................. 79 35

380 ............................................. 26 28 452 ............................................. 82 38
381 ............................................. 13 9 453 ............................................. 81 41
382 ............................................. 16 21 454 ............................................. 79 37
383 ............................................. 24 4 455 ............................................. 78 35
384 ............................................. 36 43 456 ............................................. 78 38
385 ............................................. 65 85 457 ............................................. 78 46
386 ............................................. 78 66 458 ............................................. 75 49
387 ............................................. 63 39 459 ............................................. 73 50
388 ............................................. 32 34 460 ............................................. 79 58
389 ............................................. 46 55 461 ............................................. 79 71
390 ............................................. 47 42 462 ............................................. 83 44
391 ............................................. 42 39 463 ............................................. 53 48
392 ............................................. 27 0 464 ............................................. 40 48
393 ............................................. 14 5 465 ............................................. 51 75
394 ............................................. 14 14 466 ............................................. 75 72
395 ............................................. 24 54 467 ............................................. 89 67
396 ............................................. 60 90 468 ............................................. 93 60
397 ............................................. 53 66 469 ............................................. 89 73
398 ............................................. 70 48 470 ............................................. 86 73
399 ............................................. 77 93 471 ............................................. 81 73
400 ............................................. 79 67 472 ............................................. 78 73
401 ............................................. 46 65 473 ............................................. 78 73
402 ............................................. 69 98 474 ............................................. 76 73
403 ............................................. 80 97 475 ............................................. 79 73
404 ............................................. 74 97 476 ............................................. 82 73
405 ............................................. 75 98 477 ............................................. 86 73
406 ............................................. 56 61 478 ............................................. 88 72
407 ............................................. 42 0 479 ............................................. 92 71
408 ............................................. 36 32 480 ............................................. 97 54
409 ............................................. 34 43 481 ............................................. 73 43
410 ............................................. 68 83 482 ............................................. 36 64
411 ............................................. 102 48 483 ............................................. 63 31
412 ............................................. 62 0 484 ............................................. 78 1
413 ............................................. 41 39 485 ............................................. 69 27
414 ............................................. 71 86 486 ............................................. 67 28
415 ............................................. 91 52 487 ............................................. 72 9
416 ............................................. 89 55 488 ............................................. 71 9
417 ............................................. 89 56 489 ............................................. 78 36
418 ............................................. 88 58 490 ............................................. 81 56
419 ............................................. 78 69 491 ............................................. 75 53
420 ............................................. 98 39 492 ............................................. 60 45
421 ............................................. 64 61 493 ............................................. 50 37
422 ............................................. 90 34 494 ............................................. 66 41
423 ............................................. 88 38 495 ............................................. 51 61
424 ............................................. 97 62 496 ............................................. 68 47
425 ............................................. 100 53 497 ............................................. 29 42
426 ............................................. 81 58 498 ............................................. 24 73
427 ............................................. 74 51 499 ............................................. 64 71
428 ............................................. 76 57 500 ............................................. 90 71
429 ............................................. 76 72 501 ............................................. 100 61
430 ............................................. 85 72 502 ............................................. 94 73
431 ............................................. 84 60 503 ............................................. 84 73
432 ............................................. 83 72 504 ............................................. 79 73
433 ............................................. 83 72 505 ............................................. 75 72
434 ............................................. 86 72 506 ............................................. 78 73
435 ............................................. 89 72 507 ............................................. 80 73
436 ............................................. 86 72 508 ............................................. 81 73
437 ............................................. 87 72 509 ............................................. 81 73
438 ............................................. 88 72 510 ............................................. 83 73
439 ............................................. 88 71 511 ............................................. 85 73
440 ............................................. 87 72 512 ............................................. 84 73
441 ............................................. 85 71 513 ............................................. 85 73
442 ............................................. 88 72 514 ............................................. 86 73
443 ............................................. 88 72 515 ............................................. 85 73
444 ............................................. 84 72 516 ............................................. 85 73
445 ............................................. 83 73 517 ............................................. 85 72
446 ............................................. 77 73 518 ............................................. 85 73
447 ............................................. 74 73 519 ............................................. 83 73
448 ............................................. 76 72 520 ............................................. 79 73

449 ............................................. 46 77 521 ............................................. 78 73
450 ............................................. 78 62 522 ............................................. 81 73
439

523 ............................................. 82 72 595 ............................................. 103 61

524 ............................................. 94 56 596 ............................................. 102 64
525 ............................................. 66 48 597 ............................................. 103 60
526 ............................................. 35 71 598 ............................................. 93 72
527 ............................................. 51 44 599 ............................................. 86 73
528 ............................................. 60 23 600 ............................................. 76 73
529 ............................................. 64 10 601 ............................................. 59 49
530 ............................................. 63 14 602 ............................................. 46 22
531 ............................................. 70 37 603 ............................................. 40 65
532 ............................................. 76 45 604 ............................................. 72 31
533 ............................................. 78 18 605 ............................................. 72 27
534 ............................................. 76 51 606 ............................................. 67 44
535 ............................................. 75 33 607 ............................................. 68 37
536 ............................................. 81 17 608 ............................................. 67 42
537 ............................................. 76 45 609 ............................................. 68 50
538 ............................................. 76 30 610 ............................................. 77 43
539 ............................................. 80 14 611 ............................................. 58 4
540 ............................................. 71 18 612 ............................................. 22 37
541 ............................................. 71 14 613 ............................................. 57 69
542 ............................................. 71 11 614 ............................................. 68 38
543 ............................................. 65 2 615 ............................................. 73 2
544 ............................................. 31 26 616 ............................................. 40 14
545 ............................................. 24 72 617 ............................................. 42 38
546 ............................................. 64 70 618 ............................................. 64 69
547 ............................................. 77 62 619 ............................................. 64 74
548 ............................................. 80 68 620 ............................................. 67 73
549 ............................................. 83 53 621 ............................................. 65 73
550 ............................................. 83 50 622 ............................................. 68 73
551 ............................................. 83 50 623 ............................................. 65 49
552 ............................................. 85 43 624 ............................................. 81 0
553 ............................................. 86 45 625 ............................................. 37 25
554 ............................................. 89 35 626 ............................................. 24 69
555 ............................................. 82 61 627 ............................................. 68 71
556 ............................................. 87 50 628 ............................................. 70 71
557 ............................................. 85 55 629 ............................................. 76 70
558 ............................................. 89 49 630 ............................................. 71 72
559 ............................................. 87 70 631 ............................................. 73 69
560 ............................................. 91 39 632 ............................................. 76 70
561 ............................................. 72 3 633 ............................................. 77 72
562 ............................................. 43 25 634 ............................................. 77 72
563 ............................................. 30 60 635 ............................................. 77 72
564 ............................................. 40 45 636 ............................................. 77 70
565 ............................................. 37 32 637 ............................................. 76 71
566 ............................................. 37 32 638 ............................................. 76 71
567 ............................................. 43 70 639 ............................................. 77 71
568 ............................................. 70 54 640 ............................................. 77 71
569 ............................................. 77 47 641 ............................................. 78 70
570 ............................................. 79 66 642 ............................................. 77 70
571 ............................................. 85 53 643 ............................................. 77 71
572 ............................................. 83 57 644 ............................................. 79 72
573 ............................................. 86 52 645 ............................................. 78 70
574 ............................................. 85 51 646 ............................................. 80 70
575 ............................................. 70 39 647 ............................................. 82 71
576 ............................................. 50 5 648 ............................................. 84 71
577 ............................................. 38 36 649 ............................................. 83 71
578 ............................................. 30 71 650 ............................................. 83 73
579 ............................................. 75 53 651 ............................................. 81 70
580 ............................................. 84 40 652 ............................................. 80 71
581 ............................................. 85 42 653 ............................................. 78 71
582 ............................................. 86 49 654 ............................................. 76 70
583 ............................................. 86 57 655 ............................................. 76 70
584 ............................................. 89 68 656 ............................................. 76 71
585 ............................................. 99 61 657 ............................................. 79 71
586 ............................................. 77 29 658 ............................................. 78 71
587 ............................................. 81 72 659 ............................................. 81 70
588 ............................................. 89 69 660 ............................................. 83 72
589 ............................................. 49 56 661 ............................................. 84 71
590 ............................................. 79 70 662 ............................................. 86 71
591 ............................................. 104 59 663 ............................................. 87 71
592 ............................................. 103 54 664 ............................................. 92 72

593 ............................................. 102 56 665 ............................................. 91 72
594 ............................................. 102 56 666 ............................................. 90 71
440

667 ............................................. 90 71 739 ............................................. 102 41

668 ............................................. 91 71 740 ............................................. 103 41
669 ............................................. 90 70 741 ............................................. 102 38
670 ............................................. 90 72 742 ............................................. 103 39
671 ............................................. 91 71 743 ............................................. 102 46
672 ............................................. 90 71 744 ............................................. 104 46
673 ............................................. 90 71 745 ............................................. 103 49
674 ............................................. 92 72 746 ............................................. 102 45
675 ............................................. 93 69 747 ............................................. 103 42
676 ............................................. 90 70 748 ............................................. 103 46
677 ............................................. 93 72 749 ............................................. 103 38
678 ............................................. 91 70 750 ............................................. 102 48
679 ............................................. 89 71 751 ............................................. 103 35
680 ............................................. 91 71 752 ............................................. 102 48
681 ............................................. 90 71 753 ............................................. 103 49
682 ............................................. 90 71 754 ............................................. 102 48
683 ............................................. 92 71 755 ............................................. 102 46
684 ............................................. 91 71 756 ............................................. 103 47
685 ............................................. 93 71 757 ............................................. 102 49
686 ............................................. 93 68 758 ............................................. 102 42
687 ............................................. 98 68 759 ............................................. 102 52
688 ............................................. 98 67 760 ............................................. 102 57
689 ............................................. 100 69 761 ............................................. 102 55
690 ............................................. 99 68 762 ............................................. 102 61
691 ............................................. 100 71 763 ............................................. 102 61
692 ............................................. 99 68 764 ............................................. 102 58
693 ............................................. 100 69 765 ............................................. 103 58
694 ............................................. 102 72 766 ............................................. 102 59
695 ............................................. 101 69 767 ............................................. 102 54
696 ............................................. 100 69 768 ............................................. 102 63
697 ............................................. 102 71 769 ............................................. 102 61
698 ............................................. 102 71 770 ............................................. 103 55
699 ............................................. 102 69 771 ............................................. 102 60
700 ............................................. 102 71 772 ............................................. 102 72
701 ............................................. 102 68 773 ............................................. 103 56
702 ............................................. 100 69 774 ............................................. 102 55
703 ............................................. 102 70 775 ............................................. 102 67
704 ............................................. 102 68 776 ............................................. 103 56
705 ............................................. 102 70 777 ............................................. 84 42
706 ............................................. 102 72 778 ............................................. 48 7
707 ............................................. 102 68 779 ............................................. 48 6
708 ............................................. 102 69 780 ............................................. 48 6
709 ............................................. 100 68 781 ............................................. 48 7
710 ............................................. 102 71 782 ............................................. 48 6
711 ............................................. 101 64 783 ............................................. 48 7
712 ............................................. 102 69 784 ............................................. 67 21
713 ............................................. 102 69 785 ............................................. 105 59
714 ............................................. 101 69 786 ............................................. 105 96
715 ............................................. 102 64 787 ............................................. 105 74
716 ............................................. 102 69 788 ............................................. 105 66
717 ............................................. 102 68 789 ............................................. 105 62
718 ............................................. 102 70 790 ............................................. 105 66
719 ............................................. 102 69 791 ............................................. 89 41
720 ............................................. 102 70 792 ............................................. 52 5
721 ............................................. 102 70 793 ............................................. 48 5
722 ............................................. 102 62 794 ............................................. 48 7
723 ............................................. 104 38 795 ............................................. 48 5
724 ............................................. 104 15 796 ............................................. 48 6
725 ............................................. 102 24 797 ............................................. 48 4
726 ............................................. 102 45 798 ............................................. 52 6
727 ............................................. 102 47 799 ............................................. 51 5
728 ............................................. 104 40 800 ............................................. 51 6
729 ............................................. 101 52 801 ............................................. 51 6
730 ............................................. 103 32 802 ............................................. 52 5
731 ............................................. 102 50 803 ............................................. 52 5
732 ............................................. 103 30 804 ............................................. 57 44
733 ............................................. 103 44 805 ............................................. 98 90
734 ............................................. 102 40 806 ............................................. 105 94
735 ............................................. 103 43 807 ............................................. 105 100
736 ............................................. 103 41 808 ............................................. 105 98

737 ............................................. 102 46 809 ............................................. 105 95
738 ............................................. 103 39 810 ............................................. 105 96
441

811 ............................................. 105 92 883 ............................................. 50 5

812 ............................................. 104 97 884 ............................................. 50 5
813 ............................................. 100 85 885 ............................................. 50 5
814 ............................................. 94 74 886 ............................................. 50 5
815 ............................................. 87 62 887 ............................................. 50 5
816 ............................................. 81 50 888 ............................................. 51 5
817 ............................................. 81 46 889 ............................................. 51 5
818 ............................................. 80 39 890 ............................................. 51 5
819 ............................................. 80 32 891 ............................................. 63 50
820 ............................................. 81 28 892 ............................................. 81 34
821 ............................................. 80 26 893 ............................................. 81 25
822 ............................................. 80 23 894 ............................................. 81 29
823 ............................................. 80 23 895 ............................................. 81 23
824 ............................................. 80 20 896 ............................................. 80 24
825 ............................................. 81 19 897 ............................................. 81 24
826 ............................................. 80 18 898 ............................................. 81 28
827 ............................................. 81 17 899 ............................................. 81 27
828 ............................................. 80 20 900 ............................................. 81 22
829 ............................................. 81 24 901 ............................................. 81 19
830 ............................................. 81 21 902 ............................................. 81 17
831 ............................................. 80 26 903 ............................................. 81 17
832 ............................................. 80 24 904 ............................................. 81 17
833 ............................................. 80 23 905 ............................................. 81 15
834 ............................................. 80 22 906 ............................................. 80 15
835 ............................................. 81 21 907 ............................................. 80 28
836 ............................................. 81 24 908 ............................................. 81 22
837 ............................................. 81 24 909 ............................................. 81 24
838 ............................................. 81 22 910 ............................................. 81 19
839 ............................................. 81 22 911 ............................................. 81 21
840 ............................................. 81 21 912 ............................................. 81 20
841 ............................................. 81 31 913 ............................................. 83 26
842 ............................................. 81 27 914 ............................................. 80 63
843 ............................................. 80 26 915 ............................................. 80 59
844 ............................................. 80 26 916 ............................................. 83 100
845 ............................................. 81 25 917 ............................................. 81 73
846 ............................................. 80 21 918 ............................................. 83 53
847 ............................................. 81 20 919 ............................................. 80 76
848 ............................................. 83 21 920 ............................................. 81 61
849 ............................................. 83 15 921 ............................................. 80 50
850 ............................................. 83 12 922 ............................................. 81 37
851 ............................................. 83 9 923 ............................................. 82 49
852 ............................................. 83 8 924 ............................................. 83 37
853 ............................................. 83 7 925 ............................................. 83 25
854 ............................................. 83 6 926 ............................................. 83 17
855 ............................................. 83 6 927 ............................................. 83 13
856 ............................................. 83 6 928 ............................................. 83 10
857 ............................................. 83 6 929 ............................................. 83 8
858 ............................................. 83 6 930 ............................................. 83 7
859 ............................................. 76 5 931 ............................................. 83 7
860 ............................................. 49 8 932 ............................................. 83 6
861 ............................................. 51 7 933 ............................................. 83 6
862 ............................................. 51 20 934 ............................................. 83 6
863 ............................................. 78 52 935 ............................................. 71 5
864 ............................................. 80 38 936 ............................................. 49 24
865 ............................................. 81 33 937 ............................................. 69 64
866 ............................................. 83 29 938 ............................................. 81 50
867 ............................................. 83 22 939 ............................................. 81 43
868 ............................................. 83 16 940 ............................................. 81 42
869 ............................................. 83 12 941 ............................................. 81 31
870 ............................................. 83 9 942 ............................................. 81 30
871 ............................................. 83 8 943 ............................................. 81 35
872 ............................................. 83 7 944 ............................................. 81 28
873 ............................................. 83 6 945 ............................................. 81 27
874 ............................................. 83 6 946 ............................................. 80 27
875 ............................................. 83 6 947 ............................................. 81 31
876 ............................................. 83 6 948 ............................................. 81 41
877 ............................................. 83 6 949 ............................................. 81 41
878 ............................................. 59 4 950 ............................................. 81 37
879 ............................................. 50 5 951 ............................................. 81 43
880 ............................................. 51 5 952 ............................................. 81 34

881 ............................................. 51 5 953 ............................................. 81 31
882 ............................................. 51 5 954 ............................................. 81 26
442

955 ............................................. 81 23 1027 ........................................... 76 60

956 ............................................. 81 27 1028 ........................................... 79 51
957 ............................................. 81 38 1029 ........................................... 86 26
958 ............................................. 81 40 1030 ........................................... 82 34
959 ............................................. 81 39 1031 ........................................... 84 25
960 ............................................. 81 27 1032 ........................................... 86 23
961 ............................................. 81 33 1033 ........................................... 85 22
962 ............................................. 80 28 1034 ........................................... 83 26
963 ............................................. 81 34 1035 ........................................... 83 25
964 ............................................. 83 72 1036 ........................................... 83 37
965 ............................................. 81 49 1037 ........................................... 84 14
966 ............................................. 81 51 1038 ........................................... 83 39
967 ............................................. 80 55 1039 ........................................... 76 70
968 ............................................. 81 48 1040 ........................................... 78 81
969 ............................................. 81 36 1041 ........................................... 75 71
970 ............................................. 81 39 1042 ........................................... 86 47
971 ............................................. 81 38 1043 ........................................... 83 35
972 ............................................. 80 41 1044 ........................................... 81 43
973 ............................................. 81 30 1045 ........................................... 81 41
974 ............................................. 81 23 1046 ........................................... 79 46
975 ............................................. 81 19 1047 ........................................... 80 44
976 ............................................. 81 25 1048 ........................................... 84 20
977 ............................................. 81 29 1049 ........................................... 79 31
978 ............................................. 83 47 1050 ........................................... 87 29
979 ............................................. 81 90 1051 ........................................... 82 49
980 ............................................. 81 75 1052 ........................................... 84 21
981 ............................................. 80 60 1053 ........................................... 82 56
982 ............................................. 81 48 1054 ........................................... 81 30
983 ............................................. 81 41 1055 ........................................... 85 21
984 ............................................. 81 30 1056 ........................................... 86 16
985 ............................................. 80 24 1057 ........................................... 79 52
986 ............................................. 81 20 1058 ........................................... 78 60
987 ............................................. 81 21 1059 ........................................... 74 55
988 ............................................. 81 29 1060 ........................................... 78 84
989 ............................................. 81 29 1061 ........................................... 80 54
990 ............................................. 81 27 1062 ........................................... 80 35
991 ............................................. 81 23 1063 ........................................... 82 24
992 ............................................. 81 25 1064 ........................................... 83 43
993 ............................................. 81 26 1065 ........................................... 79 49
994 ............................................. 81 22 1066 ........................................... 83 50
995 ............................................. 81 20 1067 ........................................... 86 12
996 ............................................. 81 17 1068 ........................................... 64 14
997 ............................................. 81 23 1069 ........................................... 24 14
998 ............................................. 83 65 1070 ........................................... 49 21
999 ............................................. 81 54 1071 ........................................... 77 48
1000 ........................................... 81 50 1072 ........................................... 103 11
1001 ........................................... 81 41 1073 ........................................... 98 48
1002 ........................................... 81 35 1074 ........................................... 101 34
1003 ........................................... 81 37 1075 ........................................... 99 39
1004 ........................................... 81 29 1076 ........................................... 103 11
1005 ........................................... 81 28 1077 ........................................... 103 19
1006 ........................................... 81 24 1078 ........................................... 103 7
1007 ........................................... 81 19 1079 ........................................... 103 13
1008 ........................................... 81 16 1080 ........................................... 103 10
1009 ........................................... 80 16 1081 ........................................... 102 13
1010 ........................................... 83 23 1082 ........................................... 101 29
1011 ........................................... 83 17 1083 ........................................... 102 25
1012 ........................................... 83 13 1084 ........................................... 102 20
1013 ........................................... 83 27 1085 ........................................... 96 60
1014 ........................................... 81 58 1086 ........................................... 99 38
1015 ........................................... 81 60 1087 ........................................... 102 24
1016 ........................................... 81 46 1088 ........................................... 100 31
1017 ........................................... 80 41 1089 ........................................... 100 28
1018 ........................................... 80 36 1090 ........................................... 98 3
1019 ........................................... 81 26 1091 ........................................... 102 26
1020 ........................................... 86 18 1092 ........................................... 95 64
1021 ........................................... 82 35 1093 ........................................... 102 23
1022 ........................................... 79 53 1094 ........................................... 102 25
1023 ........................................... 82 30 1095 ........................................... 98 42
1024 ........................................... 83 29 1096 ........................................... 93 68

1025 ........................................... 83 32 1097 ........................................... 101 25
1026 ........................................... 83 28 1098 ........................................... 95 64
443

1099 ........................................... 101 35 1171 ........................................... 75 10

1100 ........................................... 94 59 1172 ........................................... 75 7
1101 ........................................... 97 37 1173 ........................................... 75 13
1102 ........................................... 97 60 1174 ........................................... 76 8
1103 ........................................... 93 98 1175 ........................................... 76 7
1104 ........................................... 98 53 1176 ........................................... 67 45
1105 ........................................... 103 13 1177 ........................................... 75 13
1106 ........................................... 103 11 1178 ........................................... 75 12
1107 ........................................... 103 11 1179 ........................................... 73 21
1108 ........................................... 103 13 1180 ........................................... 68 46
1109 ........................................... 103 10 1181 ........................................... 74 8
1110 ........................................... 103 10 1182 ........................................... 76 11
1111 ........................................... 103 11 1183 ........................................... 76 14
1112 ........................................... 103 10 1184 ........................................... 74 11
1113 ........................................... 103 10 1185 ........................................... 74 18
1114 ........................................... 102 18 1186 ........................................... 73 22
1115 ........................................... 102 31 1187 ........................................... 74 20
1116 ........................................... 101 24 1188 ........................................... 74 19
1117 ........................................... 102 19 1189 ........................................... 70 22
1190 ........................................... 71 23
1118 ........................................... 103 10
1191 ........................................... 73 19
1119 ........................................... 102 12
1192 ........................................... 73 19
1120 ........................................... 99 56
1193 ........................................... 72 20
1121 ........................................... 96 59
1194 ........................................... 64 60
1122 ........................................... 74 28 1195 ........................................... 70 39
1123 ........................................... 66 62 1196 ........................................... 66 56
1124 ........................................... 74 29 1197 ........................................... 68 64
1125 ........................................... 64 74 1198 ........................................... 30 68
1126 ........................................... 69 40 1199 ........................................... 70 38
1127 ........................................... 76 2 1200 ........................................... 66 47
1128 ........................................... 72 29 1201 ........................................... 76 14
1129 ........................................... 66 65 1202 ........................................... 74 18
1130 ........................................... 54 69 1203 ........................................... 69 46
1131 ........................................... 69 56 1204 ........................................... 68 62
1132 ........................................... 69 40 1205 ........................................... 68 62
1133 ........................................... 73 54 1206 ........................................... 68 62
1134 ........................................... 63 92 1207 ........................................... 68 62
1135 ........................................... 61 67 1208 ........................................... 68 62
1136 ........................................... 72 42 1209 ........................................... 68 62
1137 ........................................... 78 2 1210 ........................................... 54 50
1138 ........................................... 76 34 1211 ........................................... 41 37
1139 ........................................... 67 80 1212 ........................................... 27 25
1140 ........................................... 70 67 1213 ........................................... 14 12
1141 ........................................... 53 70 1214 ........................................... 0 0
1142 ........................................... 72 65 1215 ........................................... 0 0
1143 ........................................... 60 57 1216 ........................................... 0 0
1144 ........................................... 74 29 1217 ........................................... 0 0
1145 ........................................... 69 31 1218 ........................................... 0 0
1146 ........................................... 76 1 1219 ........................................... 0 0
1147 ........................................... 74 22 1220 ........................................... 0 0
1148 ........................................... 72 52 1221 ........................................... 0 0
1149 ........................................... 62 96 1222 ........................................... 0 0
1150 ........................................... 54 72 1223 ........................................... 0 0
1151 ........................................... 72 28 1224 ........................................... 0 0
1225 ........................................... 0 0
1152 ........................................... 72 35
1226 ........................................... 0 0
1153 ........................................... 64 68
1227 ........................................... 0 0
1154 ........................................... 74 27
1228 ........................................... 0 0
1155 ........................................... 76 14
1229 ........................................... 0 0
1156 ........................................... 69 38 1230 ........................................... 0 0
1157 ........................................... 66 59 1231 ........................................... 0 0
1158 ........................................... 64 99 1232 ........................................... 0 0
1159 ........................................... 51 86 1233 ........................................... 0 0
1160 ........................................... 70 53 1234 ........................................... 0 0
1161 ........................................... 72 36 1235 ........................................... 0 0
1162 ........................................... 71 47 1236 ........................................... 0 0
1163 ........................................... 70 42 1237 ........................................... 0 0
1164 ........................................... 67 34 1238 ........................................... 0 0
1165 ........................................... 74 2
1 The percent torque is relative to maximum torque at the
1166 ........................................... 75 21
1167 ........................................... 74 15 commanded engine speed.
1168 ........................................... 75 13
1169 ........................................... 76 10 [69 FR 39213, June 29, 2004, as amended at 70
1170 ........................................... 75 13 FR 40465, July 13, 2005]
444
PART 1042—CONTROL OF EMIS- 1042.315 Determining compliance.

1042.320 What happens if one of my produc-
SIONS FROM NEW AND IN-USE tion-line engines fails to meet emission
MARINE COMPRESSION-IGNI- standards?
TION ENGINES AND VESSELS 1042.325 What happens if an engine family
fails the production-line testing require-
Subpart A—Overview and Applicability ments?
1042.330 Selling engines from an engine fam-
Sec. ily with a suspended certificate of con-
1042.1 Applicability. formity.
1042.2 Who is responsible for compliance? 1042.335 Reinstating suspended certificates.
1042.5 Exclusions. 1042.340 When may EPA revoke my certifi-
1042.10 Organization of this part. cate under this subpart and how may I
1042.15 Do any other regulation parts apply sell these engines again?
to me? 1042.345 Reporting.
1042.30 Submission of information. 1042.350 Recordkeeping.
Subpart B—Emission Standards and Subpart E—In-Use Testing

Related Requirements 1042.401 General Provisions.
Category 1 and Category 2 engines. Subpart F—Test Procedures
1042.104 Exhaust emission standards for 1042.501 How do I run a valid emission test?
Category 3 engines. 1042.505 Testing engines using discrete-
1042.107 Evaporative emission standards. mode or ramped-modal duty cycles.
1042.110 Recording reductant use and other 1042.515 Test procedures related to not-to-
diagnostic functions. exceed standards.
1042.115 Other requirements. 1042.520 What testing must I perform to es-
1042.120 Emission-related warranty require- tablish deterioration factors?
ments. 1042.525 How do I adjust emission levels to
1042.125 Maintenance instructions. account for infrequently regenerating
1042.130 Installation instructions for vessel aftertreatment devices?
manufacturers.
1042.135 Labeling. Subpart G—Special Compliance Provisions
1042.140 Maximum engine power, displace-
ment, power density, and maximum in- 1042.601. General compliance provisions for
use engine speed. marine engines and vessels.
1042.145 Interim provisions. 1042.605 Dressing engines already certified
to other standards for nonroad or heavy-
Subpart C—Certifying Engine Families duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines
1042.201 General requirements for obtaining to land-based standards.
a certificate of conformity. 1042.615 Replacement engine exemption.
1042.205 Application requirements. 1042.620 Engines used solely for competi-
1042.210 Preliminary approval. tion.
1042.220 Amending maintenance instruc- 1042.625 Special provisions for engines used
tions. in emergency applications.
1042.225 Amending applications for certifi- 1042.630 Personal-use exemption.
cation. 1042.635 National security exemption.
1042.230 Engine families. 1042.650 Exemptions for migratory vessels
1042.235 Emission testing related to certifi- and auxiliary engines on Category 3 ves-
cation. sels.
1042.240 Demonstrating compliance with ex- 1042.655 Special certification provisions for
haust emission standards. Category 3 engines with aftertreatment.
1042.245 Deterioration factors. 1042.660 Requirements for vessel manufac-
1042.250 Recordkeeping and reporting. turers, owners, and operators.
1042.255 EPA decisions. 1042.670 Special provisions for gas turbine
engines.
Subpart D—Testing Production-Line Engines
Subpart H—Averaging, Banking, and
1042.301 General provisions. Trading for Certification
1042.302 Applicability of this subpart for
Category 3 engines. 1042.701 General provisions.
1042.305 Preparing and testing production- 1042.705 Generating and calculating emis-
line engines. sion credits.

1042.310 Engine selection for Category 1 and 1042.710 Averaging emission credits.
Category 2 engines. 1042.715 Banking emission credits.
445
§ 1042.1 40 CFR Ch. I (7–1–21 Edition)
1042.720 Trading emission credits. 1042.920 Hearings.
1042.725 Information required for the appli- 1042.925 Reporting and recordkeeping re-
cation for certification. quirements.
1042.730 ABT reports. APPENDIX I TO PART 1042—SUMMARY OF PRE-
1042.735 Recordkeeping. VIOUS EMISSION STANDARDS
1042.745 Noncompliance.
APPENDIX II TO PART 1042—STEADY-STATE
DUTY CYCLES
Subpart I—Special Provisions for
APPENDIX III TO PART 1042—NOT-TO-EXCEED
Remanufactured Marine Engines ZONES
1042.801 General provisions. AUTHORITY: 42 U.S.C. 7401–7671q.
1042.810 Requirements for owner/operators
and installers during remanufacture. SOURCE: 73 FR 37243, June 30, 2008, unless
1042.815 Demonstrating availability. otherwise noted.
1042.820 Emission standards and required
emission reductions for remanufactured Subpart A—Overview and
engines.
1042.825 Baseline determination.
Applicability
1042.830 Labeling.
1042.835 Certification of remanufactured en- § 1042.1 Applicability.
gines. Except as provided in this section
1042.836 Marine certification of locomotive and § 1042.5, the regulations in this part
remanufacturing systems. 1042 apply for all new compression-igni-
1042.840 Application requirements for re-
manufactured engines.
tion marine engines (including new en-
1042.845 Remanufactured engine families. gines deemed to be compression-igni-
1042.850 Exemptions and hardship relief. tion engines under this section) and
vessels containing such engines. See
Subpart J—Definitions and Other § 1042.901 for the definitions of engines
Reference Information and vessels considered to be new.
(a) The emission standards of this
1042.905 Symbols, acronyms, and abbrevia- part 1042 for freshly manufactured en-
tions. gines apply for new marine engines
1042.910 Incorporation by reference. starting with the model years noted in
1042.915 Confidential information. the following table:
TABLE 1 TO § 1042.1—PART 1042 APPLICABILITY BY MODEL YEAR
Engine category Maximum engine power a Displacement (L/cyl) or 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
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 § 1042.140, which describes how to determine maximum engine power.
b See Table 1 of § 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 en- under 40 CFR part 89, except as follows
gine power below 37 kW and originally beginning June 29, 2010:
manufactured and certified before the (1) The allowances of this part apply.
model years identified in Table 1 to (2) The definitions of ‘‘new marine
this section are subject to emission engine’’ and ‘‘model year’’ apply.
standards and requirements of 40 CFR (c) Freshly manufactured engines
part 89. The provisions of this part 1042 with maximum engine power at or
do not apply for such engines certified above 37 kW and originally manufac-
tured and certified before the model
446
years identified in Table 1 to this sec- (h) Starting with the model years
tion are subject to emission standards noted in Table 1 of this section, all of
and requirements of 40 CFR part 94. the subparts of this part, except sub-
The provisions of this part 1042 do not part I, apply as specified in 40 CFR part
apply for such engines certified under 60, subpart IIII, to freshly manufac-
40 CFR part 94, except as follows begin- tured stationary compression-ignition
ning June 29, 2010: engines subject to the standards of 40
(1) The allowances of this part apply. CFR part 60, subpart IIII, that have a
(2) The definitions of ‘‘new marine per-cylinder displacement at or above
engine’’ and ‘‘model year’’ apply. 10 liters and below 30 liters per cyl-
(3) The remanufacturing provisions inder. Such engines are considered Cat-
in subpart I of this part may apply for egory 2 engines for purposes of this
remanufactured engines originally part 1042.
manufactured in model years before
[75 FR 22994, Apr. 30, 2010, as amended at 76
the model years identified in Table 1 to FR 37977, June 28, 2011; 81 FR 74142, Oct. 25,
this section. 2016]
(4) 40 CFR part 94 specifies other pro-
visions from this part 1042 that apply.
(d) Engines with model years before 29, 2021.
those specified in Table 1 to this sec-
tion are generally subject to the Tier 1 § 1042.2 Who is responsible for compli-
or Tier 2 standards of 40 CFR part 94. ance?
Such engines may be certified to those The regulations in this part 1042 con-
standards under this part 1042. All the tain provisions that affect both engine
provisions of this part except the emis- manufacturers and others. However,
sion standards apply to such engines if the requirements of this part, other
they are certified under this part. Note than those of subpart I of this part, are
that engines subject to, but not cer- generally addressed to the engine man-
tified to, the standards of 40 CFR part ufacturer for freshly manufactured ma-
94 are subject to the requirements and rine engines or other certificate hold-
prohibitions of this part and 40 CFR ers. The term ‘‘you’’ generally means
part 1068. the engine manufacturer, as defined in
(e) The requirements of subpart I of § 1042.901, especially for issues related
this part apply to remanufactured Cat- to certification (including production-
egory 1 and Category 2 engines begin- line testing, reporting, etc.). Note that
ning July 7, 2008. for engines that become new after
(f) The marine engines listed in this being placed into service (such as en-
paragraph (f) are subject to all the re- gines converted from highway or sta-
quirements of this part even if they do tionary use, or engines installed on
not meet the definition of ‘‘compres- vessels that are reflagged to become
sion-ignition’’ in § 1042.901. The fol- U.S. vessels), the requirements that
lowing engines are deemed to be com- normally apply for manufacturers of
pression-ignition engines for purposes freshly manufactured engines apply to
of this part: the importer or any other entity we
(1) Marine engines powered by nat- allow to obtain a certificate of con-
ural gas or other gaseous fuels with formity.
maximum engine power at or above 250
kW. Note that gaseous-fueled engines [81 FR 74142, Oct. 25, 2016]
with maximum engine power below 250
kW may or may not meet the defini- § 1042.5 Exclusions.
tion of ‘‘compression-ignition’’ in This part does not apply to the fol-
§ 1042.901. lowing marine engines:
(2) Marine gas turbine engines. (a) Foreign vessels. The requirements
(3) Other marine internal combustion and prohibitions of this part do not
engines that do not meet the definition apply to engines installed on foreign
of ‘‘spark-ignition’’ in § 1042.901. vessels, as defined in § 1042.901. Note
(g) Some of the provisions of this however, that the requirements and
part may apply for other engines as prohibitions of this part do apply to en-
specified in 40 CFR part 1043. gines installed on any formerly foreign
447
§ 1042.10 40 CFR Ch. I (7–1–21 Edition)
vessels that are reflagged as U.S.- § 1042.15 Do any other regulation

flagged vessels. parts apply to me?
(b) Hobby engines. Engines installed (a) Part 1043 of this chapter describes
in reduced-scale models of vessels that requirements related to international
are not capable of transporting a per- pollution prevention that apply for
son are not subject to the provisions of some of the engines subject to this
this part 1042. part.
(c) Recreational gas turbine engines. (b) The evaporative emission require-
The requirements and prohibitions of ments of part 1060 of this chapter apply
this part do not apply to gas turbine to vessels that include installed en-
engines installed on recreational ves- gines fueled with a volatile liquid fuel
sels, as defined in § 1042.901. as specified in § 1042.107. (Note: Conven-
[73 FR 37243, June 30, 2008, as amended at 73 tional diesel fuel is not considered to
FR 59192, Oct. 8, 2008; 75 FR 22995, Apr. 30, be a volatile liquid fuel.)
2010] (c) Part 1065 of this chapter describes
procedures and equipment specifica-
§ 1042.10 Organization of this part. tions for testing engines to measure ex-
This part 1042 is divided into the fol- haust emissions. Subpart F of this part
lowing subparts: 1042 describes how to apply the provi-
(a) Subpart A of this part defines the sions of part 1065 of this chapter to de-
applicability of this part 1042 and gives termine whether engines meet the ex-
an overview of regulatory require- haust emission standards in this part.
ments. (d) The requirements and prohibi-
(b) Subpart B of this part describes tions of part 1068 of this chapter apply
the emission standards and other re- to everyone, including anyone who
quirements that must be met to certify manufactures, imports, installs, owns,
engines under this part. Note that operates, or rebuilds any of the engines
§ 1042.145 discusses certain interim re- subject to this part 1042, or vessels con-
quirements and compliance provisions taining these engines. Part 1068 of this
that apply only for a limited time. chapter describes general provisions,
(c) Subpart C of this part describes including these seven areas:
how to apply for a certificate of con- (1) Prohibited acts and penalties for
formity. engine manufacturers, vessel manufac-
(d) Subpart D of this part describes turers, and others.
general provisions for testing produc- (2) Rebuilding and other aftermarket
tion-line engines. changes.
(e) Subpart E of this part describes (3) Exclusions and exemptions for
general provisions for testing in-use certain engines.
engines. (4) Importing engines.
(f) Subpart F of this part and 40 CFR (5) Selective enforcement audits of
1065 describe how to test your engines. your production.
(g) Subpart G of this part and 40 CFR (6) Defect reporting and recall.
part 1068 describe requirements, prohi- (7) Procedures for hearings.
bitions, and other provisions that (e) Other parts of this chapter apply
apply to engine manufacturers, vessel if referenced in this part.
manufacturers, owners, operators, re-
[75 FR 22995, Apr. 30, 2010]
builders, and all others.
(h) Subpart H of this part describes § 1042.30 Submission of information.
how you may generate and use emis-
sion credits to certify your engines. Unless we specify otherwise, send all
(i) Subpart I of this part describes
the Designated Compliance Officer (see
how these regulations apply for re-
§ 1042.901). See § 1042.925 for additional
manufactured engines.
reporting and recordkeeping provi-
(j) Subpart J of this part contains
sions.
mation. [81 FR 74142, Oct. 25, 2016]
448
Subpart B—Emission Standards starting with the applicable model year

and Related Requirements identified in § 1042.1:
(i) 8.0 g/kW-hr for engines below 8
§ 1042.101 Exhaust emission standards kW.
for Category 1 and Category 2 en- (ii) 6.6 g/kW-hr for engines at or
gines. above 8 kW and below 19 kW.
(iii) 5.5 g/kW-hr for engines at or
(a) Duty-cycle standards. Exhaust
above 19 kW and below 37 kW.
emissions from your engines may not (iv) 5.0 g/kW-hr for engines at or
exceed emission standards, as follows: above 37 kW.
(1) Measure emissions using the test (3) Except as described in paragraphs
procedures described in subpart F of (a)(4) and (5) of this section, the Tier 3
this part. standards for PM and NOX+HC emis-
(2) The following CO emission stand- sions are described in the following ta-
ards in this paragraph (a)(2) apply bles:
TABLE 1 TO § 1042.101—TIER 3 STANDARDS FOR CATEGORY 1 ENGINES BELOW 3700 KW A
Displacement Maximum PM NOX+HC
Power density and application Model year
(L/cyl) engine power (g/kW-hr) (g/kW-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 ≤ disp. < 0.9 ................. kW ≥ 75 ......... 2012+ 0.14 5.4
35.
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 § 1042.1(c) and paragraph (a)(7) of
this section for the standards that apply for these engines.
b The applicable NO +HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the val-
X
ues 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 NO +HC standards for engines at or above 19 kW and below 75
X
kW with displacement below 0.9 L/cyl.
TABLE 2 TO § 1042.101— TIER 3 STANDARDS FOR CATEGORY 2 ENGINES BELOW 3700 KW A

Displacement PM NOX+HC
Maximum engine power Model year
(L/cyl) (g/kW-hr) (g/kW-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 § 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 NO +HC standard, FELs may not be higher than the Tier 1 NO standards specified
X X
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 max-
imum 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.
449
§ 1042.101 40 CFR Ch. I (7–1–21 Edition)
(4) For Tier 3 engines at or above 19 tion continue to apply. PM FELs for
kW and below 75 kW with displacement these engines may not be higher than
below 0.9 L/cyl, you may alternatively the applicable Tier 2 p.m. standards
certify some or all of your engine fami- specified in Appendix I of this part.
lies to a PM emission standard of 0.20 (ii) For Category 2 engines with per-
g/kW-hr and a NOX+HC emission stand- cylinder displacement below 15.0 liters,
ard of 5.8 g/kW-hr for 2014 and later the Tier 3 p.m. standards from Table 2
model years. to this section continue to apply. PM
(5) Starting with the 2014 model year, FELs for these engines may not be
recreational marine engines at or
higher than 0.27 g/kW-hr.
above 3700 kW (with any displacement)
must be certified under this part 1042 (iii) For Category 2 engines with per-
to the Tier 3 standards specified in this cylinder displacement at or above 15.0
section for 3.5 to 7.0 L/cyl recreational liters, the PM standard is 0.34 g/kW-hr
marine engines. for engines at or above 2000 kW and
(6) Interim Tier 4 p.m. standards below 3300 kW, and 0.27 g/kW-hr for en-
apply for 2014 and 2015 model year engines at or above 3300 kW and below
gines between 2000 and 3700 kW as spec- 3700 kW. PM FELs for these engines
ified in this paragraph (a)(6). These en- may not be higher than 0.50 g/kW-hr.
gines are considered to be Tier 4 en- (7) Except as described in paragraph
gines. (a)(8) of this section, the Tier 4 stand-
(i) For Category 1 engines, the Tier 3 ards for PM, NOX, and HC emissions are
p.m. standards from Table 1 to this sec- described in the following table:
TABLE 3 TO § 1042.101—TIER 4 STANDARDS FOR CATEGORY 2 AND COMMERCIAL CATEGORY 1
ENGINES AT OR ABOVE 600 KW
Displacement PM NOX HC
Maximum engine power Model year
(L/cyl) (g/kW-hr) (g/kW-hr) (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. < 30.0 .............. 2014–2015 0.25 1.8 0.19
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 standards in the 2017 model year for up
apply for complying with the Tier 3 to nine months, but you must comply
and Tier 4 standards specified in para- no later than October 1, 2017.
graphs (a)(3) through (7) of this section: (iii) For engines at or above 3700 kW,
(i) You may use NOX credits accumu- you may delay complying with the Tier
lated through the ABT program to cer- 4 standards in the 2016 model year for
tify Tier 4 engines to a NOX+HC emis- up to twelve months, but you must
sion standard of 1.9 g/kW-hr instead of comply no later than December 31,
the NOX and HC standards that would 2016.
otherwise apply by certifying your (iv) For Category 2 engines at or
family to a NOX+HC FEL. Calculate above 1400 kW, you may alternatively
the NOX credits needed as specified in comply with the Tier 3 and Tier 4
subpart H of this part using the standards specified in Table 4 of this
NOX+HC emission standard and FEL in section instead of the NOX, HC,
the calculation instead of the other- NOX+HC, and PM standards specified in
wise applicable NOX standard and FEL. paragraphs (a)(3) through (7) of this
You may not generate credits relative section. The CO standards specified in
to the alternate standard or certify to paragraph (a)(2) of this section apply
the standard without using credits. without regard to whether you choose
(ii) For engines below 1000 kW, you this option. If you choose this option,
may delay complying with the Tier 4 you must do so for all engines at or
450
above 1400 kW in the same displace- 25, or 25–30 liters per cylinder) in model
ment category (that is, 7–15, 15–20, 20– years 2012 through 2015.
TABLE 4 TO § 1042.101—OPTIONAL TIER 3 AND TIER 4 STANDARDS FOR CATEGORY 2 ENGINES AT
OR ABOVE 1400 KW
PM NOX HC
Tier Maximum engine power Model year (g/kW-hr) (g/kW-hr) (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. (c) Not-to-exceed standards. Except as

You may generate or use emission noted in § 1042.145(e), exhaust emissions
credits under the averaging, banking, from all engines subject to the require-
and trading (ABT) program as de- ments of this part may not exceed the
scribed in subpart H of this part for not-to-exceed (NTE) standards as fol-
demonstrating compliance with NOX, lows:
NOX+HC, and PM emission standards (1) Use the following equation to de-
for Category 1 and Category 2 engines. termine the NTE standards:
You may also use NOX or NOX+HC
emission credits to comply with the al- (i) NTE standard for each pollutant =
ternate NOX+HC standard in paragraph STD × M.
(a)(8)(i) of this section. Generating or Where:
using emission credits requires that
STD = The standard specified for that pollut-
you specify a family emission limit ant in this section if you certify without
(FEL) for each pollutant you include in using ABT for that pollutant; or the FEL
the ABT program for each engine fam- for that pollutant if you certify using
ily. These FELs serve as the emission ABT.
standards for the engine family with M = The NTE multiplier for that pollutant.
respect to all required testing instead
of the standards specified in paragraph (ii) Round each NTE standard to the
(a) of this section. The FELs determine same number of decimal places as the
the not-to-exceed standards for your emission standard.
engine family, as specified in para- (2) Determine the applicable NTE
graph (c) of this section. Unless other- zone and subzones as described in
wise specified, the following FEL caps § 1042.515. Determine NTE multipliers
apply: for specific zones and subzones and pol-
(1) FELs for Tier 3 engines may not lutants as follows:
be higher than the applicable Tier 2 (i) For marine engines certified using
standards specified in Appendix I of the duty cycle specified in
this part. § 1042.505(b)(1), except for variable-speed
(2) FELs for Tier 4 engines may not propulsion marine engines used with
be higher than the applicable Tier 3 controllable-pitch propellers or with
standards specified in paragraph (a)(3) electrically coupled propellers, apply
of this section. the following NTE multipliers:
(3) The following FEL caps apply for (A) Subzone 1: 1.2 for Tier 3 NOX+HC
engines at or above 3700 kW that are standards.
not subject to Tier 3 standards under
(B) Subzone 1: 1.5 for Tier 4 standards
paragraph (a)(3) of this section:
(i) FELs may not be higher than the and Tier 3 p.m. and CO standards.
applicable Tier 1 NOX standards speci- (C) Subzone 2: 1.5 for Tier 4 NOX and
fied in Appendix I of this part before HC standards and for Tier 3 NOX+HC
the Tier 4 standards start to apply. standards.
(ii) FELs may not be higher than the (D) Subzone 2: 1.9 for PM and CO
applicable Tier 2 NOX+THC standards standards.
specified in Appendix I of this part (ii) For recreational marine engines
after the Tier 4 standards start to certified using the duty cycle specified
apply. in § 1042.505(b)(2), except for variable-
451
§ 1042.101 40 CFR Ch. I (7–1–21 Edition)
speed marine engines used with con- (D) Subzone 2: 1.5 for Tier 4 standards
trollable-pitch propellers or with elec- and Tier 3 p.m. and CO standards. How-
trically coupled propellers, apply the ever, there is no NTE standard for PM
following NTE multipliers: emissions if the engine family’s appli-
(A) Subzone 1: 1.2 for Tier 3 NOX+HC cable standard for PM is at or above
standards. 0.07 g/kW-hr.
(B) Subzone 1: 1.5 for Tier 3 p.m. and (3) The NTE standards apply to your
CO standards. engines whenever they operate within
(C) Subzones 2 and 3: 1.5 for Tier 3 the NTE zone for an NTE sampling pe-
NOX+HC standards. riod of at least thirty seconds, during
(D) Subzones 2 and 3: 1.9 for PM and which only a single operator demand
CO standards. set point may be selected. Engine oper-
(iii) For variable-speed marine en- ation during a change in operator de-
gines used with controllable-pitch pro- mand is excluded from any NTE sam-
pellers or with electrically coupled pro- pling period. There is no maximum
pellers that are certified using the duty NTE sampling period.
cycle specified in § 1042.505(b)(1), (2), or (4) Collect emission data for deter-
(3), apply the following NTE multi- mining compliance with the NTE
pliers: standards using the procedures de-
(A) Subzone 1: 1.2 for Tier 3 NOX+HC scribed in subpart F of this part.
standards.
(5) You may ask us to accept as com-
(B) Subzone 1: 1.5 for Tier 4 standards pliant an engine that does not fully
and Tier 3 p.m. and CO standards.
meet specific requirements under the
(C) Subzone 2: 1.5 for Tier 4 NOX and applicable NTE standards where such
HC standards and for Tier 3 NOX+HC
deficiencies are necessary for safety.
standards.
(d) Fuel types. The exhaust emission
(D) Subzone 2: 1.9 for PM and CO
standards in this section apply for en-
standards. However, there is no NTE
gines using the fuel type on which the
standard in Subzone 2b for PM emis-
engines in the engine family are de-
sions if the engine family’s applicable
standard for PM is at or above 0.07 g/ signed to operate.
kW-hr. (1) You must meet the numerical
(iv) For constant-speed engines cer- emission standards for hydrocarbons in
tified using a duty cycle specified in this section based on the following
§ 1042.505(b)(3) or (4), apply the fol- types of hydrocarbon emissions for en-
lowing NTE multipliers: gines powered by the following fuels:
(A) Subzone 1: 1.2 for Tier 3 NOX+HC (i) Alcohol-fueled engines must com-
standards. ply with Tier 3 HC standards based on
(B) Subzone 1: 1.5 for Tier 4 standards THCE emissions and with Tier 4 stand-
and Tier 3 p.m. and CO standards. ards based on NMHCE emissions.
(C) Subzone 2: 1.5 for Tier 4 NOX and (ii) Gaseous-fueled engines must
HC standards and for Tier 3 NOX+HC comply with HC standards based on
standards. nonmethane-nonethane hydrocarbon
(D) Subzone 2: 1.9 for PM and CO emissions.
standards. However, there is no NTE (iii) Diesel-fueled and all other en-
standard for PM emissions if the engines not described in paragraph
gine family’s applicable standard for (d)(1)(i) or (ii) of this section must
PM is at or above 0.07 g/kW-hr. comply with Tier 3 HC standards based
(v) For variable-speed auxiliary ma- on THC emissions and with Tier 4
rine engines certified using the duty standards based on NMHC emissions.
cycle specified in § 1042.505(b)(5)(ii) or (2) Tier 3 and later engines must
(iii): comply with the exhaust emission
(A) Subzone 1: 1.2 for Tier 3 NOX+HC standards when tested using test fuels
standards. containing 15 ppm or less sulfur (ultra
(B) Subzone 1: 1.5 for Tier 4 standards low-sulfur diesel fuel). Manufacturers
and Tier 3 p.m. and CO standards. may use low-sulfur diesel fuel (without
(C) Subzone 2: 1.2 for Tier 3 NOX+HC request) to certify an engine otherwise
standards. requiring an ultra low-sulfur test fuel;
452
however, emissions may not be cor- include an engineering analysis of in-

rected to account for the effects of formation equivalent to such in-use
using higher sulfur fuel. data, such as data from research en-
(3) Engines designed to operate using gines or similar engine models that are
residual fuel must comply with the already in production. Your dem-
standards and requirements of this onstration must also include any over-
part when operated using residual fuel haul interval that you recommend, any
in addition to complying with the re- mechanical warranty that you offer for
quirements of this part when operated the engine or its components, and any
using diesel fuel. relevant customer design specifica-
(e) Useful life. Your engines must tions. Your demonstration may include
meet the exhaust emission standards of any other relevant information. The
this section over their full useful life, useful life value may not be shorter
expressed as a period in years or hours than any of the following:
of engine operation, whichever comes (i) 1,000 hours of operation.
first. (ii) Your recommended overhaul in-
(1) The minimum useful life values terval.
are as follows, except as specified by (iii) Your mechanical warranty for
paragraph (e)(2) or (3) of this section: the engine.
(i) 10 years or 1,000 hours of operation (f) Applicability for testing. The duty-
for recreational Category 1 engines cycle emission standards in this sub-
(ii) 5 years or 3,000 hours of operation part apply to all testing performed ac-
for commercial engines below 19 kW. cording to the procedures in § 1042.505,
(iii) 7 years or 5,000 hours of oper- including certification, production-
ation for commercial engines at or line, and in-use testing. The not-to-ex-
above 19 kW and below 37kW. ceed standards apply for all testing
(iv) 10 years or 10,000 hours of oper- performed according to the procedures
ation for commercial Category 1 en- of subpart F of this part.
gines at or above 37 kW.
(v) 10 years or 20,000 hours of oper- [73 FR 37243, June 30, 2008, as amended at 73
ation for Category 2 engines. FR 59192, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009;
(2) Specify a longer useful life in 75 FR 22996, Apr. 30, 2010; 81 FR 74142, Oct. 25,
2016]
hours for an engine family under either
of two conditions: EFFECTIVE DATE NOTE: At 86 FR 34508, June
(i) If you design, advertise, or market 29, 2021, § 1042.101 was amended, effective July
your engine to operate longer than the 29, 2021.
minimum useful life (your rec-
ommended hours until rebuild indi- § 1042.104 Exhaust emission standards
for Category 3 engines.
cates a longer design life).
(ii) If your basic mechanical war- (a) Duty-cycle standards. Exhaust
ranty is longer than the minimum use- emissions from your engines may not
ful life. exceed emission standards, as follows:
(3) You may request in your applica- (1) Measure emissions using the test
tion for certification that we approve a procedures described in subpart F of
shorter useful life for an engine family. this part. Note that while no PM stand-
We may approve a shorter useful life, ards apply for Category 3 engines, PM
in hours of engine operation but not in emissions must be measured for certifi-
years, if we determine that these en- cation testing and reported under
gines will rarely operate longer than § 1042.205. Note also that you are not re-
the shorter useful life. If engines iden- quired to measure PM emissions for
tical to those in the engine family have other testing.
already been produced and are in use, (2) NOX standards apply based on the
your demonstration must include docu- engine’s model year and maximum in-
mentation from such in-use engines. In use engine speed as shown in the fol-
other cases, your demonstration must lowing table:
453
§ 1042.104 40 CFR Ch. I (7–1–21 Edition)
TABLE 1 TO § 1042.104—NOX EMISSION STANDARDS FOR CATEGORY 3 ENGINES (G/KW-HR)

Maximum in-use engine speed
Emission standards Model year Less than 130 Over 2000
130–2000 RPM a
RPM RPM
Tier 1 .......................... 2004–2010 b ................................................. 17.0 45.0 · n(¥0.20) ............ 9.8

Tier 2 .......................... 2011–2015 ................................................... 14.4 44.0 · n(¥0.23) ............ 7.7
Tier 3 c ........................ 2016 and later .............................................. 3.4 9.0 · n(¥0.20) .............. 2.0
a Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in § 1042.140). Round the
standards to one decimal place.
b Tier 1 NO standards apply as specified in 40 CFR part 94 for engines originally manufactured in model years 2004 through
X
2010. They are shown here only for reference.
c For engines designed with on-off controls as specified in § 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 (2) Specify a longer useful life in
later engines is 2.0 g/kW-hr. This stand- hours for an engine family under either
ard applies as follows: of two conditions:
(i) Alcohol-fueled engines must com- (i) If you design, advertise, or market
ply with HC standards based on THCE your engine to operate longer than the
emissions. minimum useful life (your rec-
(ii) Natural gas-fueled engines must ommended hours until rebuild indi-
comply with HC standards based on cates a longer design life).
NMHC emissions. (ii) If your basic mechanical war-
ranty is longer than the minimum use-
(iii) Diesel-fueled and all other en-
ful life.
gines not described in paragraph
(e) Applicability for testing. The duty-
(a)(3)(i) or (ii) of this section must
cycle emission standards in this sec-
comply with HC standards based on
tion apply to all testing performed ac-
THC emissions. cording to the procedures in § 1042.505,
(4) The CO standard for Tier 2 and including certification, production-
later engines is 5.0 g/kW-hr. line, and in-use testing. See paragraph
(b) Averaging, banking, and trading. (g) of this section for standards that
Category 3 engines are not eligible for apply for certain other test procedures,
participation in the averaging, bank- such as some production-line testing.
ing, and trading (ABT) program as de- (f) Domestic engines. Engines installed
scribed in subpart H of this part. on vessels excluded from 40 CFR part
(c) Mode caps. Measured NOX emis- 1043 because they operate only domes-
sions may not exceed the cap specified tically may not be certified for use
in this paragraph (c) for any applicable with residual fuels.
duty-cycle test modes with power (g) Alternate installed-engine stand-
greater than 10 percent maximum en- ards. NOX emissions may not exceed
gine power. Calculate the mode cap by the standard specified in this para-
multiplying the applicable NOX stand- graph (g) for test of engines installed
ard by 1.5 and rounding to the nearest on vessels when you are unable to oper-
0.1 g/kW-hr. Note that mode caps do ate the engine at the test points for the
not apply for pollutants other than specified duty cycle, and you approxi-
NOX and do not apply for any modes of mate these points consistent with the
operation outside of the applicable specifications of section 6 of Appendix
duty cycles in § 1042.505. Category 3 en- 8 to the NOX Technical Code (incor-
gines are not subject to not-to-exceed porated by reference in § 1042.910). Cal-
standards. culate the alternate installed-engine
(d) Useful life. Your engines must standard by multiplying the applicable
meet the exhaust emission standards of NOX standard by 1.1 and rounding to
this section over their full useful life, the nearest 0.1 g/kW-hr.
expressed as a period in years or hours [75 FR 22997, Apr. 30, 2010; 81 FR 74145, Oct.
of engine operation, whichever comes 25, 2016]
first.

(1) The minimum useful life value is 29, 2021, § 1042.104 was amended, effective July
3 years or 10,000 hours of operation. 29, 2021.
454
§ 1042.107 Evaporative emission stand- ator can readily access the information
ards. to submit the report required by
(a) There are no evaporative emission § 1042.660. For example, you may meet
standards for diesel-fueled engines, or this requirement by documenting the
engines using other nonvolatile or non- incident in a text file that can be
liquid fuels (for example, natural gas). downloaded or printed by the operator.
(b) If an engine uses a volatile liquid (3) SCR systems must also conform
fuel, such as methanol, the engine’s to the provisions of paragraph (d) of
fuel system and the vessel in which the this section if they are equipped with
engine is installed must meet the evap- on-off controls as allowed under
orative emission requirements of 40 § 1042.115(g).
CFR part 1045 that apply with respect (b) [Reserved]
to spark-ignition engines. Manufactur- (c) You may equip your engine with
ers subject to evaporative emission other diagnostic features. If you do,
standards must meet the requirements they must be designed to allow us to
of 40 CFR 1045.112 as described in 40 read and interpret the codes. Note that
CFR part 1060 and do all the following §§ 1042.115 and 1042.205 require that you
things in the application for certifi- provide us any information needed to
cation: read, record, and interpret all the in-
(1) Describe how evaporative emis- formation broadcast by an engine’s on-
sions are controlled. board computers and electronic control
units.
(2) Present test data to show that
(d) For Category 3 engines equipped
fuel systems and vessels meet the evap-
with on-off NOX controls (as allowed by
orative emission standards we specify
§ 1042.115(g)), you must also equip your
in this section if you do not use design-
engine to continuously monitor NOX
based certification under 40 CFR
concentrations in the exhaust. See
1060.240. Show these figures before and
§ 1042.650 to determine if this require-
after applying deterioration factors,
ment applies for a given Category 1 or
where applicable.
Category 2 engine. For measurement
[73 FR 59193, Oct. 8, 2008] technologies involving discrete sam-
pling events, measurements are consid-
§ 1042.110 Recording reductant use ered continuous if they repeat at least
and other diagnostic functions. once every 60 seconds; we may approve
(a) Engines equipped with SCR sys- a longer sampling period if it is nec-
tems using a reductant other than the essary or appropriate for sufficiently
engine’s fuel must meet the following accurate measurements. Describe your
requirements: system for onboard NOX measurements
(1) The diagnostic system must mon- in your application for certification.
itor reductant quality and tank levels Use good engineering judgment to alert
and alert operators to the need to refill operators if measured NOX concentra-
the reductant tank before it is empty, tions indicate malfunctioning emission
or to replace the reductant if it does controls. Record any such operation in
not meet your concentration specifica- nonvolatile computer memory. You are
tions. Unless we approve other alerts, not required to monitor NOX con-
use a malfunction-indicator light centrations during operation for which
(MIL) and an audible alarm. You do not the emission controls may be disabled
need to separately monitor reductant under § 1042.115(g). For the purpose of
quality if your system uses input from this paragraph (d), ‘‘malfunctioning
an exhaust NOX sensor (or other sensor) emission controls’’ means any condi-
to alert operators when reductant qual- tion in which the measured NOX con-
ity is inadequate. However, tank level centration exceeds the highest value
must be monitored in all cases. expected when the engine is in compli-
(2) The onboard computer log must ance with the installed engine standard
record in nonvolatile computer mem- of § 1042.104(g). Use good engineering
ory all incidents of engine operation judgment to determine these expected
with inadequate reductant injection or values during production-line testing
reductant quality. Use good engineer- of the engine using linear interpolation
ing judgment to ensure that the oper- between test points and accounting for
455
§ 1042.115 40 CFR Ch. I (7–1–21 Edition)
the degree to which the cycle-weighted gate value for determining torque. En-
emissions of the engine are below the gines must broadcast engine param-
standard. You may also use additional eters such that they can be read with a
intermediate test points measured dur- remote device, or broadcast them di-
ing the production-line test. Note that rectly to their controller area net-
the provisions of paragraph (a) of this works. This information is necessary
section also apply for SCR systems for testing engines in the field (see
covered by this paragraph (d). For en- § 1042.515).
gines subject to both the provisions of (c) EPA access to broadcast informa-
paragraph (a) of this section and this tion. If we request it, you must provide
paragraph (d), use good engineering us any hardware or tools we would need
judgment to integrate diagnostic fea- to readily read, interpret, and record
tures to comply with both paragraphs. all information broadcast by an en-
For example, engines may use on-off gine’s on-board computers and elec-
NOX controls to disable certain emis- tronic control modules. If you broad-
sion control functions only if the diag- cast a surrogate parameter for torque
nostic system indicates that the moni- values, you must provide us what we
toring described in this paragraph (d) is need to convert these into torque
active. units. We will not ask for hardware or
[73 FR 37243, June 30, 2008, as amended at 75 tools if they are readily available com-
FR 22998, Apr. 30, 2010; 81 FR 74145, Oct. 25, mercially.
2016] (d) Adjustable parameters. An oper-
ating parameter is not considered ad-
§ 1042.115 Other requirements. justable if you permanently seal it or if
Engines that are required to comply it is not normally accessible using or-
with the emission standards of this dinary tools. The following provisions
part must meet the following require- apply for adjustable parameters:
ments: (1) Category 1 engines that have ad-
(a) Crankcase emissions. Crankcase justable parameters must meet all the
emissions may not be discharged di- requirements of this part for any ad-
rectly into the ambient atmosphere justment in the physically adjustable
from any engine throughout its useful range. We may require that you set ad-
life, except as follows: justable parameters to any specifica-
(1) Engines may discharge crankcase tion within the adjustable range during
emissions to the ambient atmosphere if any testing, including certification
the emissions are added to the exhaust testing, selective enforcement audit-
emissions (either physically or mathe- ing, or in-use testing.
matically) during all emission testing. (2) Category 2 and Category 3 engines
If you take advantage of this excep- that have adjustable parameters must
tion, you must do both of the following meet all the requirements of this part
things: for any adjustment in the specified ad-
(i) Manufacture the engines so that justable range. You must specify in
all crankcase emissions can be routed your application for certification the
into the applicable sampling systems adjustable range of each adjustable pa-
specified in 40 CFR part 1065. rameter on a new engine to—
(ii) Account for deterioration in (i) Ensure that safe engine operating
crankcase emissions when determining characteristics are available within
exhaust deterioration factors. that range, as required by section
(2) For purposes of this paragraph (a), 202(a)(4) of the Clean Air Act (42 U.S.C.
crankcase emissions that are routed to 7521(a)(4)), taking into consideration
the exhaust upstream of exhaust the production tolerances.
aftertreatment during all operation are (ii) Limit the physical range of
not considered to be discharged di- adjustability to the maximum extent
rectly into the ambient atmosphere. practicable to the range that is nec-
(b) Torque broadcasting. Electroni- essary for proper operation of the en-
cally controlled engines must broad- gine.
cast their speed and output shaft (e) Prohibited controls. You may not
torque (in newton-meters). Engines design your engines with emission-con-

may alternatively broadcast a surro- trol devices, systems, or elements of
456
design that cause or contribute to an features must be identified in your ap-

unreasonable risk to public health, plication for certification as AECDs.
welfare, or safety while operating. For For purposes of this paragraph (g), the
example, this would apply if the engine term ‘‘features that disable Tier 3
emits a noxious or toxic substance it emission controls’’ includes (but is not
would otherwise not emit, that con- limited to) any combination of the fol-
tributes to such an unreasonable risk. lowing that cause the engine’s emis-
(f) Defeat devices. You may not equip sions to exceed any Tier 3 emission
your engines with a defeat device. A standard:
defeat device is an auxiliary emission (i) Bypassing of exhaust
control device that reduces the effec- aftertreatment.
tiveness of emission controls under (ii) Reducing or eliminating flow of
conditions that the engine may reason- reductant to an SCR system.
ably be expected to encounter during (iii) Modulating engine calibration in
normal operation and use. (Note that a manner that increases engine-out
this means emission control for oper- emissions of a regulated pollutant.
ation outside of and between the offi- (2) You must demonstrate that the
cial test modes is generally expected to AECD will not disable emission con-
be similar to emission control dem- trols while operating in areas where
onstrated at the test modes.) This does emissions could reasonably be expected
not apply to auxiliary emission control to adversely affect U.S. air quality. If
devices you identify in your applica- an ECA has been established for U.S.
tion for certification if any of the fol- waters, this means you must dem-
lowing is true: onstrate that the AECD will not dis-
(1) The conditions of concern were able emission control while operating
substantially included in the applica- in waters within the ECA or any ECA
ble duty-cycle test procedures de- associated area. (Note: See the regula-
scribed in subpart F of this part (the tions in 40 CFR part 1043 for require-
portion during which emissions are ments related to operation in ECAs, in-
measured). cluding foreign ECAs.) Compliance
(2) You show your design is necessary with this paragraph will generally re-
to prevent engine (or vessel) damage or quire that the AECD operation be
accidents. based on Global Positioning System
(3) The reduced effectiveness applies (GPS) inputs. We may consider any rel-
only to starting the engine. evant information to determine wheth-
(4) The engine is a Category 3 engine er your AECD conforms to this para-
and the AECD conforms to the require- graph (g).
ments of paragraph (g) of this section. (3) The onboard computer log must
See § 1042.650 to determine if this allow- record in nonvolatile computer mem-
ance applies for a given Category 1 or ory all incidents of engine operation
Category 2 engine. with the Tier 3 emission controls dis-
(g) On-off controls for Category 3 enabled.
gines. Manufacturers may equip Cat- (4) The engine must comply fully
egory 3 engines with features that dis- with the Tier 2 standards when the Tier
able Tier 3 NOX emission controls sub- 3 emission controls are disabled.
ject to the provisions of this paragraph
(g). See § 1042.650 to determine if this al- [73 FR 37243, June 30, 2008, as amended at 73
lowance applies for a given Category 1 FR 59193, Oct. 8, 2008; 75 FR 22998, Apr. 30,
or Category 2 engine. Where this para- 2010]
graph (g) applies for a Category 1 or EFFECTIVE DATE NOTE: At 86 FR 34509, June
Category 2 engine, read ‘‘Tier 2’’ to 29, 2021, § 1042.115 was amended, effective July
mean ‘‘Tier 3’’ and read ‘‘Tier 3’’ to 29, 2021.
mean ‘‘Tier 4’’.
(1) Features that disable Tier 3 emis- § 1042.120 Emission-related warranty
sion controls are considered to be requirements.
AECDs whether or not they meet the (a) General requirements. You must
definition of an AECD. For example, warrant to the ultimate purchaser and
manually operated on-off features are each subsequent purchaser that the
AECDs under this paragraph (g). The new engine, including all parts of its
457
§ 1042.125 40 CFR Ch. I (7–1–21 Edition)
emission control system, meets two cover components whose failure would
conditions: not increase an engine’s emissions of
(1) It is designed, built, and equipped any regulated pollutant. For remanu-
so it conforms at the time of sale to factured engines, your emission-related
the ultimate purchaser with the re- warranty is required to cover only
quirements of this part. those parts that you supply or those
(2) It is free from defects in materials parts for which you specify allowable
and workmanship that may keep it part manufacturers. It does not need to
from meeting these requirements. cover used parts that are not replaced
(b) Warranty period. Your emission- during the remanufacture.
related warranty must be valid for at (d) Limited applicability. You may
least as long as the minimum warranty deny warranty claims under this sec-
periods listed in this paragraph (b) in tion if the operator caused the problem
hours of operation and years, which- through improper maintenance or use,
ever comes first. You may offer an as described in 40 CFR 1068.115.
emission-related warranty more gen- (e) Owners manual. Describe in the
erous than we require. The emission-re- owners manual the emission-related
lated warranty for the engine may not warranty provisions from this section
be shorter than any basic mechanical that apply to the engine.
warranty you provide without charge
for the engine. Similarly, the emission- [73 FR 37243, June 30, 2008, as amended at 75
related warranty for any component FR 22999, Apr. 30, 2010; 81 FR 74146, Oct. 25,
2016]
may not be shorter than any warranty
you provide without charge for that § 1042.125 Maintenance instructions.
component. This means that your war-
ranty may not treat emission-related Give the ultimate purchaser of each
and nonemission-related defects dif- new engine written instructions for
ferently for any component. If an en- properly maintaining and using the en-
gine has no hour meter, we base the gine, including the emission control
warranty periods in this paragraph (b) system, as described in this section.
only on the engine’s age (in years). The The maintenance instructions also
warranty period begins when the en- apply to service accumulation on your
gine is placed into service. The fol- emission-data engines as described in
lowing minimum warranty periods § 1042.245 and in 40 CFR part 1065. The
apply: restrictions specified in paragraphs (a)
(1) For Category 1 and Category 2 en- through (e) of this section related to
gines, your emission-related warranty allowable maintenance apply only to
must be valid for at least 50 percent of Category 1 and Category 2 engines.
the engine’s useful life in hours of oper- Manufacturers may specify any main-
ation or a number of years equal to at tenance for Category 3 engines.
least 50 percent of the useful life in (a) Critical emission-related mainte-
years, whichever comes first. nance. Critical emission-related main-
(2) For Category 3 engines, your tenance includes any adjustment,
emission-related warranty must be cleaning, repair, or replacement of
valid throughout the engine’s full use- critical emission-related components.
ful life as specified in § 1042.104(d). This may also include additional emis-
(c) Components covered. The emission- sion-related maintenance that you de-
related warranty covers all compo- termine is critical if we approve it in
nents whose failure would increase an advance. You may schedule critical
engine’s emissions of any regulated emission-related maintenance on these
pollutant, including components listed components if you meet the following
in 40 CFR part 1068, Appendix I, and conditions:
components from any other system you (1) You demonstrate that the mainte-
develop to control emissions. The emis- nance is reasonably likely to be done
sion-related warranty for freshly man- at the recommended intervals on in-use
ufactured marine engines covers these engines. We will accept scheduled
components even if another company maintenance as reasonably likely to
produces the component. Your emis- occur if you satisfy any of the fol-
sion-related warranty does not need to lowing conditions:
458
(i) You present data showing that (including related components, but ex-
any lack of maintenance that increases cluding filters and coolers), and other
emissions also unacceptably degrades add-on components. For particulate
the engine’s performance. traps, trap oxidizers, and components
(ii) You present survey data showing related to either of these, maintenance
that at least 80 percent of engines in is limited to cleaning and repair only.
the field get the maintenance you (4) We may approve shorter mainte-
specify at the recommended intervals. nance intervals than those listed in
(iii) You provide the maintenance paragraph (a)(3) of this section where
free of charge and clearly say so in technologically necessary.
your maintenance instructions. (5) If your engine family has an alter-
(iv) You otherwise show us that the nate useful life under § 1042.101(e) that
maintenance is reasonably likely to be is shorter than the period specified in
done at the recommended intervals. paragraph (a)(2) or (a)(3) of this sec-
(2) For engines below 130 kW, you tion, you may not schedule critical
may not schedule critical emission-re- emission-related maintenance more
lated maintenance more frequently frequently than the alternate useful
than the following minimum intervals, life, except as specified in paragraph (c)
except as specified in paragraphs (a)(4), of this section.
(b), and (c) of this section: (b) Recommended additional mainte-
(i) For EGR-related filters and cool- nance. You may recommend any addi-
ers, DEF filters, crankcase ventilation tional amount of maintenance on the
valves and filters, and fuel injector tips components listed in paragraph (a) of
(cleaning only), the minimum interval this section, as long as you state clear-
is 1,500 hours. ly that these maintenance steps are
(ii) For the following components, in- not necessary to keep the emission-re-
cluding associated sensors and actu- lated warranty valid. If operators do
ators, the minimum interval is 3,000 the maintenance specified in paragraph
hours: Fuel injectors, turbochargers, (a) of this section, but not the rec-
catalytic converters, electronic control ommended additional maintenance,
units, particulate traps, trap oxidizers, this does not allow you to disqualify
components related to particulate those engines from in-use testing or
traps and trap oxidizers, EGR systems deny a warranty claim. Do not take
(including related components, but ex- these maintenance steps during service
cluding filters and coolers), and other accumulation on your emission-data
add-on components. For particulate engines.
traps, trap oxidizers, and components (c) Special maintenance. You may
related to either of these, maintenance specify more frequent maintenance to
is limited to cleaning and repair only. address problems related to special sit-
(3) For Category 1 and Category 2 en- uations, such as atypical engine oper-
gines at or above 130 kW, you may not ation. You must clearly state that this
schedule critical emission-related additional maintenance is associated
maintenance more frequently than the with the special situation you are ad-
following minimum intervals, except dressing. You may also address mainte-
as specified in paragraphs (a)(4), (b), nance of low-use engines (such as rec-
and (c) of this section: reational or stand-by engines) by speci-
(i) For EGR-related filters and cool- fying the maintenance interval in
ers, DEF filters, crankcase ventilation terms of calendar months or years in
valves and filters, and fuel injector tips addition to your specifications in
(cleaning only), the minimum interval terms of engine operating hours. All
is 1,500 hours. special maintenance instructions must
(ii) For the following components, in- be consistent with good engineering
cluding associated sensors and actu- judgment. We may disapprove your
ators, the minimum interval is 4500 maintenance instructions if we deter-
hours: Fuel injectors, turbochargers, mine that you have specified special
catalytic converters, electronic control maintenance steps to address mainte-
units, particulate traps, trap oxidizers, nance that is unlikely to occur in use,
components related to particulate or engine operation that is not atypi-

traps and trap oxidizers, EGR systems cal. For example, this paragraph (c)
459
§ 1042.130 40 CFR Ch. I (7–1–21 Edition)
does not allow you to design engines trol devices and systems. Your instruc-
that require special maintenance for a tions may not require components or
certain type of expected operation. If service identified by brand, trade, or
we determine that certain maintenance corporate name. Also, do not directly
items do not qualify as special mainte- or indirectly condition your warranty
nance under this paragraph (c), you on a requirement that the engine be
may identify this as recommended ad- serviced by your franchised dealers or
ditional maintenance under paragraph any other service establishments with
(b) of this section. which you have a commercial relation-
(d) Noncritical emission-related mainte- ship. You may disregard the require-
nance. Subject to the provisions of this ments in this paragraph (f) if you do
paragraph (d), you may schedule any one of two things:
amount of emission-related inspection (1) Provide a component or service
or maintenance that is not covered by without charge under the purchase
paragraph (a) of this section (that is, agreement.
maintenance that is neither explicitly (2) Get us to waive this prohibition in
identified as critical emission-related the public’s interest by convincing us
maintenance, nor that we approve as the engine will work properly only
critical emission-related maintenance). with the identified component or serv-
Noncritical emission-related mainte- ice.
nance generally includes maintenance (g) Payment for scheduled maintenance.
on the components we specify in 40 Owners are responsible for properly
CFR part 1068, Appendix I that is not maintaining their engines. This gen-
covered in paragraph (a) of this sec- erally includes paying for scheduled
tion. You must state in the owners maintenance. However, manufacturers
manual that these steps are not nec- must pay for scheduled maintenance
essary to keep the emission-related during the useful life if it meets all the
warranty valid. If operators fail to do following criteria:
this maintenance, this does not allow (1) Each affected component was not
you to disqualify those engines from in general use on similar engines be-
in-use testing or deny a warranty fore the applicable dates shown in
claim. Do not take these inspection or paragraph (6) of the definition of ‘‘new
maintenance steps during service accu- marine engine’’ in § 1042.901.
mulation on your emission-data en- (2) The primary function of each af-
gines. fected component is to reduce emis-
(e) Maintenance that is not emission-re- sions.
lated. For maintenance unrelated to (3) The cost of the scheduled mainte-
emission controls, you may schedule nance is more than 2 percent of the
any amount of inspection or mainte- price of the engine.
nance. You may also take these inspec- (4) Failure to perform the mainte-
tion or maintenance steps during serv- nance would not cause clear problems
ice accumulation on your emission- that would significantly degrade the
data engines, as long as they are rea- engine’s performance.
sonable and technologically necessary. (h) Owners manual. Explain the own-
This might include adding engine oil, er’s responsibility for proper mainte-
changing air, fuel, or oil filters, serv- nance in the owners manual.
icing engine-cooling systems, and ad- [73 FR 37243, June 30, 2008, as amended at 75
justing idle speed, governor, engine FR 22999, Apr. 30, 2010; 81 FR 74146, Oct. 25,
bolt torque, valve lash, or injector 2016]
lash. You may not perform this non- EFFECTIVE DATE NOTE: At 86 FR 34509, June
emission-related maintenance on emis- 29, 2021, § 1042.125 was amended, effective July
sion-data engines more often than the 29, 2021.
least frequent intervals that you rec-
ommend to the ultimate purchaser. § 1042.130 Installation instructions for
(f) Source of parts and repairs. State vessel manufacturers.
clearly in your written maintenance (a) If you sell an engine for someone
instructions that a repair shop or per- else to install in a vessel, give the en-
son of the owner’s choosing may main- gine installer instructions for install-
tain, replace, or repair emission con- ing it consistent with the requirements
460
of this part. Include all information installer is informed of the installation

necessary to ensure that an engine will requirements.
be installed in its certified configura-
tion. FR 74146, Oct. 25, 2016]
(b) Make sure these instructions have
the following information: § 1042.135 Labeling.
(1) Include the heading: ‘‘Emission- (a) Assign each engine a unique iden-
related installation instructions’’. tification number and permanently
(2) State: ‘‘Failing to follow these in- affix, engrave, or stamp it on the en-
structions when installing a certified gine in a legible way.
engine in a vessel violates federal law (b) At the time of manufacture, affix
(40 CFR 1068.105(b)), subject to fines or a permanent and legible label identi-
other penalties as described in the fying each engine. The label must meet
Clean Air Act.’’ the requirements of 40 CFR 1068.45.
(3) Describe the instructions needed (c) The label must—
to properly install the exhaust system
(1) Include the heading ‘‘EMISSION
and any other components. Include in-
CONTROL INFORMATION’’.
structions consistent with the require-
(2) Include your full corporate name
ments of § 1042.205(u).
and trademark. You may identify an-
(4) Describe any necessary steps for
other company and use its trademark
installing the diagnostic system de-
instead of yours if you comply with the
branding provisions of 40 CFR 1068.45.
(5) Describe how your certification is
(3) Include EPA’s standardized des-
limited for any type of application. For
ignation for the engine family (and
example, if your engines are certified
subfamily, where applicable).
only for constant-speed operation, tell
(4) Identify all the emission stand-
vessel manufacturers not to install the
ards that apply to the engine (or FELs,
engines in variable-speed applications
if applicable). If you do not declare an
or modify the governor.
FEL under subpart H of this part, you
(6) Describe any other instructions to may alternatively state the engine’s
make sure the installed engine will op- category, displacement (in liters or L/
erate according to design specifications cyl), maximum engine power (in kW),
in your application for certification. and power density (in kW/L) as needed
This may include, for example, instruc- to determine the emission standards
tions for installing aftertreatment de- for the engine family. You may specify
vices when installing the engines. displacement, maximum engine power,
(7) State: ‘‘If you install the engine or power density as a range consistent
in a way that makes the engine’s emis- with the ranges listed in § 1042.101. See
sion control information label hard to § 1042.140 for descriptions of how to
read during normal engine mainte- specify per-cylinder displacement,
nance, you must place a duplicate label maximum engine power, and power
on the vessel, as described in 40 CFR density.
1068.105.’’ (5) State the date of manufacture
(8) Describe any vessel labeling re- [DAY (optional), MONTH, and YEAR];
quirements specified in § 1042.135. however, you may omit this from the
(c) You do not need installation in- label if you stamp, engrave, or other-
structions for engines you install in wise permanently identify it elsewhere
your own vessels. on the engine, in which case you must
(d) Provide instructions in writing or also describe in your application for
in an equivalent format. For example, certification where you will identify
you may post instructions on a pub- the date on the engine.
licly available Web site for (6) Identify the application(s) for
downloading or printing. If you do not which the engine family is certified
provide the instructions in writing, ex- (such as constant-speed auxiliary, vari-
plain in your application for certifi- able-speed propulsion engines used

cation how you will ensure that each with fixed-pitch propellers, etc.). If the
461
§ 1042.135 40 CFR Ch. I (7–1–21 Edition)
engine is certified as a recreational en- standards), as long as this does not

gine, state: ‘‘INSTALLING THIS REC- cause you to omit any of the informa-
REATIONAL ENGINE IN A COMMER- tion described in paragraphs (c)(5)
CIAL VESSEL OR USING THE VES- through (9) of this section. You may
SEL FOR COMMERCIAL PURPOSES add the information about the other
MAY VIOLATE FEDERAL LAW SUB- emission standards to the statement
JECT TO CIVIL PENALTY (40 CFR we specify, or you may include it in a
1042.601).’’ separate statement.
(7) For engines using sulfur-sensitive (2) You may add other information to
technologies, state: ‘‘ULTRA LOW ensure that the engine will be properly
SULFUR DIESEL FUEL ONLY’’.
maintained and used.
(8) State the useful life for your en-
gine family if the applicable useful life (3) You may add appropriate features
is based on the provisions of to prevent counterfeit labels. For ex-
§ 1042.101(e)(2) or (3), or § 1042.104(d)(2). ample, you may include the engine’s
(9) Identify the emission control sys- unique identification number on the
tem. Use terms and abbreviations as label.
described in 40 CFR 1068.45. You may (e) For engines using sulfur-sensitive
omit this information from the label if technologies, create a separate label
there is not enough room for it and you with the statement: ‘‘ULTRA LOW
put it in the owners manual instead. SULFUR DIESEL FUEL ONLY’’. Per-
(10) State: ‘‘THIS MARINE ENGINE manently attach this label to the ves-
COMPLIES WITH U.S. EPA REGULA- sel near the fuel inlet or, if you do not
TIONS FOR [MODEL YEAR].’’ manufacture the vessel, take one of the
(11) For a Category 1 or Category 2 following steps to ensure that the ves-
engine that can be modified to operate sel will be properly labeled:
on residual fuel, but has not been cer- (1) Provide the label to each vessel
tified to meet the standards on such a manufacturer and include in the emis-
fuel, include the statement: ‘‘THIS EN- sion-related installation instructions
GINE IS CERTIFIED FOR OPER- the requirement to place this label
ATION ONLY WITH DIESEL FUEL.
near the fuel inlet.
MODIFYING THE ENGINE TO OPER-
ATE ON RESIDUAL OR INTER- (2) Confirm that the vessel manufac-
MEDIATE FUEL MAY BE A VIOLA- turers install their own complying la-
TION OF FEDERAL LAW SUBJECT bels.
TO CIVIL PENALTIES.’’ (f) You may ask us to approve modi-
(12) For an engine equipped with on- fied labeling requirements in this part
off emission controls as allowed by 1042 if you show that it is necessary or
§ 1042.115, include the statement: ‘‘THIS appropriate. We will approve your re-
ENGINE IS CERTIFIED WITH ON–OFF quest if your alternate label is con-
EMISSION CONTROLS. OPERATION sistent with the intent of the labeling
OF THE ENGINE CONTRARY TO 40 requirements of this part.
CFR 1042.115(g) IS A VIOLATION OF (g) If you obscure the engine label
FEDERAL LAW SUBJECT TO CIVIL while installing the engine in the ves-
PENALTIES.’’ sel such that the label will be hard to
(13) For engines intended for installa- read during normal maintenance, you
tion on domestic or public vessels, in- must place a duplicate label on the ves-
clude the following statement: ‘‘THIS sel. If others install your engine in
ENGINE DOES NOT COMPLY WITH their vessels in a way that obscures the
INTERNATIONAL MARINE REGULA- engine label, we require them to add a
TIONS FOR COMMERCIAL VESSELS duplicate label on the vessel (see 40
UNLESS IT IS ALSO COVERED BY
CFR 1068.105); in that case, give them
AN EIAPP CERTIFICATE.’’
the number of duplicate labels they re-
(d) You may add information to the
emission control information label as quest and keep the following records
follows: for at least five years:
(1) You may identify other emission (1) Written documentation of the re-
standards that the engine meets or quest from the vessel manufacturer.
does not meet (such as international
462
(2) The number of duplicate labels of 13.0 cm and a 15.5 cm stroke length,
you send for each family and the date the rounded displacement would be:
you sent them. (13.0/2) 2 × (π) × (15.5) ÷ 1000 = 2.0 liters.
(d) The nominal power curve and in-
FR 22999, Apr. 30, 2010; 81 FR 74147, Oct. 25, tended swept volume must be within
2016] the range of the actual power curves
and swept volumes of production en-
gines considering normal production
29, 2021. variability. If after production begins,
it is determined that either your nomi-
§ 1042.140 Maximum engine power, nal power curve or your intended swept
displacement, power density, and volume does not represent production
maximum in-use engine speed. engines, we may require you to amend
This section describes how to deter- your application for certification under
mine the maximum engine power, dis- § 1042.225.
placement, and power density of an en- (e) Throughout this part, references
gine for the purposes of this part. Note to a specific power value for an engine
that maximum engine power may dif- are based on maximum engine power.
fer from the definition of ‘‘maximum For example, the group of engines with
test power’’ in § 1042.901. This section maximum engine power below 600 kW
also specifies how to determine max- may be referred to as engines below 600
imum in-use engine speed for Category kW.
3 engines. (f) Calculate an engine family’s
(a) An engine configuration’s max- power density in kW/L by dividing the
imum engine power is the maximum unrounded maximum engine power by
brake power point on the nominal the engine’s unrounded per-cylinder
power curve for the engine configura- displacement, then dividing by the
tion, as defined in this section. Round number of cylinders. Round the cal-
the power value to the nearest whole culated value to the nearest whole
kilowatt. number.
(b) The nominal power curve of an (g) Calculate a maximum test speed
engine configuration is the relation- for the nominal power curve as speci-
ship between maximum available en- fied in 40 CFR 1065.610. This is the max-
gine brake power and engine speed for imum in-use engine speed used for cal-
an engine, using the mapping proce- culating the NOX standard in § 1042.104
dures of 40 CFR part 1065, based on the for Category 3 engines. Alternatively,
manufacturer’s design and production you may use a lower value if engine
specifications for the engine. This in- speed will be limited in actual use to
formation may also be expressed by a that lower value.
torque curve that relates maximum [73 FR 37243, June 30, 2008, as amended at 75
available engine torque with engine FR 23000, Apr. 30, 2010; 81 FR 74147, Oct. 25,
speed. 2016]
(c) An engine configuration’s per-cyl-
inder displacement is the intended § 1042.145 Interim provisions.
swept volume of each cylinder. The (a) General. The provisions in this
swept volume of the engine is the prod- section apply instead of other provi-
uct of the internal cross-section area of sions in this part. This section de-
the cylinders, the stroke length, and scribes when these interim provisions
the number of cylinders. Calculate the expire. Only the provisions of para-
engine’s intended swept volume from graph (h) of this section apply for Cat-
the design specifications for the cyl- egory 3 engines.
inders using enough significant figures (b) Delayed standards. Post-manufac-
to allow determination of the displace- turer marinizers that are small-volume
ment to the nearest 0.02 liters. Deter- engine manufacturers may delay com-
mine the final value by truncating dig- pliance with the Tier 3 standards for
its to establish the per-cylinder dis- engines below 600 kW as follows:
placement to the nearest 0.1 liters. For (1) You may delay compliance with
example, for an engine with circular the Tier 3 standards for one model
cylinders having an internal diameter year, as long as the engines meet all
463
§ 1042.145 40 CFR Ch. I (7–1–21 Edition)
the requirements that apply to Tier 2 in emission measurements at least as

engines. high as those that would be measured
(2) You may delay compliance with using the procedures specified in this
the NTE standards for Tier 3 engines part. Alternatively, you may dem-
for three model years in addition to the onstrate that the combined effects of
one-year delay specified in paragraph the different procedures is small rel-
(b)(1) of this section, as long as the en- ative to your compliance margin (the
gines meet all other Tier 3 require- degree to which your emissions are
ments for the appropriate model year. below the applicable standards).
(c) Part 1065 test procedures for Cat- (d) [Reserved]
egory 1 and Category 2 engines. You (e) Delayed compliance with NTE
must generally use the test procedures standards. Engines below 56 kW may
specified in subpart F of this part, in- delay complying with the NTE stand-
cluding the applicable test procedures
ards specified in § 1042.101(c) until the
in 40 CFR part 1065. As specified in this
2013 model year. Engines at or above 56
paragraph (c), you may use a combina-
kW and below 75 kW may delay com-
tion of the test procedures specified in
plying with the NTE standards speci-
this part and the test procedures speci-
fied for Tier 2 engines before January 1, fied in § 1042.101(c) until the 2012 model
2015. After this date, you must use test year.
procedures only as specified in subpart (f) In-use compliance limits. The provi-
F of this part. sions of this paragraph (f) apply for the
(1) You may determine maximum first three model years of the Tier 4
test speed for engines below 37 kW as standards. For purposes of determining
specified in 40 CFR part 89 without re- compliance based on testing other than
quest through the 2009 model year. certification or production-line test-
(2) Before January 1, 2015, you may ing, calculate the applicable in-use
ask to use some or all of the procedures compliance limits by adjusting the ap-
specified in 40 CFR part 94 (or 40 CFR plicable standards/FELs. The PM ad-
part 89 for engines below 37 kW) for en- justment does not apply for engines
gines certified under this part 1042. If with a PM standard or FEL above 0.04
you ask to rely on a combination of g/kW-hr. The NOX adjustment does not
procedures under this paragraph (c)(2), apply for engines with a NOX FEL
we will approve your request only if above 2.7 g/kW-hr. Add the applicable
you show us that it does not affect adjustments in one of the following ta-
your ability to demonstrate compli- bles to the otherwise applicable stand-
ance with the applicable emission ards and NTE limits. You must specify
standards. This generally requires that during certification which add-ons, if
the combined procedures would result any, will apply for your engines.
TABLE 1 TO § 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
standards PM standards
0 <hours ≤50% of useful life ................................................................................................. 0.9 0.02

50 <hours ≤75% of useful life ............................................................................................... 1.3 0.02
hours >75% of useful life ...................................................................................................... 1.7 0.02
TABLE 2 TO § 1042.145—OPTIONAL IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF
THE TIER 4 STANDARDS
For model For model

NOX stand- PM standards
ards
0 <hours ≤50% of useful life ......................................................................................................... 0.3 0.05

50 <hours ≤75% of useful life ....................................................................................................... 0.4 0.05
464
TABLE 2 TO § 1042.145—OPTIONAL IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF
THE TIER 4 STANDARDS—Continued
For model For model

NOX stand- PM standards
ards
hours >75% of useful life .............................................................................................................. 0.5 0.05
(g) Deficiencies for NTE standards. You ings within a family count as one defi-
may ask us to accept as compliant an ciency per family. We may condition
engine that does not fully meet specific approval of any such additional defi-
requirements under the applicable NTE ciencies during these four years on any
standards. Such deficiencies are in- additional conditions we determine to
tended to allow for minor deviations be appropriate. We will not approve de-
from the NTE standards under limited ficiencies after the seven-year period
conditions. We expect your engines to specified in this paragraph (g)(4), un-
have functioning emission control less they are related to safety.
hardware that allows you to comply (h) The following interim provisions
with the NTE standards. apply for Category 3 engines:
(1) Request our approval for specific (1) Applicability of Tier 3 standards to
deficiencies in your application for cer- Category 3 engines operating in Alaska,
tification, or before you submit your Hawaii, and U.S. territories. (i) Category
application. We will not approve defi- 3 engines are not required to comply
ciencies retroactively to cover engines with the Tier 3 NOX standard when op-
already certified. In your request, iden- erating in areas of Guam, American
tify the scope of each deficiency and Samoa, the Commonwealth of the
describe any auxiliary emission control Northern Mariana Islands, Puerto
devices you will use to control emis- Rico, or U.S. Virgin Islands. Category 3
sions to the lowest practical level, con- engines are also not required to comply
sidering the deficiency you are request- with the Tier 3 NOX standards when op-
ing. erating in the waters of the smallest
(2) We will approve a deficiency only Hawaiian islands or in the waters of
if compliance would be infeasible or Alaska west of Kodiak. For the purpose
unreasonable considering such factors of this paragraph (h)(1), ‘‘the smallest
as the technical feasibility of the given Hawaiian islands’’ includes all Hawai-
hardware and the applicable lead time ian islands other than Hawaii,
and production cycles. We may con- Kahoolawe, Kauai, Lanai, Maui,
sider other relevant factors. Molokai, Niihau, and Oahu. Engines
(3) Our approval applies only for a must comply fully with the appropriate
single model year and may be limited Tier 2 NOX standard and all other ap-
to specific engine configurations. We plicable requirements when operating
may approve your request for the same in the areas identified in this para-
deficiency in the following model year graph (h)(1).
if correcting the deficiency would re- (ii) The provisions of paragraph
quire unreasonable hardware or soft- (h)(1)(i) of this section do not apply to
ware modifications and we determine ships operating in an ECA or an ECA
that you have demonstrated an accept- associated area. The Tier 3 standards
able level of effort toward complying. apply in full for any area included in
(4) You may ask for any number of an ECA or an ECA associated area.
deficiencies in the first three model (2) Part 1065 test procedures. You must
years during which NTE standards generally use the test procedures speci-
apply for your engines. For the next fied in subpart F of this part for Cat-
four model years, we may approve up egory 3 engines, including the applica-
to three deficiencies per engine family. ble test procedures in 40 CFR part 1065.
Deficiencies of the same type that You may use a combination of the test
apply similarly to different power rat- procedures specified in this part and
465
§ 1042.145 40 CFR Ch. I (7–1–21 Edition)
the test procedures specified in 40 CFR (i) Category 1 propulsion engines

part 94 before January 1, 2016 without with specific power density above 35.0
request. After this date, you must use kW/liter, up to maximum engine power
test procedures only as specified in of 1,000 kW.
subpart F of this part. (ii) Vessels have total propulsion
(i) Limitation of 40 CFR 1068.101 before power at or below 1,000 kW.
July 1, 2010. Notwithstanding other pro- (iii) Vessel waterline length is at or
visions of this part or 40 CFR part 94, below 50 feet.
for the period June 29, 2010 through (iv) Vessels have a maximum speed
July 1, 2010, it is not a violation of 40 (in knots) at or above 3.0 · L1/2, where L
CFR 1068.101 to operate in U.S. waters is the vessel’s waterline length, in feet.
uncertified engines installed on vessels (v) Vessels have fiberglass or other
manufactured outside of the United nonmetal hulls.
States before June 29, 2010. Operation
(3) Vessel manufacturers must have a
of such vessels in U.S. waters on or
contract or purchase agreement signed
after July 1, 2010 is deemed to be intro-
before the end of the relief period for
duction into U.S. commerce of a new
each vessel produced under this para-
marine engine.
graph (k).
(j) Vessel manufacturers and marine
equipment manufacturers may apply (4) Affected engines must instead be
the provisions of § 1042.605 to land-based certified to the appropriate Tier 3
engines with maximum engine power emission standards specified in
at or above 19 kW and below 600 kW § 1042.101. Engine manufacturers may
produced under the allowances pro- include engine configurations with
vided in 40 CFR 1039.625 for model year maximum engine power below 600 kW
2013 marine engines. All the provisions in the same engine family even if the
of § 1042.605 apply as if those engines power density is below the value speci-
were certified to emission standards fied in paragraph (k)(1) or (2) of this
under 40 CFR part 1039. Similarly, en- section.
gine manufacturers, vessel manufac- (5) If you introduce an engine into
turers, and marine equipment manu- U.S. commerce under this section, you
facturers must comply with all the pro- must meet the labeling requirements
visions of 40 CFR 1039.625 as if those en- in § 1042.135, but add the following
gines were installed in land-based statement instead of the compliance
equipment. statement in § 1042.135(c)(10):
(k) Adjusted implementation dates for THIS MARINE ENGINE COMPLIES WITH
Tier 4 standards. Engines and vessels U.S. EPA TIER 3 EMISSION STANDARDS
may qualify for delaying the Tier 4 UNDER 40 CFR 1042.145(k). ANY OTHER IN-
standards specified in § 1042.101 as fol- STALLATION OR USE OF THIS ENGINE
lows: MAY BE A VIOLATION OF FEDERAL LAW
(1) The delay is limited to model year SUBJECT TO CIVIL PENALTY.
2021 and earlier engines and vessels (l) [Reserved]
that meet all the following character- (m) Tier 4 waiver. Starting with
istics: model year 2024, vessel manufacturers
(i) Category 1 propulsion engines may request an exemption from the
with specific power density above 27.0 Tier 4 standards as follows:
kW/liter, up to maximum engine power (1) The subject vessels and engines
of 1,400 kW. must meet the qualifications of para-
(ii) Vessels have total propulsion graph (k)(2) of this section.
power at or below 2,800 kW. (2) Vessel manufacturers must send a
(iii) Vessel waterline length is at or written request for the exemption to
below 65 feet. the Designated Compliance Officer.
(iv) Vessels have a maximum speed The request must describe efforts
(in knots) at or above 3.0 · L1/2, where L taken to identify available engines cer-
is the vessel’s waterline length, in feet. tified to the Tier 4 standards, describe
(2) The delay also applies through design efforts for installing engines in
model year 2023 for engines and vessels the subject vessels, identify the num-
that meet all the following character- ber of vessels needing exempt engines,
istics: demonstrate that the vessel cannot
466
meet essential performance specifica- on data from similar engines and sup-
tions using available Tier 4 engines, porting rationale you submit with your
and state that engine and vessel manu- request that they better represent your
facturers will meet all the terms and engines.
conditions that apply. We may approve (o) Useful life for light-commercial en-
an exemption from the Tier 4 standards gines. You may certify commercial Cat-
based on the submitted information. egory 1 engines at or above 600 kW with
(3) Engine manufacturers may ship power density above 45.00 kW/liter to
exempt engines under this paragraph the exhaust emission standards of this
(m) only after receiving a written re- part over a full useful life of 10 years or
quest from a vessel manufacturer who 5,000 hours of operation instead of the
has received our written approval to useful-life values specified in
build a specific number of vessels. The § 1042.101(e). Engines certified to this
prohibitions in 40 CFR 1068.101(a)(1) do shorter useful life must be in their own
not apply to a new engine that is sub- engine family.
ject to Tier 4 standards, subject to the
following conditions: [73 FR 37243, June 30, 2008, as amended at 73
(i) The engine meets the appropriate FR 59194, Oct. 8, 2008; 75 FR 23000, Apr. 30,
Tier 3 emission standards in § 1042.101 2010; 78 FR 36396, June 17, 2013; 85 FR 62231,
Oct. 2, 2020]
consistent with the provisions specified
in 40 CFR 1068.265. EFFECTIVE DATE NOTE: At 86 FR 34509, June
(ii) The engine is installed on a vessel 29, 2021, § 1042.145 was amended, effective July
consistent with the conditions of this 29, 2021.
paragraph (m).
(iii) The engine meets the labeling Subpart C—Certifying Engine
requirements in § 1042.135, with the fol- Families
lowing statement instead of the com-
pliance statement in § 1042.135(c)(10): § 1042.201 General requirements for
obtaining a certificate of con-
THIS MARINE ENGINE DOES NOT COM-
formity.
PLY WITH CURRENT U.S. EPA EMISSION
STANDARDS UNDER 40 CFR 1042.145(m). (a) You must send us a separate ap-
ANY OTHER INSTALLATION OR USE OF plication for a certificate of con-
THIS ENGINE MAY BE A VIOLATION OF formity for each engine family. A cer-
FEDERAL LAW SUBJECT TO CIVIL PEN-
ALTY.
tificate of conformity is valid for new
(n) Assigned deterioration factors. En- production from the indicated effective
gine manufacturers may use assigned date until the end of the model year for
deterioration factors for certifying which it is issued, which may not ex-
Tier 4 engines with maximum power up tend beyond December 31 of that year.
to 1,400 kW, as follows: No certificate will be issued after De-
(1) For engine families that have at cember 31 of the model year. You may
least one configuration with maximum amend your application for certifi-
engine power at or below 1,400 kW and cation after the end of the model year
power density above 30.0 kW/liter, you in certain circumstances as described
may use assigned deterioration factors in §§ 1042.220 and 1042.225. You must
through model year 2024. renew your certification annually for
(2) For engine families that have at any engines you continue to produce.
least one configuration with maximum (b) The application must contain all
engine power at or below 1,000 kW and the information required by this part
power density above 30.0 kW/liter, you and must not include false or incom-
may use assigned deterioration factors plete statements or information (see
through model year 2026. § 1042.255).
(3) The assigned deterioration factors (c) We may ask you to include less
are multiplicative values of 1.1 for NOX information than we specify in this
and 1.4 for HC and CO, and an additive subpart, as long as you maintain all
value of 0.003 g/kW-hr for PM, unless the information required by § 1042.250.
we approve your request to use dif- (d) You must use good engineering
ferent values. We will approve your judgment for all decisions related to
proposed values if we determine based your application (see 40 CFR 1068.5).
467
§ 1042.205 40 CFR Ch. I (7–1–21 Edition)
(e) An authorized representative of (1) Give a general overview of the en-

your company must approve and sign gine, the emission control strategies,
the application. and all AECDs.
(f) See § 1042.255 for provisions de- (2) Describe each AECD’s general pur-
scribing how we will process your ap- pose and function.
plication. (3) Identify the parameters that each
(g) We may require you to deliver AECD senses (including measuring, es-
your test engines to a facility we des- timating, calculating, or empirically
ignate for our testing (see § 1042.235(c)). deriving the values). Include vessel-
Alternatively, you may choose to de- based parameters and state whether
liver another engine that is identical in you simulate them during testing with
all material respects to the test engine, the applicable procedures.
or another engine that we determine (4) Describe the purpose for sensing
can appropriately serve as an emission- each parameter.
data engine for the engine family. (5) Identify the location of each sen-
(h) For engines that become new sor the AECD uses.
after being placed into service, such as (6) Identify the threshold values for
engines installed on imported vessels, the sensed parameters that activate
we may specify alternate certification the AECD.
provisions consistent with the intent of (7) Describe the parameters that the
this part. See the definition of ‘‘new AECD modulates (controls) in response
marine engine’’ in § 1042.901. to any sensed parameters, including
[73 FR 37243, June 30, 2008, as amended at 75 the range of modulation for each pa-
FR 23000, Apr. 30, 2010; 81 FR 74147, Oct. 25, rameter, the relationship between the
2016] sensed parameters and the controlled
parameters and how the modulation
§ 1042.205 Application requirements. achieves the AECD’s stated purpose.
This section specifies the informa- Use graphs and tables, as necessary.
tion that must be in your application, (8) Describe each AECD’s specific
unless we ask you to include less infor- calibration details. This may be in the
mation under § 1042.201(c). We may re- form of data tables, graphical represen-
quire you to provide additional infor- tations, or some other description.
mation to evaluate your application. (9) Describe the hierarchy among the
(a) Describe the engine family’s spec- AECDs when multiple AECDs sense or
ifications and other basic parameters modulate the same parameter. De-
of the engine’s design and emission scribe whether the strategies interact
controls. List the fuel type on which in a comparative or additive manner
your engines are designed to operate and identify which AECD takes prece-
(for example, ultra low-sulfur diesel dence in responding, if applicable.
fuel). List each distinguishable engine (10) Explain the extent to which the
configuration in the engine family. For AECD is included in the applicable test
each engine configuration, list the procedures specified in subpart F of
maximum engine power and the range this part.
of values for maximum engine power (11) Do the following additional
resulting from production tolerances, things for AECDs designed to protect
as described in § 1042.140. engines or vessels:
(b) Explain how the emission control (i) Identify the engine and/or vessel
system operates. Describe in detail all design limits that make protection
system components for controlling ex- necessary and describe any damage
haust emissions, including all auxiliary that would occur without the AECD.
emission control devices (AECDs) and (ii) Describe how each sensed param-
all fuel-system components you will in- eter relates to the protected compo-
stall on any production or test engine. nents’ design limits or those operating
Identify the part number of each com- conditions that cause the need for pro-
ponent you describe. For this para- tection.
graph (b), treat as separate AECDs any (iii) Describe the relationship be-
devices that modulate or activate dif- tween the design limits/parameters
ferently from each other. Include all being protected and the parameters
the following: sensed or calculated as surrogates for
468
those design limits/parameters, if ap- (j) Include the emission-related in-

plicable. stallation instructions you will provide
(iv) Describe how the modulation by if someone else installs your engines in
the AECD prevents engines and/or ves- a vessel (see § 1042.130).
sels from exceeding design limits. (k) Describe your emission control
(v) Explain why it is necessary to es- information label (see § 1042.135).
timate any parameters instead of (l) Identify the emission standards
measuring them directly and describe and/or FELs to which you are certi-
how the AECD calculates the esti- fying engines in the engine family.
mated value, if applicable. (m) Identify the engine family’s dete-
(vi) Describe how you calibrate the rioration factors and describe how you
AECD modulation to activate only dur- developed them (see § 1042.245). Present
ing conditions related to the stated any emission test data you used for
need to protect components and only this.
as needed to sufficiently protect those (n) State that you operated your
components in a way that minimizes emission-data engines as described in
the emission impact. the application (including the test pro-
(12) Include any other information re- cedures, test parameters, and test
quired by this part with respect to fuels) to show you meet the require-
AECDs. For example, see § 1042.115 for ments of this part.
requirements related to on-off tech- (o) Present emission data for HC,
nologies. NOX, PM, and CO on an emission-data
engine to show your engines meet
(c) If your engines are equipped with
emission standards as specified in
an engine diagnostic system, explain
§§ 1042.101 or 1042.104. Note that you
how it works, describing especially the
must submit PM data for all engines,
engine conditions (with the cor-
whether or not a PM standard applies.
responding diagnostic trouble codes)
Show emission figures before and after
that cause the malfunction-indicator
applying adjustment factors for regen-
light to go on.
eration and deterioration factors for
(d) Describe the engines you selected each pollutant and for each engine. If
for testing and the reasons for select- we specify more than one grade of any
ing them. fuel type (for example, high-sulfur and
(e) Describe the test equipment and low-sulfur diesel fuel), you need to sub-
procedures that you used, including the mit test data only for one grade, unless
duty cycle(s) and the corresponding en- the regulations of this part specify oth-
gine applications. Also describe any erwise for your engine. Include emis-
special or alternate test procedures sion results for each mode for Category
you used. 3 engines or for other engines if you do
(f) Describe how you operated the discrete-mode testing under § 1042.505.
emission-data engine before testing, in- For engines using on-off controls as de-
cluding the duty cycle and the number scribed in § 1042.115(g), include emission
of engine operating hours used to sta- data demonstrating compliance with
bilize emission levels. Explain why you the Tier 2 standards when the engines
selected the method of service accumu- Tier 3 NOX emission controls are dis-
lation. Describe any scheduled mainte- abled. Note that §§ 1042.235 and 1042.245
nance you did. allows you to submit an application in
(g) List the specifications of the test certain cases without new emission
fuel (or mixture of test fuels) to show data.
that they fall within the required (p) For Category 1 and Category 2 en-
ranges we specify in 40 CFR part 1065. gines, state that all the engines in the
(h) Identify the engine family’s use- engine family comply with the applica-
ful life. ble not-to-exceed emission standards in
(i) Include the maintenance and war- § 1042.101 for all normal operation and
ranty instructions you will give to the use when tested as specified in
ultimate purchaser of each new engine § 1042.515. Describe any relevant test-
(see §§ 1042.120 and 1042.125). Describe ing, engineering analysis, or other in-
your plan for meeting warranty obliga- formation in sufficient detail to sup-
tions under § 1042.120. port your statement.
469
§ 1042.205 40 CFR Ch. I (7–1–21 Edition)
(q) [Reserved] released standards that define conven-

(r) Report test results as follows: tions for these messages and param-
(1) Report all valid test results in- eters. Format your information con-
volving measurement of pollutants for sistent with publicly released stand-
which emission standards apply. Also ards.
indicate whether there are test results (u) Confirm that your emission-re-
from invalid tests or from any other lated installation instructions specify
tests of the emission-data engine, how to ensure that sampling of exhaust
whether or not they were conducted ac- emissions will be possible after engines
cording to the test procedures of sub- are installed in vessels and placed in
part F of this part. We may require you service. Show how to sample exhaust
to report these additional test results. emissions in a way that prevents dilut-
We may ask you to send other informa- ing the exhaust sample with ambient
tion to confirm that your tests were air.
valid under the requirements of this (v) State whether your certification
part and 40 CFR part 1065. is limited for certain engines. If this is
(2) Report measured CO2, N2O, and the case, describe how you will prevent
CH4 as described in § 1042.235. Small- use of these engines in applications for
volume engine manufacturers may which they are not certified. This ap-
omit reporting N2O and CH4. plies for engines such as the following:
(s) Describe all adjustable operating (1) Constant-speed engines.
parameters (see § 1042.115(d)), including (2) Engines used with controllable-
production tolerances. Include the fol- pitch propellers.
lowing in your description of each pa- (3) Recreational engines.
rameter: (w) Unconditionally certify that all
(1) The nominal or recommended set- the engines in the engine family com-
ting. ply with the requirements of this part,
(2) The intended physically adjust- other referenced parts of the CFR, and
able range. the Clean Air Act.
(3) The limits or stops used to estab- (x) Include good-faith estimates of
lish adjustable ranges. U.S.-directed production volumes. In-
(4) For Category 1 engines, informa- clude a justification for the estimated
tion showing why the limits, stops, or production volumes if they are sub-
other means of inhibiting adjustment stantially different than actual produc-
are effective in preventing adjustment tion volumes in earlier years for simi-
of parameters on in-use engines to set- lar models.
tings outside your intended physically (y) Include the information required
adjustable ranges. by other subparts of this part. For ex-
(5) For Category 2 and Category 3 en- ample, include the information re-
gines, propose a range of adjustment quired by § 1042.725 if you participate in
for each adjustable parameter, as de- the ABT program.
scribed in § 1042.115(d). Include informa- (z) Include other applicable informa-
tion showing why the limits, stops, or tion, such as information specified in
other means of inhibiting adjustment this part or 40 CFR part 1068 related to
are effective in preventing adjustment requests for exemptions.
of parameters on in-use engines to set- (aa) Name an agent for service lo-
tings outside your proposed adjustable cated in the United States. Service on
ranges. this agent constitutes service on you
(t) Provide the information to read, or any of your officers or employees for
record, and interpret all the informa- any action by EPA or otherwise by the
tion broadcast by an engine’s onboard United States related to the require-
computers and electronic control units. ments of this part.
State that, upon request, you will give (bb) The following provisions apply
us any hardware, software, or tools we for imported engines:
would need to do this. If you broadcast (1) Describe your normal practice for
a surrogate parameter for torque val- importing engines. For example, this
ues, you must provide us what we need may include identifying the names and
to convert these into torque units. You addresses of any agents you have au-
may reference any appropriate publicly thorized to import your engines.
470
(2) For engines below 560 kW, identify engines from in-use testing or deny a
a test facility in the United States warranty claim.
where you can test your engines if we (a) If you are decreasing or elimi-
select them for testing under a selec- nating any specified maintenance, you
tive enforcement audit, as specified in may distribute the new maintenance
40 CFR part 1068. instructions to your customers 30 days
[73 FR 37243, June 30, 2008, as amended at 74 after we receive your request, unless
FR 56509, Oct. 30, 2009; 75 FR 23000, Apr. 30, we disapprove your request. This would
2010; 81 FR 74147, Oct. 25, 2016] generally include replacing one main-
tenance step with another. We may ap-
§ 1042.210 Preliminary approval. prove a shorter time or waive this re-
If you send us information before you quirement.
finish the application, we will review it (b) If your requested change would
and make any appropriate determina- not decrease the specified mainte-
tions, especially for questions related nance, you may distribute the new
to engine family definitions, auxiliary maintenance instructions anytime
emission control devices, deterioration after you send your request. For exam-
factors, useful life, testing for service ple, this paragraph (b) would cover add-
accumulation, maintenance, and coming instructions to increase the fre-
pliance with not-to-exceed standards. quency of filter changes for engines in
See § 1042.245 for specific provisions severe-duty applications.
that apply for deterioration factors. (c) You need not request approval if
Decisions made under this section are you are making only minor corrections
considered to be preliminary approval, (such as correcting typographical mis-
subject to final review and approval. takes), clarifying your maintenance in-
We will generally not reverse a deci- structions, or changing instructions for
sion where we have given you prelimi- maintenance unrelated to emission
nary approval, unless we find new in- control. We may ask you to send us
formation supporting a different deci- copies of maintenance instructions re-
sion. If you request preliminary ap- vised under this paragraph (c).
proval related to the upcoming model
year or the model year after that, we [75 FR 23001, Apr. 30, 2010]
will make best-efforts to make the ap-
§ 1042.225 Amending applications for
propriate determinations as soon as certification.
practicable. We will generally not pro-
vide preliminary approval related to a Before we issue you a certificate of
future model year more than two years conformity, you may amend your ap-
ahead of time. plication to include new or modified
engine configurations, subject to the
§ 1042.220 Amending maintenance in- provisions of this section. After we
structions. have issued your certificate of con-
You may amend your emission-re- formity, you may send us an amended
lated maintenance instructions after application requesting that we include
you submit your application for certifi- new or modified engine configurations
cation as long as the amended instruc- within the scope of the certificate, sub-
tions remain consistent with the provi- ject to the provisions of this section.
sions of § 1042.125. You must send the You must amend your application if
Designated Compliance Officer a writ- any changes occur with respect to any
ten request to amend your application information that is included or should
for certification for an engine family if be included in your application.
you want to change the emission-re- (a) You must amend your application
lated maintenance instructions in a before you take any of the following
way that could affect emissions. In actions:
your request, describe the proposed (1) Add an engine configuration to an
changes to the maintenance instruc- engine family. In this case, the engine
tions. If operators follow the original configuration added must be consistent
maintenance instructions rather than with other engine configurations in the
the newly specified maintenance, this engine family with respect to the cri-
does not allow you to disqualify those teria listed in § 1042.230.
471
§ 1042.225 40 CFR Ch. I (7–1–21 Edition)
(2) Change an engine configuration duction of the engines and may require
already included in an engine family in you to recall the engines at no expense
a way that may affect emissions, or to the owner. Choosing to produce en-
change any of the components you de- gines under this paragraph (e) is
scribed in your application for certifi- deemed to be consent to recall all en-
cation. This includes production and gines that we determine do not meet
design changes that may affect emis- applicable emission standards or other
sions any time during the engine’s life- requirements and to remedy the non-
time. conformity at no expense to the owner.
(3) Modify an FEL for an engine fam- If you do not provide information re-
ily as described in paragraph (f) of this quired under paragraph (c) of this sec-
section. tion within 30 days after we request it,
(b) To amend your application for you must stop producing the new or
certification as specified in paragraph modified engines.
(a) of this section, send the relevant in- (f) You may ask us to approve a
formation to the Designated Compli- change to your FEL in certain cases
ance Officer. after the start of production. The
(1) Describe in detail the addition or changed FEL may not apply to engines
change in the engine model or configu- you have already introduced into U.S.
ration you intend to make. commerce, except as described in this
(2) Include engineering evaluations or paragraph (f). If we approve a changed
data showing that the amended engine FEL after the start of production, you
family complies with all applicable re- must include the new FEL on the emis-
quirements. You may do this by show- sion control information label for all
ing that the original emission-data en- engines produced after the change. You
gine is still appropriate for showing may ask us to approve a change to
that the amended family complies with your FEL in the following cases:
all applicable requirements.
(1) You may ask to raise your FEL
(3) If the original emission-data en-
for your engine family at any time. In
gine for the engine family is not appro-
your request, you must show that you
priate to show compliance for the new
will still be able to meet the emission
or modified engine configuration, in-
standards as specified in subparts B
clude new test data showing that the
new or modified engine configuration and H of this part. If you amend your
meets the requirements of this part. application by submitting new test
(4) Include any other information data to include a newly added or modi-
needed to make your application cor- fied engine, as described in paragraph
rect and complete. (b)(3) of this section, use the appro-
(c) We may ask for more test data or priate FELs with corresponding pro-
engineering evaluations. You must give duction volumes to calculate emission
us these within 30 days after we request credits for the model year, as described
them. in subpart H of this part. In all other
(d) For engine families already cov- circumstances, you must use the high-
ered by a certificate of conformity, we er FEL for the entire family to cal-
will determine whether the existing culate emission credits under subpart
certificate of conformity covers your H of this part.
newly added or modified engine. You (2) You may ask to lower the FEL for
may ask for a hearing if we deny your your engine family only if you have
request (see § 1042.920). test data from production engines
(e) For engine families already cov- showing that emissions are below the
ered by a certificate of conformity, you proposed lower FEL. The lower FEL
may start producing the new or modi- applies only to engines you produce
fied engine configuration anytime after after we approve the new FEL. Use the
you send us your amended application appropriate FELs with corresponding
and before we make a decision under production volumes to calculate emis-
paragraph (d) of this section. However, sion credits for the model year, as de-
if we determine that the affected en- scribed in subpart H of this part.
gines do not meet applicable require- (g) You may produce engines as de-
ments, we will notify you to cease pro- scribed in your amended application
472
for certification and consider those en- cept as allowed under paragraphs (f)
gines to be in a certified configuration and (g) of this section.
if we approve a new or modified engine (c) For Category 2 engines, group en-
configuration during the model year gines in the same engine family if they
under paragraph (d) of this section. are the same in all the following as-
Similarly, you may modify in-use en- pects:
gines as described in your amended ap- (1) The combustion cycle (e.g., diesel
plication for certification and consider cycle).
those engines to be in a certified con- (2) The fuel with which the engine is
figuration if we approve a new or modi- intended or designed to be operated and
fied engine configuration at any time the fuel system configuration.
under paragraph (d) of this section. (3) The cooling system (for example,
Modifying a new or in-use engine to be air-cooled or water-cooled), and proce-
in a certified configuration does not dure(s) employed to maintain engine
violate the tampering prohibition of 40 temperature within desired limits
CFR 1068.101(b)(1), as long as this does (thermostat, on-off radiator fans, radi-
not involve changing to a certified con- ator shutters, etc.).
figuration with a higher family emis- (4) The method of air aspiration
sion limit. (turbocharged, supercharged, naturally
[73 FR 37243, June 30, 2008, as amended at 75 aspirated, Roots blown).
FR 23001, Apr. 30, 2010; 81 FR 74148, Oct. 25, (5) The turbocharger or supercharger
2016] general performance characteristics
(e.g., approximate boost pressure, ap-
§ 1042.230 Engine families.
proximate response time, approximate
(a) For purposes of certification, di- size relative to engine displacement).
vide your product line into families of (6) The type of air inlet cooler (air-
engines that are expected to have simi- to-air, air-to-liquid, approximate de-
lar emission characteristics through- gree to which inlet air is cooled).
out the useful life as described in this (7) The type of exhaust
section. You may not group engines in aftertreatment system (oxidation cata-
different engine categories in the same lyst, particulate trap), and characteris-
family. Your engine family is limited tics of the aftertreatment system (cat-
to a single model year. alyst loading, converter size vs. engine
(b) For Category 1 engines, group en- size).
gines in the same engine family if they (8) The combustion chamber configu-
are the same in all the following as- ration and the surface-to-volume ratio
pects: of the combustion chamber when the
(1) The combustion cycle and the fuel piston is at top dead center position,
with which the engine is intended or using nominal combustion chamber di-
designed to be operated. mensions.
(2) The cooling system (for example, (9) Nominal bore and stroke dimen-
raw-water vs. separate-circuit cooling). sions.
(3) Method of air aspiration.
(10) The location of the piston rings
(4) Method of exhaust aftertreatment
on the piston.
(for example, catalytic converter or
particulate trap). (11) The intake manifold induction
(5) Combustion chamber design. port size and configuration.
(6) Nominal bore and stroke. (12) The exhaust manifold port size
(7) Cylinder arrangement (such as in- and configuration.
line vs. vee configurations). This ap- (13) The location of the intake and
plies for engines with aftertreatment exhaust valves (or ports).
devices only. (14) The size of the intake and ex-
(8) Method of control for engine oper- haust valves (or ports).
ation other than governing (i.e., me- (15) The approximate intake and ex-
chanical or electronic). haust event timing and duration (valve
(9) Application (commercial or rec- or port).
reational). (16) The configuration of the fuel
(10) Numerical level of the emission injectors and approximate injection

standards that apply to the engine, ex- pressure.
473
§ 1042.235 40 CFR Ch. I (7–1–21 Edition)
(17) The type of fuel injection system model year. For Category 3 engine fam-
controls (i.e., mechanical or elec- ilies that include a range of maximum
tronic). in-use engine speeds, use the highest
(18) The overall injection timing value of maximum in-use engine speed
characteristics, or as appropriate igni- to establish the applicable NOX emis-
tion timing characteristics (i.e., the sion standard.
deviation of the timing curves from the [73 FR 37243, June 30, 2008, as amended at 75
optimal fuel economy timing curve FR 23001, Apr. 30, 2010]
must be similar in degree).
(19) The type of smoke control sys- § 1042.235 Emission testing related to
tem. certification.
(d) For Category 3 engines, group en- This section describes the emission
gines into engine families based on the testing you must perform to show com-
criteria specified in Section 4.3 of the pliance with the emission standards in
NOX Technical Code (incorporated by § 1042.101(a) or § 1042.104. See § 1042.205(p)
reference in § 1042.910), except as al- regarding emission testing related to
lowed in paragraphs (e) and (f) of this the NTE standards. See §§ 1042.240 and
section. 1042.245 and 40 CFR part 1065, subpart
(e) You may subdivide a group of en- E, regarding service accumulation be-
gines that is identical under paragraph fore emission testing. See § 1042.655 for
(b) or (c) of this section into different special testing provisions available for
engine families if you show the ex- Category 3 engines subject to Tier 3
pected emission characteristics are dif- standards.
ferent during the useful life. However, (a) Select an emission-data engine
for the purpose of applying small-vol- from each engine family for testing.
ume family provisions of this part, we For engines at or above 560 kW, you
will consider the otherwise applicable may use a development engine that is
engine family criteria of this section. equivalent in design to the engine
(f) You may group engines that are being certified. For Category 3 engines,
not identical with respect to the things you may use a single-cylinder version
listed in paragraph (b), (c), or (d) of of the engine. Using good engineering
this section in the same engine family, judgment, select the engine configura-
as follows: tion most likely to exceed an applica-
(1) In unusual circumstances, you ble emission standard over the useful
may group such engines in the same life, considering all exhaust emission
engine family if you show that their constituents and the range of installa-
emission characteristics during the tion options available to vessel manu-
useful life will be similar. facturers.
(2) If you are a small-volume engine (b) Test your emission-data engines
manufacturer, you may group any Cat- using the procedures and equipment
egory 1 engines into a single engine specified in subpart F of this part. In
family or you may group any Category the case of dual-fuel engines, measure
2 engines into a single engine family. emissions when operating with each
This also applies if you are a post-man- type of fuel for which you intend to
ufacture marinizer modifying a base certify the engine. In the case of flexi-
engine that has a valid certificate of ble-fuel engines, measure emissions
conformity for any kind of nonroad or when operating with the fuel mixture
heavy-duty highway engine under this that best represents in-use operation or
chapter. is most likely to have the highest NOX
(3) The provisions of this paragraph emissions (or NOX+HC emissions for en-
(f) do not exempt any engines from gines subject to NOX+HC standards),
meeting the standards and require- though you may ask us to instead to
ments in subpart B of this part. perform tests with both fuels sepa-
(g) If you combine engines that are rately if you can show that inter-
subject to different emission standards mediate mixtures are not likely to
into a single engine family under para- occur in use.
graph (f) of this section, you must cer- (c) We may perform confirmatory
tify the engine family to the more testing by measuring emissions from
stringent set of standards for that any of your emission-data engines or
474
other engines from the engine family, (2) The emission-data engine from
as follows: the previous model year remains the
(1) We may decide to do the testing appropriate emission-data engine
at your plant or any other facility. If under paragraph (b) of this section.
we do this, you must deliver the engine (3) The data show that the emission-
to a test facility we designate. The en- data engine would meet all the require-
gine you provide must include appro- ments that apply to the engine family
priate manifolds, aftertreatment de- covered by the application for certifi-
vices, electronic control units, and cation. For engines originally tested
other emission-related components not under the provisions of 40 CFR part 94,
normally attached directly to the en- you may consider those test procedures
gine block. If we do the testing at your to be equivalent to the procedures we
plant, you must schedule it as soon as specify in subpart F of this part.
possible and make available the instru- (e) We may require you to test a sec-
ments, personnel, and equipment we ond engine of the same or different
need. configuration in addition to the engine
(2) If we measure emissions from one tested under paragraph (b) of this sec-
of your engines, the results of that tion.
testing become the official emission re- (f) If you use an alternate test proce-
sults for the engine. Unless we later in- dure under 40 CFR 1065.10 and later
validate these data, we may decide not testing shows that such testing does
to consider your data in determining if not produce results that are equivalent
your engine family meets applicable to the procedures specified in subpart F
requirements. of this part, we may reject data you
(3) Before we test one of your en- generated using the alternate proce-
gines, we may set its adjustable param- dure.
eters to any point within the specified (g) Measure CO2 with each low-hour
adjustable ranges (see § 1042.115(d)). certification test using the procedures
(4) Before we test one of your en- specified in 40 CFR part 1065 starting in
gines, we may calibrate it within nor- the 2011 model year. Also measure CH4
mal production tolerances for anything from Category 1 and Category 2 engines
we do not consider an adjustable pa- with each low-hour certification test
rameter. For example, this would apply using the procedures specified in 40
for an engine parameter that is subject CFR part 1065 starting in the 2012
to production variability because it is model year. Measure N2O from Cat-
adjustable during production, but is egory 1 and Category 2 engines with
not considered an adjustable parameter each low-hour certification test using
(as defined in § 1042.901) because it is the procedures specified in 40 CFR part
permanently sealed. For parameters 1065 for any engine family that depends
that relate to a level of performance on NOx aftertreatment to meet emis-
that is itself subject to a specified sion standards. Small-volume engine
range (such as maximum power out- manufacturers may omit measurement
put), we will generally perform any of N2O and CH4. These measurements
calibration under this paragraph (c)(4) are not required for NTE testing. Use
in a way that keeps performance with- the same units and modal calculations
in the specified range. as for your other results to report a
single weighted value for each con-
(d) You may ask to use carryover
stituent. Round the final values as fol-
emission data from a previous model
lows:
year instead of doing new tests, but
only if all the following are true: (1) Round CO2 to the nearest 1 g/kW-
hr.
(1) The engine family from the pre-
vious model year differs from the cur- (2) Round N2O to the nearest 0.001 g/
rent engine family only with respect to kW-hr.
model year, items identified in (3) Round CH4 to the nearest 0.001 g/
§ 1042.225(a), or other characteristics kW-hr.
unrelated to emissions. We may waive

this criterion for differences we deter- FR 56509, Oct. 30, 2009; 75 FR 23002, Apr. 30,
mine not to be relevant. 2010; 81 FR 74148, Oct. 25, 2016]
475
§ 1042.240 40 CFR Ch. I (7–1–21 Edition)
EFFECTIVE DATE NOTE: At 86 FR 34510, June rioration factors that we establish.
29, 2021, § 1042.235 was amended, effective July Apply deterioration factors as follows:
29, 2021.
(1) Additive deterioration factor for ex-
§ 1042.240 Demonstrating compliance haust emissions. Except as specified in
with exhaust emission standards. paragraph (c)(2) of this section, use an
additive deterioration factor for ex-
(a) For purposes of certification, your haust emissions. An additive deteriora-
engine family is considered in compli- tion factor is the difference between
ance with the emission standards in exhaust emissions at the end of the
§ 1042.101(a) or § 1042.104 if all emission- useful life and exhaust emissions at the
data engines representing that family low-hour test point. In these cases, ad-
have test results showing official emis-
just the official emission results for
sion results and deteriorated emission
each tested engine at the selected test
levels at or below these standards. This
point by adding the factor to the meas-
also applies for all test points for emis-
ured emissions. If the deterioration
sion-data engines within the family
factor is less than zero, use zero. Addi-
used to establish deterioration factors.
tive deterioration factors must be spec-
See paragraph (f) of this section for pro-
ified to one more decimal place than
visions related to demonstrating com-
pliance with non-duty-cycle standards, the applicable standard.
such as NTE standards. Note that your (2) Multiplicative deterioration factor
FELs are considered to be the applica- for exhaust emissions. Use a multiplica-
ble emission standards with which you tive deterioration factor if good engi-
must comply if you participate in the neering judgment calls for the deterio-
ABT program in subpart H of this part. ration factor for a pollutant to be the
(b) Your engine family is deemed not ratio of exhaust emissions at the end of
to comply if any emission-data engine the useful life to exhaust emissions at
representing that family has test re- the low-hour test point. For example, if
sults showing an official emission re- you use aftertreatment technology
sult or a deteriorated emission level that controls emissions of a pollutant
for any pollutant that is above an ap- proportionally to engine-out emissions,
plicable emission standard. Similarly, it is often appropriate to use a mul-
your engine family is deemed not to tiplicative deterioration factor. Adjust
comply if any emission-data engine the official emission results for each
representing that family has test retested engine at the selected test point
sults showing any emission level above by multiplying the measured emissions
the applicable not-to-exceed emission by the deterioration factor. If the dete-
standard for any pollutant. This also rioration factor is less than one, use
applies for all test points for emission- one. A multiplicative deterioration fac-
data engines within the family used to tor may not be appropriate in cases
establish deterioration factors. where testing variability is signifi-
(c) To compare emission levels from cantly greater than engine-to-engine
the emission-data engine with the ap- variability. Multiplicative deteriora-
plicable emission standards, apply de- tion factors must be specified to one
terioration factors to the measured more significant figure than the appli-
emission levels for each pollutant. Sec- cable standard.
tion 1042.245 specifies how to test your (3) Sawtooth and other nonlinear dete-
Category 1 or Category 2 engine to de- rioration patterns. The deterioration
velop deterioration factors that rep- factors described in paragraphs (c)(1)
resent the deterioration expected in and (2) of this section assume that the
emissions over your engines’ full useful highest useful life emissions occur ei-
life. See paragraph (e) of this section ther at the end of useful life or at the
for determining deterioration factors low-hour test point. The provisions of
for Category 3 engines. Your deteriora- this paragraph (c)(3) apply where good
tion factors must take into account engineering judgment indicates that
any available data from in-use testing the highest emissions over the useful
with similar engines. Small-volume en- life will occur between these two
gine manufacturers and post-manufac- points. For example, emissions may in-
ture marinizers may use assigned dete- crease with service accumulation until
476
a certain maintenance step is per- out the useful life. Include this anal-
formed, then return to the low-hour ysis in your application for certifi-
emission levels and begin increasing cation and add a statement that all
again. Base deterioration factors for data, analyses, evaluations, and other
engines with such emission patterns on information you used are available for
the difference between (or ratio of) the our review upon request.
point at which the highest emissions (f) For NTE standards and mode caps,
occur and the low-hour test point. Note use good engineering judgment to dem-
that this applies for maintenance-re- onstrate compliance throughout the
lated deterioration only where we useful life. You may, but are not re-
allow such critical emission-related quired to, apply the same deterioration
maintenance. factors used to show compliance with
(4) Deterioration factor for crankcase the applicable duty-cycle standards.
emissions. If your engine vents crank- We will deny your application for cer-
case emissions to the exhaust or to the tification if we determine that your
atmosphere, you must account for test data show that your engines would
crankcase emission deterioration, exceed one or more NTE standard or
using good engineering judgment. You mode cap during their useful lives.
may use separate deterioration factors [73 FR 37243, June 30, 2008, as amended at 75
for crankcase emissions of each pollut- FR 23002, Apr. 30, 2010; 81 FR 74148, Oct. 25,
ant (either multiplicative or additive) 2016]
or include the effects in combined dete-
rioration factors that include exhaust § 1042.245 Deterioration factors.
and crankcase emissions together for This section describes how to deter-
each pollutant. mine deterioration factors for Category
(5) Dual-fuel and flexible-fuel engines. 1 and Category 2 engines, either with
In the case of dual-fuel and flexible- an engineering analysis, with pre-exist-
fuel engines, apply deterioration fac- ing test data, or with new emission
tors separately for each fuel type. You measurements. Apply these deteriora-
may accumulate service hours on a sin- tion factors to determine whether your
gle emission-data engine using the type engines will meet the duty-cycle emis-
of fuel or the fuel mixture expected to sion standards throughout the useful
have the highest combustion and ex- life as described in § 1042.240. This sec-
haust temperatures; you may ask us to tion does not apply for Category 3 en-
approve a different fuel mixture if you gines.
demonstrate that a different criterion (a) You may ask us to approve dete-
is more appropriate. rioration factors for an engine family
(d) Determine the official emission with established technology based on
result for each pollutant to at least one engineering analysis instead of testing.
more decimal place than the applicable Engines certified to a NOX + HC stand-
standard. Apply the deterioration fac- ard or FEL greater than the Tier 3 NOX
tor to the official emission result, as + HC standard are considered to rely on
described in paragraph (c) of this sec- established technology for control of
tion, then round the adjusted figure to gaseous emissions, except that this
the same number of decimal places as does not include any engines that use
the emission standard. Compare the exhaust-gas recirculation or
rounded emission levels to the emis- aftertreatment. In most cases, tech-
sion standard for each emission-data nologies used to meet the Tier 1 and
engine. In the case of NOX+HC stand- Tier 2 emission standards would qual-
ards, apply the deterioration factor to ify as established technology. We must
each pollutant and then add the results approve your plan to establish a dete-
before rounding. rioration factor under this paragraph
(e) For Category 3 engines, determine (a) before you submit your application
a deterioration factor based on an engi- for certification.
neering analysis. The engineering anal- (b) You may ask us to approve dete-
ysis must describe how the measured rioration factors for an engine family
emission levels from the emission-data based on emission measurements from
engine show that engines comply with similar highway, stationary, or

applicable emission standards through- nonroad engines (including locomotive
477
§ 1042.250 40 CFR Ch. I (7–1–21 Edition)
engines or other marine engines) if you (3) If you do testing to determine de-
have already given us these data for terioration factors, describe the form
certifying the other engines in the and extent of service accumulation, in-
same or earlier model years. Use good cluding a rationale for selecting the
engineering judgment to decide wheth- service-accumulation period and the
er the two engines are similar. We method you use to accumulate hours.
must approve your plan to establish a
deterioration factor under this para- FR 23003, Apr. 30, 2010]
graph (b) before you submit your appli-
cation for certification. We will ap- § 1042.250 Recordkeeping and report-
prove your request if you show us that ing.
the emission measurements from other
(a) Send the Designated Compliance
engines reasonably represent in-use de-
Officer information related to your
terioration for the engine family for
U.S.-directed production volumes as
which you have not yet determined de-
described in § 1042.345. In addition,
terioration factors.
within 45 days after the end of the
(c) If you are unable to determine de-
model year, you must send us a report
terioration factors for an engine family
describing information about engines
under paragraph (a) or (b) of this sec-
you produced during the model year as
tion, first get us to approve a plan for
follows:
determining deterioration factors
(1) State the total production volume
based on service accumulation and re-
for each engine family that is not sub-
lated testing. We will respond to your
ject to reporting under § 1042.345.
proposed plan within 45 days of receiv-
ing your request. Your plan must in- (2) State the total production volume
volve measuring emissions from an for any engine family for which you
emission-data engine at least three produce engines after completing the
times, which are evenly spaced over reports required in § 1042.345.
the service-accumulation period unless (b) Organize and maintain the fol-
we specify otherwise, such that the re- lowing records:
sulting measurements and calculations (1) A copy of all applications and any
will represent the deterioration ex- summary information you send us.
pected from in-use engines over the full (2) Any of the information we specify
useful life. You may use extrapolation in § 1042.205 that you were not required
to determine deterioration factors once to include in your application.
you have established a trend of chang- (3) A detailed history of each emis-
ing emissions with age for each pollut- sion-data engine. For each engine, de-
ant. You may use an engine installed scribe all of the following:
in a vessel to accumulate service hours (i) The emission-data engine’s con-
instead of running the engine only in struction, including its origin and
the laboratory. You may perform buildup, steps you took to ensure that
maintenance on emission-data engines it represents production engines, any
as described in § 1042.125 and 40 CFR components you built specially for it,
part 1065, subpart E. and all the components you include in
(d) Include the following information your application for certification.
in your application for certification: (ii) How you accumulated engine op-
(1) If you determine your deteriora- erating hours (service accumulation),
tion factors based on test data from a including the dates and the number of
different engine family, explain why hours accumulated.
this is appropriate and include all the (iii) All maintenance, including
emission measurements on which you modifications, parts changes, and other
base the deterioration factor. service, and the dates and reasons for
(2) If you determine your deteriora- the maintenance.
tion factors based on engineering anal- (iv) All your emission tests, includ-
ysis, explain why this is appropriate ing the date and purpose of each test
and include a statement that all data, and documentation of test parameters
analyses, evaluations, and other infor- as specified in part 40 CFR part 1065.
mation you used are available for our (v) All tests to diagnose engine or
review upon request. emission control performance, giving
478
the date and time of each and the rea- submitted information false or incom-
sons for the test. plete.
(vi) Any other significant events. (3) Render inaccurate any test data.
(4) Production figures for each engine (4) Deny us from completing author-
family divided by assembly plant. ized activities (see 40 CFR 1068.20). This
(5) Keep a list of engine identifica- includes a failure to provide reasonable
tion numbers for all the engines you assistance.
produce under each certificate of con- (5) Produce engines for importation
formity. into the United States at a location
(c) Keep required data from emission where local law prohibits us from car-
tests and all other information speci- rying out authorized activities.
fied in this section for eight years after (6) Fail to supply requested informa-
we issue your certificate. If you use the tion or amend your application to in-
same emission data or other informa- clude all engines being produced.
tion for a later model year, the eight- (7) Take any action that otherwise
year period restarts with each year circumvents the intent of the Clean Air
that you continue to rely on the infor- Act or this part.
mation. (d) We may void the certificate of
(d) Store these records in any format conformity for an engine family if you
and on any media, as long as you can fail to keep records, send reports, or
promptly send us organized, written give us information as required under
records in English if we ask for them. this part or the Clean Air Act. Note
You must keep these records readily that these are also violations of 40 CFR
available. We may review them at any 1068.101(a)(2).
time. (e) We may void your certificate if we
[73 FR 37243, June 30, 2008, as amended at 75 false or incomplete information. This
FR 23003, Apr. 30, 2010; 81 FR 74149, Oct. 25,
2016]
includes rendering submitted informa-
tion false or incomplete after submis-
§ 1042.255 EPA decisions. sion.
(f) If we deny your application or sus-
(a) If we determine your application pend, revoke, or void your certificate,
is complete and shows that the engine you may ask for a hearing (see
family meets all the requirements of § 1042.920).
this part and the Clean Air Act, we will
issue a certificate of conformity for [73 FR 37243, June 30, 2008, as amended at 75
your engine family for that model FR 23003, Apr. 30, 2010; 81 FR 74149, Oct. 25,
2016]
year. We may make the approval sub-
ject to additional conditions. EFFECTIVE DATE NOTE: At 86 FR 34510, June
(b) We may deny your application for 29, 2021, § 1042.255 was revised, effective July
certification if we determine that your 29, 2021.
engine family fails to comply with
emission standards or other require- Subpart D—Testing Production-line
ments of this part or the Clean Air Act. Engines
We will base our decision on all avail-
able information. If we deny your ap- § 1042.301 General provisions.
plication, we will explain why in writ- (a) If you produce freshly manufac-
ing. tured marine engines that are subject
(c) In addition, we may deny your ap- to the requirements of this part, you
plication or suspend or revoke your must test them as described in this
certificate if you do any of the fol- subpart, except as follows:
lowing: (1) Small-volume engine manufactur-
(1) Refuse to comply with any testing ers may omit testing under this sub-
or reporting requirements. part.
(2) Submit false or incomplete infor- (2) We may exempt Category 1 engine
mation (paragraph (e) of this section families with a projected U.S.-directed
applies if this is fraudulent). This in- production volume below 100 engines
cludes doing anything after submission from routine testing under this sub-
of your application to render any of the part. Request this exemption in your
479
§ 1042.302 40 CFR Ch. I (7–1–21 Edition)
application for certification and in- surance that your engines meet the re-
clude your basis for projecting a pro- quirements of this part. We may waive
duction volume below 100 units. We some or all of this subpart’s require-
will approve your request if we agree ments if we approve your alternate
that you have made good-faith esti- program.
mates of your production volumes. (e) If you certify a Category 1 or Cat-
Your exemption is approved when we egory 2 engine family with carryover
grant your certificate. You must emission data, as described in
promptly notify us if your actual pro- § 1042.235(d), and these equivalent en-
duction exceeds 100 units during the gine families consistently pass the pro-
model year. If you exceed the produc- duction-line testing requirements over
tion limit or if there is evidence of a the preceding two-year period, you
nonconformity, we may require you to may ask for a reduced testing rate for
test production-line engines under this further production-line testing for that
subpart, or under 40 CFR part 1068, subfamily. The minimum testing rate is
part E, even if we have approved an ex- one engine per engine family. If we re-
emption under this paragraph (a)(2). duce your testing rate, we may limit
(3) [Reserved] our approval to any number of model
(b) We may suspend or revoke your years. In determining whether to ap-
certificate of conformity for certain prove your request, we may consider
engine families if your production-line the number of engines that have failed
engines do not meet the requirements the emission tests.
of this part or you do not fulfill your (f) We may ask you to make a reason-
obligations under this subpart (see able number of production-line engines
§§ 1042.325 and 1042.340). available for a reasonable time so we
(c) Other regulatory provisions au- can test or inspect them for compli-
thorize us to suspend, revoke, or void ance with the requirements of this
your certificate of conformity, or order part. For Category 3 engines, you are
recalls for engine families, without re- not required to deliver engines to us,
gard to whether they have passed these but we may inspect and test your en-
production-line testing requirements. gines at any facility at which they are
The requirements of this subpart do assembled or installed in vessels.
not affect our ability to do selective
enforcement audits, as described in 40 [73 FR 37243, June 30, 2008, as amended at 75
CFR part 1068. Individual engines in FR 23003, Apr. 30, 2010; 81 FR 74149, Oct. 25,
families that pass these production- 2016]
line testing requirements must also
conform to all applicable regulations of § 1042.302 Applicability of this subpart
for Category 3 engines.
this part and 40 CFR part 1068.
(d) You may use alternate programs If you produce Tier 3 or later Cat-
or measurement methods for testing egory 3 engines that are certified under
production-line engines in the fol- this part, you must test them as de-
lowing circumstances: scribed in this subpart, except as speci-
(1) [Reserved] fied in this section.
(2) You may test your engines using (a) You must test each Category 3 en-
the CumSum procedures specified in 40 gine at the sea trial of the vessel in
CFR part 1045 or 1051 instead of the which it is installed or within the first
procedures specified in this subpart, ex- 300 hours of operation, whichever oc-
cept that the threshold for establishing curs first. This may involve testing a
quarterly or annual test periods is fully assembled production engine be-
based on U.S.-directed production vol- fore it is installed in the vessel. Since
umes of 800 instead of 1600. This alter- you must test each engine, the provi-
nate program does not require prior ap- sions of §§ 1042.310 and 1042.315(b) do not
proval. apply for Category 3 engines. If we de-
(3) You may ask to use another alter- termine that an engine failure under
nate program or measurement method this subpart is caused by defective
for testing production-line engines. In components or design deficiencies, we
your request, you must show us that may revoke or suspend your certificate
the alternate program gives equal as- for the engine family as described in
480
§ 1042.340. If we determine that an en- § 1042.305 Preparing and testing pro-

gine failure under this subpart is duction-line engines.
caused only by incorrect assembly, we This section describes how to prepare
may suspend your certificate for the and test production-line engines. You
engine family as described in § 1042.325. must assemble the test engine in a way
If the engine fails, you may continue that represents the assembly proce-
operating only to complete the sea dures for other engines in the engine
trial and return to port. It is a viola- family. You must ask us to approve
tion of 40 CFR 1068.101(b)(1) to operate any deviations from your normal as-
the vessel further until you remedy the sembly procedures for other production
cause of failure. Each two-hour period engines in the engine family.
of such operation constitutes a sepa- (a) Test procedures. Test your produc-
rate offense. A violation lasting less tion-line engines using the applicable
than two hours constitutes a single of- testing procedures in subpart F of this
part to show you meet the duty-cycle
fense.
emission standards in subpart B of this
(b) You are only required to measure part. For Category 1 and Category 2 en-
NOX emissions. You do not need to gines, the not-to-exceed standards
measure HC, CO or PM emissions under apply for this testing of Category 1 and
this subpart. Category 2 engines, but you need not
(c) If you are unable to operate the do additional testing to show that pro-
engine at the test points for the speci- duction-line engines meet the not-to-
fied duty cycle, you may approximate exceed standards. The mode cap stand-
these points consistent with the speci- ards apply for the testing of Category 3
fications of section 6 of Appendix 8 to engines.
the NOX Technical Code (incorporated (b) Modifying a test engine. Once an
by reference in § 1042.910) and show engine is selected for testing (see
compliance with the alternate in- § 1042.310), you may adjust, repair, pre-
stalled-engine standard of § 1042.104(g). pare, or modify it or check its emis-
You must obtain EPA approval of your sions only if one of the following is
test procedure prior to testing the en- true:
gine. Include in your request a descrip- (1) You document the need for doing
tion of your basis for concluding that so in your procedures for assembling
the engine cannot be tested at the ac- and inspecting all your production en-
tual test points of the specified duty gines and make the action routine for
all the engines in the engine family.
cycle.
(2) This subpart otherwise specifi-
(d) You may measure NOX emissions cally allows your action.
at additional test points for the pur- (3) We approve your action in ad-
poses of the continuous NOX moni- vance.
toring requirements of § 1042.110(d). If (c) Engine malfunction. If an engine
you do, you must report these values malfunction prevents further emission
along with your other test results. De- testing, ask us to approve your deci-
scribe in your application for certifi- sion to either repair the engine or de-
cation how you plan to use these val- lete it from the test sequence.
ues for continuous NOX monitoring. (d) Setting adjustable parameters. Be-
(e) You may ask to measure emis- fore any test, we may require you to
sions according to the Direct Measure- adjust any adjustable parameter on a
ment and Monitoring method specified Category 1 engine to any setting with-
in section 6.4 of the NOX Technical in its physically adjustable range. We
Code (incorporated by reference in may adjust or require you to adjust
§ 1042.910). any adjustable parameter on a Cat-
egory 2 or Category 3 engine to any
[75 FR 23003, Apr. 30, 2010, as amended at 81 setting within its specified adjustable
FR 74149, Oct. 25, 2016] range.
EFFECTIVE DATE NOTE: At 86 FR 34510, June (1) We may require you to adjust idle
speed outside the physically adjustable

29, 2021. range as needed, but only until the en-
gine has stabilized emission levels (see
481
§ 1042.310 40 CFR Ch. I (7–1–21 Edition)
paragraph (e) of this section). We may future testing before substituting re-
ask you for information needed to es- sults of the new tests for invalid ones.
tablish an alternate minimum idle
speed. FR 23004, Apr. 30, 2010]
(2) We may specify adjustments with-
in the physically adjustable range or § 1042.310 Engine selection for Cat-
the specified adjustable range by con- egory 1 and Category 2 engines.
sidering their effect on emission levels. (a) Determine minimum sample sizes
We may also consider how likely it is as follows:
that someone will make such an ad- (1) For Category 1 engines, the min-
justment with in-use engines. imum sample size is one engine or one
(e) Stabilizing emission levels. You may percent of the projected U.S.-directed
stabilize emission levels (or establish a production volume for all your Cat-
Green Engine Factor for Category 2 en- egory 1 engine families, whichever is
gines) before you test production-line greater.
engines, as follows: (2) For Category 2 engines, the min-
(1) You may stabilize emission levels imum sample size is one engine or one
by operating the engine in a way that percent of the projected U.S.-directed
represents the way production engines production volume for all your Cat-
will be used, using good engineering egory 2 engine families, whichever is
judgment, for no more than the greater greater.
of two periods: (b) Randomly select one engine from
(i) 300 hours. each engine family early in the model
(ii) The number of hours you oper- year. For further testing to reach the
ated your emission-data engine for cer- minimum sample size, randomly select
tifying the engine family (see 40 CFR a proportional sample from each en-
part 1065, subpart E, or the applicable gine family, with testing distributed
regulations governing how you should evenly over the course of the model
prepare your test engine). year, unless we specify a different
(2) For Category 2 or Category 3 en- schedule for your tests. For example,
gines, you may ask us to approve a we may require you to disproportion-
Green Engine Factor for each regulated ately select engines from the early part
pollutant for each engine family. Use of a model year for a new engine model
the Green Engine Factor to adjust that has not previously been subject to
measured emission levels to establish a production-line testing.
stabilized low-hour emission level. (c) For each engine that fails to meet
(f) Damage during shipment. If ship- emission standards, test two engines
ping an engine to a remote facility for from the same engine family from the
production-line testing makes nec- next fifteen engines produced or within
essary an adjustment or repair, you seven days, whichever is later. If an en-
must wait until after the initial emis- gine fails to meet emission standards
sion test to do this work. We may for any pollutant, count it as a failing
waive this requirement if the test engine under this paragraph (c).
would be impossible or unsafe, or if it (d) Continue testing until one of the
would permanently damage the engine. following things happens:
Report to us in your written report (1) You test the number of engines
under § 1042.345 all adjustments or re- specified in paragraphs (a) and (c) of
pairs you make on test engines before this section.
each test. (2) The engine family does not com-
(g) Retesting after invalid tests. You ply according to § 1042.315 or you choose
may retest an engine if you determine to declare that the engine family does
an emission test is invalid under sub- not comply with the requirements of
part F of this part. Explain in your this subpart.
written report reasons for invalidating (3) You test 30 engines from the en-
any test and the emission results from gine family.
all tests. If we determine that you im- (e) You may elect to test more ran-
properly invalidated a test, we may re- domly chosen engines than we require
quire you to ask for our approval for under this section.
482
§ 1042.315 Determining compliance. tificate of conformity can cover that

This section describes the pass-fail engine:
criteria for the production-line testing (1) Correct the problem and retest
requirements. We apply these criteria the engine to show it complies with all
on an engine-family basis. See § 1042.320 emission standards.
for the requirements that apply to in- (2) Include the test results and de-
dividual engines that fail a production- scribe the remedy for each engine in
line test. the written report required under
(a) Calculate your test results as fol- § 1042.345.
lows: (b) You may request to amend the ap-
(1) Initial and final test results. Cal- plication for certification to raise the
culate and round the test results for FEL of the entire engine family at this
each engine. If you do several tests on point (see § 1042.225).
an engine, calculate the initial results (c) For catalyst-equipped engines,
for each test, then add all the test re- you may ask us to allow you to exclude
sults together and divide by the num- an initial failed test if all of the fol-
ber of tests. Round this final calculated lowing are true:
value for the final test results on that (1) The catalyst was in a green condi-
engine. Include the Green Engine Fac- tion when tested initially.
tor to determine low-hour emission re- (2) The engine met all emission
sults, if applicable. standards when retested after
(2) Final deteriorated test results. Apply degreening the catalyst.
the deterioration factor for the engine (3) No additional emission-related
family to the final test results (see maintenance or repair was performed
§ 1042.240(c)). between the initial failed test and the
(3) Round deteriorated test results. subsequent passing test.
Round the results to the number of [73 FR 37243, June 30, 2008, as amended at 75
decimal places in the emission stand- FR 23004, Apr. 30, 2010]
ard expressed to one more decimal
place. § 1042.325 What happens if an engine
(b) For Category 1 and Category 2 en- family fails the production-line test-
gines, if a production-line engine fails ing requirements?
to meet emission standards and you (a) We may suspend your certificate
test two additional engines as de- of conformity for an engine family if it
scribed in § 1042.310, calculate the aver- fails under § 1042.315. The suspension
age emission level for each pollutant may apply to all facilities producing
for the three engines. If the calculated engines from an engine family, even if
average emission level for any pollut- you find noncompliant engines only at
ant exceeds the applicable emission one facility.
standard, the engine family fails the (b) We will tell you in writing if we
production-line testing requirements of suspend your certificate in whole or in
this subpart. Tell us within ten work- part. We will not suspend a certificate
ing days if this happens. You may re- until at least 15 days after the engine
quest to amend the application for cer- family fails. The suspension is effective
tification to raise the FEL of the en- when you receive our notice.
gine family as described in § 1042.225(f). (c) Up to 15 days after we suspend the
[73 FR 37243, June 30, 2008, as amended at 75 certificate for an engine family, you
FR 23004, Apr. 30, 2010] may ask for a hearing (see § 1042.920). If
we agree before a hearing occurs that
§ 1042.320 What happens if one of my we used erroneous information in de-
production-line engines fails to ciding to suspend the certificate, we
meet emission standards? will reinstate the certificate.
(a) If you have a production-line en- (d) Section 1042.335 specifies steps
gine with final deteriorated test results you must take to remedy the cause of
exceeding one or more emission stand- the engine family’s production-line
ards (see § 1042.315(a)), the certificate of failure. All the engines you have pro-
conformity is automatically suspended duced since the end of the last test pe-
for that failing engine. You must take riod are presumed noncompliant and
the following actions before your cer- should be addressed in your proposed
483
§ 1042.330 40 CFR Ch. I (7–1–21 Edition)
remedy. We may require you to apply (1) You do not meet the reporting re-
the remedy to engines produced earlier quirements.
if we determine that the cause of the (2) Your engine family fails to com-
failure is likely to have affected the ply with the requirements of this sub-
earlier engines. part and your proposed remedy to ad-
(e) You may request to amend the ap- dress a suspended certificate under
plication for certification to raise the § 1042.325 is inadequate to solve the
FEL of the entire engine family before problem or requires you to change the
or after we suspend your certificate as engine’s design or emission control sys-
described in § 1042.225(f). We will ap- tem.
prove your request if the failure is not (b) To sell engines from an engine
caused by a defect and it is clear that family with a revoked certificate of
you used good engineering judgment in conformity, you must modify the en-
establishing the original FEL. gine family and then show it complies
[73 FR 37243, June 30, 2008, as amended at 75 with the requirements of this part.
FR 23004, Apr. 30, 2010] (1) If we determine your proposed de-
sign change may not control emissions
§ 1042.330 Selling engines from an en- for the engine’s full useful life, we will
gine family with a suspended cer- tell you within five working days after
tificate of conformity.
receiving your report. In this case we
You may sell engines that you will decide whether production-line
produce after we suspend the engine testing will be enough for us to evalu-
family’s certificate of conformity ate the change or whether you need to
under § 1042.315 only if one of the fol- do more testing.
lowing occurs: (2) Unless we require more testing,
(a) You test each engine you produce you may show compliance by testing
and show it complies with emission production-line engines as described in
standards that apply. this subpart.
(b) We conditionally reinstate the (3) We will issue a new or updated
certificate for the engine family. We certificate of conformity when you
may do so if you agree to recall all the have met these requirements.
affected engines and remedy any non-
compliance at no expense to the owner § 1042.345 Reporting.
if later testing shows that the engine
family still does not comply. (a) Within 45 days of the end of each
quarter in which production-line test-
§ 1042.335 Reinstating suspended cer- ing occurs, send us a report with the
tificates. following information:
(a) Send us a written report asking (1) Describe any facility used to test
us to reinstate your suspended certifi- production-line engines and state its
cate. In your report, identify the rea- location.
son for noncompliance, propose a rem- (2) State the total U.S.-directed pro-
edy for the engine family, and commit duction volume and number of tests for
to a date for carrying it out. In your each engine family.
proposed remedy include any quality (3) Describe how you randomly se-
control measures you propose to keep lected engines.
the problem from happening again. (4) Describe each test engine, includ-
(b) Give us data from production-line ing the engine family’s identification
testing that shows the remedied engine and the engine’s model year, build
family complies with all the emission date, model number, identification
standards that apply. number, and number of hours of oper-
ation before testing. Also describe how
§ 1042.340 When may EPA revoke my you developed and applied the Green
certificate under this subpart and Engine Factor, if applicable.
how may I sell these engines again? (5) Identify how you accumulated
(a) We may revoke your certificate hours of operation on the engines and
for an engine family in the following describe the procedure and schedule
cases: you used.
484
(6) Provide the test number; the date, § 1042.350 Recordkeeping.

time and duration of testing; test pro-
(a) Organize and maintain your
cedure; all initial test results; final records as described in this section. We
test results; and final deteriorated test may review your records at any time.
results for all tests. Provide the emis- (b) Keep paper or electronic records
sion results for all measured pollut- of your production-line testing for
ants. Include information for both eight years after you complete all the
valid and invalid tests and the reason testing required for an engine family in
for any invalidation. a model year.
(7) Describe completely and justify (c) Keep a copy of the written reports
any nonroutine adjustment, modifica- described in § 1042.345.
tion, repair, preparation, maintenance, (d) Keep the following additional
or test for the test engine if you did records:
not report it separately under this sub- (1) A description of all test equip-
part. Include the results of any emis- ment for each test cell that you can
sion measurements, regardless of the use to test production-line engines.
procedure or type of engine. (2) The names of supervisors involved
(8) Report on each failed engine as in each test.
described in § 1042.320. (3) The name of anyone who author-
(9) Identify when the model year ends izes adjusting, repairing, preparing, or
for each engine family. modifying a test engine and the names
(b) We may ask you to add informa- of all supervisors who oversee this
tion to your written report so we can work.
determine whether your new engines (4) If you shipped the engine for test-
conform with the requirements of this ing, the date you shipped it, the associ-
subpart. We may also ask you to send ated storage or port facility, and the
less information. date the engine arrived at the testing
(c) An authorized representative of facility.
your company must sign the following (5) Any records related to your pro-
statement: duction-line tests that are not in the
written report.
We submit this report under sections 208 (6) A brief description of any signifi-
and 213 of the Clean Air Act. Our production- cant events during testing not other-
line testing conformed completely with the wise described in the written report or
requirements of 40 CFR part 1042. We have
in this section.
not changed production processes or quality-
control procedures for test engines in a way (7) Any information specified in
that might affect emission controls. All the § 1042.345 that you do not include in
information in this report is true and accu- your written reports.
rate to the best of my knowledge. I know of (e) If we ask, you must give us a
the penalties for violating the Clean Air Act more detailed description of projected
and the regulations. (Authorized Company or actual production figures for an en-
Representative) gine family. We may ask you to divide
(d) Send electronic reports of produc- your production figures by maximum
engine power, displacement, fuel type,
tion-line testing to the Designated
or assembly plant (if you produce en-
Compliance Officer using an approved
gines at more than one plant).
information format. If you want to use
(f) Keep records of the engine identi-
a different format, send us a written
fication number for each engine you
request with justification for a waiver. produce under each certificate of con-
(e) We will send copies of your re- formity. You may identify these num-
ports to anyone from the public who bers as a range. Give us these records
asks for them. See § 1042.915 for infor- within 30 days if we ask for them.
mation on how we treat information (g) We may ask you to keep or send
you consider confidential. other information necessary to imple-
[73 FR 37243, June 30, 2008, as amended at 75 ment this subpart.
FR 23004, Apr. 30, 2010] [73 FR 37243, June 30, 2008, as amended at 75
FR 23004, Apr. 30, 2010]
485
§ 1042.401 40 CFR Ch. I (7–1–21 Edition)
Subpart E—In-use Testing fur levels, identify the test fuel in your
application for certification. Unless we
§ 1042.401 General Provisions. specify otherwise, the appropriate die-
We may perform in-use testing of any sel test fuel for Category 3 engines is
engine subject to the standards of this the high-sulfur diesel fuel. For Cat-
part. egory 2 and Category 3 engines, you
may ask to use commercially available
Subpart F—Test Procedures diesel fuel similar but not necessarily
identical to the applicable fuel speci-
§ 1042.501 How do I run a valid emis- fied in 40 CFR part 1065, subpart H; we
sion test? will approve your request if you show
(a) Use the equipment and procedures us that it does not affect your ability
for compression-ignition engines in 40 to demonstrate compliance with the
CFR part 1065 to determine whether en- applicable emission standards.
gines meet the duty-cycle emission (3) For Category 1 and Category 2 en-
standards in §§ 1042.101 or 1042.104. gines that are expected to use a type of
Measure the emissions of all regulated fuel (or mixed fuel) other than diesel
pollutants as specified in 40 CFR part fuel (such as natural gas, methanol, or
1065. Use the applicable duty cycles residual fuel), use a commercially
specified in § 1042.505. The following ex- available fuel of that type for emission
ceptions from the 40 CFR part 1065 pro- testing. If a given engine is designed to
cedures apply:
operate on different fuels, we may (at
(1) If you perform discrete-mode test-
our discretion) require testing on each
ing and use only one batch fuel meas-
urement to determine your mean raw fuel. Propose test fuel specifications
exhaust flow rate, you must target a that take into account the engine de-
constant sample flow rate over the sign and the properties of commer-
mode. Verify proportional sampling as cially available fuels. Describe these
described in 40 CFR 1065.545 using the test fuel specifications in the applica-
mean raw exhaust molar flow rate tion for certification.
paired with each recorded sample flow (d) Adjust measured emissions to ac-
rate. count for aftertreatment technology
(2) If you perform discrete-mode test- with infrequent regeneration as de-
ing, you may verify proportional sam- scribed in § 1042.525.
pling over the whole duty cycle instead (e) Duty-cycle testing is limited to
of verifying proportional sampling for atmospheric pressures between 91.000
each discrete mode. and 103.325 kPa.
(b) Section 1042.515 describes the sup- (f) You may use special or alternate
plemental test procedures for evalu- procedures to the extent we allow them
ating whether engines meet the not-to- under 40 CFR 1065.10.
exceed emission standards in
(g) For Category 3 engines, instead of
§ 1042.101(c).
(c) Use the fuels and lubricants speci- test data collected as specified in 40
fied in 40 CFR part 1065, subpart H, for CFR part 1065, you may submit test
all the testing we require in this part, data for NOX, HC, and CO emissions
except as specified in this section and that were collected as specified in the
§ 1042.515. NOX Technical Code (incorporated by
(1) For service accumulation, use the reference in § 1042.910). For example,
test fuel or any commercially available this allowance includes the allowance
fuel that is representative of the fuel to perform the testing using test fuels
that in-use engines will use. allowed under the NOX Technical Code
(2) For diesel-fueled engines, use the that do not meet the sulfur specifica-
appropriate diesel fuel specified in 40 tions of this section. We may require
CFR part 1065, subpart H, for emission you to include a brief engineering anal-
testing. Unless we specify otherwise, ysis showing how these data dem-
the appropriate diesel test fuel for Cat- onstrate that your engines would meet
egory 1 and Category 2 engines is the the applicable emission standards if
ultra low-sulfur diesel fuel. If we allow you had used the test procedures speci-
you to use a test fuel with higher sul- fied in 40 CFR part 1065.
486
(h) This subpart is addressed to you least 30 minutes) at all four modes
as a manufacturer, but it applies equal- when installed in the vessel.
ly to anyone who does testing for you, (2) Duty cycle for engines with high
and to us when we perform testing to power density. Except as specified in
determine if your engines meet emis- paragraph (b)(3) of this section, use the
sion standards. 5-mode duty cycle or the corresponding
ramped-modal cycle described in para-
graph (b) of Appendix II of this part for
FR 56509, Oct. 30, 2009; 75 FR 23005, Apr. 30,
2010; 81 FR 74149, Oct. 25, 2016] light-commercial engines and rec-
reational marine engines with max-
§ 1042.505 Testing engines using dis- imum engine power at or above 37 kW.
crete-mode or ramped-modal duty You may also use this duty cycle for
cycles. other commercial engines instead of
the duty cycle specified in paragraph
This section describes how to test en-
(b)(1) of this section if the power den-
gines under steady-state conditions. In
sity for every configuration in an en-
some cases, we allow you to choose the
gine family is above 30.0 kW/liter.
appropriate steady-state duty cycle for
(3) Controllable-pitch and electrically
an engine; you may also choose be-
coupled propellers. Use the 4-mode duty
tween discrete-mode and ramped-modal
cycle or the corresponding ramped-
testing. In all cases, you must use the
modal cycle described in paragraph (c)
duty cycle you select in your applica- of Appendix II of this part for constant-
tion for certification for all testing you speed propulsion marine engines that
perform for that engine family. If we are used with (or intended to be used
test your engines to confirm that they with) controllable-pitch propellers or
meet emission standards, we will use with electrically coupled propellers.
the duty cycles you select for your own Use this duty cycle also for variable-
testing. If you submit certification test speed propulsion marine engines that
data using more than one duty cycle, are used with (or intended to be used
any of the selected duty cycles may be with) controllable-pitch propellers or
used for any subsequent testing. We with electrically coupled propellers if
may also perform other testing as al- the duty cycles in paragraph (b)(1) and
lowed by the Clean Air Act. (b)(2) of this section do not apply.
(a) You may perform steady-state (4) Constant-speed auxiliary engines.
testing with either discrete-mode or Use the 5-mode duty cycle or the cor-
ramped-modal cycles as described in 40 responding ramped-modal cycle de-
CFR Part 1065. scribed in 40 CFR Part 1039, Appendix
(b) Measure emissions by testing the II, paragraph (a) for constant-speed
engine on a dynamometer with the fol- auxiliary engines.
lowing duty cycles (as specified) to de- (5) Variable-speed auxiliary engines. (i)
termine whether it meets the emission Use the duty cycle specified in para-
standards in § 1042.101 or § 1042.104: graph (b)(1) of this section for pro-
(1) General cycle. Use the 4-mode duty peller-law auxiliary engines.
cycle or the corresponding ramped- (ii) Use the 6-mode duty cycle or the
modal cycle described in paragraph (a) corresponding ramped-modal cycle de-
of Appendix II of this part for commer- scribed in 40 CFR Part 1039, Appendix
cial propulsion marine engines that are II, paragraph (b) for variable-speed
used with (or intended to be used with) auxiliary engines with maximum en-
fixed-pitch propellers, propeller-law gine power below 19 kW that are not
auxiliary engines, and any other en- propeller-law engines.
gines for which the other duty cycles of (iii) Use the 8-mode duty cycle or the
this section do not apply. Use this duty corresponding ramped-modal cycle de-
cycle also for commercial variable- scribed in 40 CFR part 1039, Appendix
speed propulsion marine engines that II, paragraph (c) for variable-speed aux-
are used with (or intended to be used iliary engines with maximum engine
with) controllable-pitch propellers or power at or above 19 kW that are not
with electrically coupled propellers, propeller-law engines.
unless these engines are not intended (c) For constant-speed engines whose
for sustained operation (e.g., for at design prevents full-load operation for
487
§ 1042.515 40 CFR Ch. I (7–1–21 Edition)
extended periods, you may ask for ap- (3) Ambient water temperature must
proval under 40 CFR 1065.10(c) to re- be between 5 and 27 °C.
place full-load operation with the max- (4) Ambient humidity must be be-
imum load for which the engine is de- tween 7.1 and 10.7 grams of moisture
signed to operate for extended periods. per kilogram of dry air.
(d) Engine testing may occur at any
FR 74149, Oct. 25, 2016; 85 FR 62232, Oct. 2, conditions expected during normal op-
2020] eration but that are outside the condi-
tions described in paragraph (b) of this
§ 1042.515 Test procedures related to section, as long as measured values are
not-to-exceed standards. corrected to be equivalent to the near-
(a) This section describes the proce- est end of the specified range, using
dures to determine whether your en- good engineering judgment. Correct
gines meet the not-to-exceed emission NOX emissions for humidity as speci-
standards in § 1042.101(c). These proce- fied in 40 CFR part 1065, subpart G.
dures may include any normal engine (e) The sampling period may not
operation and ambient conditions that begin until the engine has reached sta-
the engines may experience in use. ble operating temperatures. For exam-
Paragraphs (c) through (e) of this sec- ple, this would include only engine op-
tion define the limits of what we will eration after starting and after the en-
consider normal engine operation and gine thermostat starts modulating the
ambient conditions. engine’s coolant temperature. The
(b) Measure emissions with one of the sampling period may not include en-
following procedures: gine starting.
(1) Remove the selected engines for (f) Apply the NTE standards specified
testing in a laboratory. You may use in § 1042.101(c) to an engine family
an engine dynamometer to simulate based on the zones and subzones cor-
normal operation, as described in this responding to specific duty cycles and
section. Use the equipment and proce- engine types as defined in Appendix III
dures specified in 40 CFR part 1065 to of this part. For an engine family cer-
conduct laboratory testing. tified to multiple duty cycles, the
(2) Test the selected engines while broadest applicable NTE zone applies
they remain installed in a vessel. Use for that family at the time of certifi-
the equipment and procedures specified cation. Whenever an engine family is
in 40 CFR part 1065 subpart J, to con- certified to multiple duty cycles and a
duct field testing. Use fuel meeting the specific engine from that family is
specifications of 40 CFR part 1065, sub- tested for NTE compliance in use, de-
part H, or a fuel typical of what you termine the applicable NTE zone for
would expect the engine to use in serv- that engine according to its in-use ap-
ice. plication. An engine family’s NTE zone
(c) Engine testing may occur under may be modified as follows:
the following ranges of ambient condi- (1) You may ask us to approve a nar-
tions without correcting measured rower NTE zone for an engine family at
emission levels: the time of certification, based on in-
(1) Atmospheric pressure must be be- formation such as how that engine
tween 96.000 and 103.325 kPa, except family is expected to normally operate
that manufacturers may test at lower in use. For example, if an engine fam-
atmospheric pressures if their test fa- ily is always coupled to a pump or jet
cility is located at an altitude that drive, the engine might be able to oper-
makes it impractical to stay within ate only within a narrow range of en-
this range. This pressure range is in- gine speed and power.
tended to allow testing under most (2) You may ask us to approve a Lim-
weather conditions at all altitudes up ited Testing Region (LTR). An LTR is
to 1,100 feet above sea level. a region of engine operation, within
(2) Ambient air temperature must be the applicable NTE zone, where you
between 13 and 35 °C (or between 13 °C have demonstrated that your engine
and 30 °C for engines not drawing in- family operates for no more than 5.0
take air directly from a space that percent of its normal in-use operation,
could be heated by the engine). on a time-weighted basis. You must
488
specify an LTR using boundaries based lytic aftertreatment device in the path
on engine speed and power (or torque), with the greatest exhaust flow.
where the LTR boundaries must coin- (g) Emission sampling is not valid for
cide with some portion of the boundary NTE testing if it includes any active
defining the overall NTE zone. Any regeneration, unless the emission aver-
emission data collected within an LTR aging period includes the complete re-
for a time duration that exceeds 5.0 generation event(s) and the full period
percent of the duration of its respec- of engine operation until the start of
tive NTE sampling period will be ex- the next regeneration event. This pro-
cluded when determining compliance vision applies only for engines that
with the applicable NTE standards. send an electronic signal indicating the
Any emission data collected within an start of the regeneration event.
LTR for a time duration of 5.0 percent
or less of the duration of the respective FR 74149, Oct. 25, 2016]
NTE sampling period will be included
when determining compliance with the § 1042.520 What testing must I perform
NTE standards. to establish deterioration factors?
(3) You must notify us if you design Sections 1042.240 and 1042.245 describe
your engines for normal in-use oper- the required methods for testing to es-
ation outside the applicable NTE zone. tablish deterioration factors for an en-
If we learn that normal in-use oper- gine family.
ation for your engines includes other
speeds and loads, we may specify a § 1042.525 How do I adjust emission
broader NTE zone, as long as the modi- levels to account for infrequently
fied zone is limited to normal in-use regenerating aftertreatment de-
operation for speeds greater than 70 vices?
percent of maximum test speed and For engines using aftertreatment
loads greater than 30 percent of max- technology with infrequent regenera-
imum power at maximum test speed tion events that may occur during test-
(or 30 percent of maximum test torque ing, take one of the following ap-
for constant-speed engines). proaches to account for the emission
(4) You may exclude emission data impact of regeneration, or use an alter-
based on catalytic aftertreatment tem- nate methodology that we approve for
peratures as follows: Category 3 engines:
(i) For an engine equipped with a (a) You may use the calculation
catalytic NOX aftertreatment system, methodology described in 40 CFR
exclude NOX emission data that is col- 1065.680 to adjust measured emission
lected when the exhaust temperature results. Do this by developing an up-
at any time during the NTE event is ward adjustment factor and a down-
less than 250 °C. ward adjustment factor for each pollut-
(ii) For an engine equipped with an ant based on measured emission data
oxidizing catalytic aftertreatment sys- and observed regeneration frequency as
tem, exclude HC and CO emission data follows:
that is collected when the exhaust tem- (1) Adjustment factors should gen-
perature at any time during the NTE erally apply to an entire engine family,
event is less than 250 °C. Similarly, ex- but you may develop separate adjust-
clude PM emission data during oper- ment factors for different configura-
ation involving exhaust temperature tions within an engine family. Use the
below 250 °C for an engine equipped adjustment factors from this section in
with an oxidizing flow-through cata- all testing for the engine family.
lyst. (2) You may use carryover or carry-
(iii) Measure exhaust temperature across data to establish adjustment
within 30 cm downstream of the last factors for an engine family as de-
applicable catalytic aftertreatment described in § 1042.235, consistent with
vice. Where there are parallel paths, good engineering judgment.
use good engineering judgment to (3) Determine the frequency of regen-
measure the temperature within 30 cm eration, F, as described in 40 CFR

downstream of the last applicable cata- 1065.680 from in-use operating data or
489
§ 1042.601 40 CFR Ch. I (7–1–21 Edition)
from running repetitive tests in a lab- consistent with its intended use as a
oratory. If the engine is designed for recreational vessel violates 40 CFR
regeneration at fixed time intervals, 1068.101(a)(1), except as allowed by this
you may apply good engineering judg- chapter.
ment to determine F based on those de- (b) Subpart I of this part describes
sign parameters. how the prohibitions of 40 CFR
(4) Identify the value of F in each ap- 1068.101(a)(1) apply for certain remanu-
plication for certification for which it factured engines. The provisions of 40
applies. CFR 1068.105 do not allow the installa-
(b) You may ask us to approve an al- tion of a new remanufactured engine in
ternate methodology to account for re- a vessel that is defined as a new vessel
generation events. We will generally unless the remanufactured engine is
limit approval to cases where your en- subject to the same standards as the
gines use aftertreatment technology standards applicable to freshly manu-
with extremely infrequent regenera- factured engines of the required model
tion and you are unable to apply the year.
provisions of this section. (c) The provisions of 40 CFR 1068.120
(c) You may choose to make no ad- apply when rebuilding marine engines,
justments to measured emission re- except as specified in subpart I of this
sults if you determine that regenera- part. The following additional require-
tion does not significantly affect emis- ments also apply when rebuilding ma-
sion levels for an engine family (or rine engines equipped with exhaust
configuration) or if it is not practical aftertreatment:
to identify when regeneration occurs. (1) Follow all instructions from the
If you choose not to make adjustments engine manufacturer and
under paragraph (a) or (b) of this sec- aftertreatment manufacturer for
tion, your engines must meet emission checking, repairing, and replacing
standards for all testing, without re- aftertreatment components. For exam-
gard to regeneration. ple, you must replace the catalyst if
[81 FR 74150, Oct. 25, 2016] the catalyst assembly is stamped with
a build date more than ten years ago
Subpart G—Special Compliance and the manufacturer’s instructions
Provisions state that catalysts over ten years old
must be replaced when the engine is re-
§ 1042.601 General compliance provi- built.
sions for marine engines and ves- (2) Measure pressure drop across the
sels. catalyst assembly to ensure that it is
Engine and vessel manufacturers, as neither higher nor lower than the man-
well as owners, operators, and rebuild- ufacturer’s specifications and repair or
ers of engines and vessels subject to replace exhaust-system components as
the requirements of this part, and all needed to bring the pressure drop with-
other persons, must observe the provi- in the manufacturer’s specifications.
sions of this part, the requirements and (3) For engines equipped with exhaust
prohibitions in 40 CFR part 1068, and sensors, verify that sensor outputs are
the provisions of the Clean Air Act. within the manufacturer’s rec-
The provisions of 40 CFR part 1068 ommended range and repair or replace
apply for compression-ignition marine any malfunctioning components (sen-
engines as specified in that part, sub- sors, catalysts, or other components).
ject to the following provisions: (d) The provisions of § 1042.635 for the
(a) The following prohibitions apply national security exemption apply in
with respect to recreational marine en- addition to the provisions of 40 CFR
gines and recreational vessels: 1068.225.
(1) Installing a recreational marine (e) For replacement engines, apply
engine in a vessel that is not a rec- the provisions of 40 CFR 1068.240 as de-
reational vessel is a violation of 40 CFR scribed in § 1042.615.
1068.101(a)(1). (f) For the purpose of meeting the de-
(2) For a vessel with an engine that is fect-reporting requirements in 40 CFR
certified and labeled as a recreational 1068.501, if you manufacture other

marine engine, using it in a manner in- nonroad engines that are substantially
490
similar to your marine engines, you tures, we may apply the more stringent
may consider defects using combined requirements.
marine and non-marine families.
(g) The selective enforcement audit FR 59194, Oct. 8, 2008; 75 FR 23005, Apr. 30,
provisions of 40 CFR part 1068 do not 2010; 81 FR 74150, Oct. 25, 2016]
apply for Category 3 engines.
(h) The defect reporting requirements § 1042.605 Dressing engines already
of 40 CFR 1068.501 apply for Category 3 certified to other standards for
engines, except the threshold for filing nonroad or heavy-duty highway en-
gines for marine use.
a defect report is two engines.
(i) You may not circumvent the re- (a) General provisions. If you are an
quirements of this part or the Clean engine manufacturer (including some-
Air Act by manufacturing a vessel out- one who marinizes a land-based en-
side the United States or initially flag- gine), this section allows you to intro-
ging a vessel in another country. The duce new marine engines into U.S.
definition of ‘‘new marine engine’’ in commerce if they are already certified
to the requirements that apply to com-
§ 1042.901 includes provisions for U.S.-
pression-ignition engines under 40 CFR
flagged vessels that are manufactured
parts 85 and 86 or 40 CFR part 89, 92,
or reflagged outside of U.S. waters.
1033, or 1039 for the appropriate model
These provisions have the effect of ap-
year. If you comply with all the provi-
plying the prohibitions of 40 CFR sions of this section, we consider the
1068.101(a)(1) to such vessels no later certificate issued under 40 CFR part 86,
than when they first enter U.S. waters. 89, 92, 1033, or 1039 for each engine to
The inclusion of these provisions does also be a valid certificate of con-
not affect requirements or prohibitions formity under this part 1042 for its
of the Clean Air Act or other statutes model year, without a separate applica-
that may apply to the vessel before it tion for certification under the require-
first enters U.S. waters. ments of this part 1042. This section
(j) Subpart C of this part describes does not apply for Category 3 engines.
how to test and certify dual-fuel and (b) Vessel-manufacturer provisions. If
flexible-fuel engines. Some multi-fuel you are not an engine manufacturer,
engines may not fit either of those de- you may install an engine certified for
fined terms. For such engines, we will the appropriate model year under 40
determine whether it is most appro- CFR part 86, 89, 92, 1033, or 1039 in a
priate to treat them as single-fuel en- marine vessel as long as you do not
gines, dual-fuel engines, or flexible-fuel make any of the changes described in
engines based on the range of possible paragraph (d)(3) of this section and you
and expected fuel mixtures. For exam- meet the requirements of paragraph (e)
ple, an engine might burn natural gas of this section. If you modify the non-
but initiate combustion with a pilot in- marine engine in any of the ways de-
jection of diesel fuel. If the engine is scribed in paragraph (d)(3) of this sec-
designed to operate with a single fuel- tion, we will consider you a manufac-
ing algorithm (i.e., fueling rates are turer of a new marine engine. Such en-
fixed at a given engine speed and load gine modifications prevent you from
condition), we would generally treat it using the provisions of this section.
as a single-fuel engine. In this context, (c) Liability. Engines for which you
the combination of diesel fuel and nat- meet the requirements of this section
ural gas would be its own fuel type. If are exempt from all the requirements
the engine is designed to also operate and prohibitions of this part, except for
on diesel fuel alone, we would generally those specified in this section. Engines
exempted under this section must meet
treat it as a dual-fuel engine. If the en-
all the applicable requirements from 40
gine is designed to operate on varying
CFR parts 85 and 86 or 40 CFR part 89,
mixtures of the two fuels, we would
92, 1033, or 1039. This paragraph (c) ap-
generally treat it as a flexible-fuel en-
plies to engine manufacturers, vessel
gine. To the extent that requirements manufacturers that use such an engine,
vary for the different fuels or fuel mix- and all other persons as if the engine
491
§ 1042.605 40 CFR Ch. I (7–1–21 Edition)
were used in its originally intended ap- original turbocharger on a recreational

plication. The prohibited acts of 40 engine with one that matches the per-
CFR 1068.101(a)(1) apply to these new formance of the original turbocharger.
engines and vessels; however, we con- (iii) Modify or design the marine en-
sider the certificate issued under 40 gine cooling or aftercooling system so
CFR part 86, 89, 92, 1033, or 1039 for each that temperatures or heat rejection
engine to also be a valid certificate of rates are outside the original engine
conformity under this part 1042 for its manufacturer’s specified ranges.
model year. If we make a determina- (4) You must show that fewer than 10
tion that these engines do not conform percent of the engine family’s total
to the regulations during their useful sales in the United States are used in
life, we may require you to recall them marine applications. This includes en-
under 40 CFR part 85, 89, 92, or 1068. gines used in any application, without
(d) Specific criteria and requirements. If regard to which company manufactures
you are an engine manufacturer and the vessel or equipment. Show this as
meet all the following criteria and re- follows:
quirements regarding your new marine (i) If you are the original manufac-
engine, the engine is eligible for an ex- turer of the engine, base this showing
emption under this section: on your sales information.
(1) You must produce it by (ii) In all other cases, you must con-
marinizing an engine covered by a firm this based on your best estimate
valid certificate of conformity from of the original manufacturer’s sales in-
one of the following programs: formation.
(i) Heavy-duty highway engines (40 (e) Labeling and documentation. If you
CFR part 86). are an engine manufacturer or vessel
(ii) Land-based compression-ignition manufacturer using this exemption,
nonroad engines (40 CFR part 89 or you must do all of the following:
1039). (1) Make sure the original engine
(iii) Locomotives (40 CFR part 92 or label will remain clearly visible after
1033). To be eligible for dressing under installation in the vessel.
this section, the engine must be from a (2) Add a permanent supplemental
locomotive certified to standards that label to the engine in a position where
are at least as stringent as either the it will remain clearly visible after in-
standards applicable to new marine en- stallation in the vessel. In your engine
gines or freshly manufactured loco- label, do the following:
motives in the model year that the en- (i) Include the heading: ‘‘Marine En-
gine is being dressed. gine Emission Control Information’’.
(2) The engine must have the label re- (ii) Include your full corporate name
quired under 40 CFR part 86, 89, 92, 1033, and trademark.
or 1039. (iii) State: ‘‘This engine was
(3) You must not make any changes marinized without affecting its emis-
to the certified engine that could rea- sion controls.’’.
sonably be expected to increase its (iv) State the date you finished
emissions. For example, if you make marinizing the engine (month and
any of the following changes to one of year).
these engines, you do not qualify for (3) Send the Designated Compliance
the engine dressing exemption: Officer written notification describing
(i) Change any fuel system param- your plans before using the provisions
eters from the certified configuration, of this section. In addition, by Feb-
or change, remove, or fail to properly ruary 28 of each calendar year (or less
install any other component, element often if we tell you), send the Des-
of design, or calibration specified in ignated Compliance Officer a signed
the engine manufacturer’s application letter with all the following informa-
for certification. This includes tion:
aftertreatment devices and all related (i) Identify your full corporate name,
components. address, and telephone number.
(ii) Replacing an original turbo- (ii) List the engine models for which
charger, except that small-volume en- you used this exemption in the pre-
gine manufacturers may replace an vious year and describe your basis for
492
meeting the sales restrictions of para- part 1042 or another part as allowed by
graph (d)(4) of this section. this section.
(iii) State: ‘‘We prepared each listed [73 FR 37243, June 30, 2008, as amended at 75
engine model for marine application FR 23005, Apr. 30, 2010; 81 FR 74150, Oct. 25,
without making any changes that 2016]
could increase its certified emission EFFECTIVE DATE NOTE: At 86 FR 34510, June
levels, as described in 40 CFR 1042.605.’’ 29, 2021, § 1042.605 was amended, effective July
(f) Failure to comply. If your engines 29, 2021.
do not meet the criteria listed in para-
graph (d) of this section, they will be § 1042.610 Certifying auxiliary marine
engines to land-based standards.
subject to the standards, requirements,
and prohibitions of this part 1042 and This section applies to auxiliary ma-
the certificate issued under 40 CFR rine engines that are identical to cer-
part(s) 86, 89, 92, 1033, or 1039 will not be tified land-based engines. See § 1042.605
deemed to also be a certificate issued for provisions that apply to propulsion
marine engines or auxiliary marine en-
under this part 1042. Introducing these
gines that are modified for marine ap-
engines into U.S. commerce as marine
plications. This section does not apply
engines without a valid exemption or for Category 3 engines.
certificate of conformity under this (a) General provisions. If you are an
part violates the prohibitions in 40 engine manufacturer, this section al-
CFR 1068.101(a)(1). lows you to introduce new marine en-
(g) Data submission. (1) If you are both gines into U.S. commerce if they are
the original manufacturer and already certified to the requirements
marinizer of an exempted engine, you that apply to compression-ignition en-
must send us emission test data on the gines under 40 CFR part 89 or 1039 for
appropriate marine duty cycles. You the appropriate model year. If you
can include the data in your applica- comply with all the provisions of this
tion for certification or in the letter section, we consider the certificate
described in paragraph (e)(3) of this issued under 40 CFR part 89 or 1039 for
section. each engine to also be a valid certifi-
(2) If you are the original manufac- cate of conformity under this part 1042
turer of an exempted engine that is for its model year, without a separate
marinized by a post-manufacture application for certification under the
marinizer, you may be required to send requirements of this part 1042.
us emission test data on the appro- (b) Vessel-manufacturer provisions. If
priate marine duty cycles. If such data you are not an engine manufacturer,
are requested you will be allowed a rea- you may install an engine certified for
sonable amount of time to collect the land-based applications in a marine
vessel as long as you meet all the
data.
qualifying criteria and requirements
(h) Participation in averaging, banking
specified in paragraphs (d) and (e) of
and trading. Engines adapted for ma- this section. If you modify the non-ma-
rine use under this section may not rine engine, we will consider you a
generate or use emission credits under manufacturer of a new marine engine.
this part 1042. These engines may gen- Such engine modifications prevent you
erate credits under the ABT provisions from using the provisions of this sec-
in 40 CFR part(s) 86, 89, 92, 1033, or 1039, tion.
as applicable. These engines must use (c) Liability. Engines for which you
emission credits under 40 CFR part(s) meet the requirements of this section
86, 89, 92, 1033, or 1039 as applicable if are exempt from all the requirements
they are certified to an FEL that ex- and prohibitions of this part, except for
ceeds an emission standard. those specified in this section. Engines
(i) Operator requirements. The require- exempted under this section must meet
ments specified for vessel manufactur- all the applicable requirements from 40
ers, owners, and operators in this sub- CFR part 89 or 1039. This paragraph (c)
part (including requirements in 40 CFR applies to engine manufacturers, vessel
part 1068) apply to these engines manufacturers that use such an engine,
whether they are certified under this and all other persons as if the engine
493
§ 1042.610 40 CFR Ch. I (7–1–21 Edition)
were used in its originally intended ap- letter with all the following informa-
plication. The prohibited acts of 40 tion:
CFR 1068.101(a)(1) apply to these new (i) Identify your full corporate name,
engines and vessels; however, we con- address, and telephone number.
sider the certificate issued under 40 (ii) List the engine models for which
CFR part 89 or 1039 for each engine to you used this exemption in the pre-
also be a valid certificate of con- vious year and describe your basis for
formity under this part 1042 for its meeting the sales restrictions of para-
model year. If we make a determina- graph (d)(3) of this section.
tion that these engines do not conform
(iii) State: ‘‘We prepared each listed
to the regulations during their useful
engine model for marine application
life, we may require you to recall them
without making any changes that
under 40 CFR part 89 or 1068.
(d) Qualifying criteria. If you are an could increase its certified emission
engine manufacturer and meet all the levels, as described in 40 CFR 1042.610.’’
following criteria and requirements re- (3) If you are the certificate holder,
garding your new marine engine, the you must describe in your application
engine is eligible for an exemption for certification how you plan to
under this section: produce engines for both land-based
(1) The marine engine must be iden- and auxiliary marine applications, in-
tical in all material respects to a land- cluding projected sales of auxiliary ma-
based engine covered by a valid certifi- rine engines to the extent this can be
cate of conformity for the appropriate determined. If the projected marine
model year showing that it meets emis- sales are substantial, we may ask for
sion standards for engines of that the year-end report of production vol-
power rating under 40 CFR part 89 or umes to include actual auxiliary ma-
1039. rine engine sales.
(2) The engines may not be used as (f) Failure to comply. If your engines
propulsion marine engines. do not meet the criteria listed in para-
(3) You must show that the number graph (d) of this section, they will be
of auxiliary marine engines from the subject to the standards, requirements,
engine family must be smaller than the and prohibitions of this part 1042 and
number of land-based engines from the the certificate issued under 40 CFR
engine family sold in the United part 89 or 1039 will not be deemed to
States, as follows: also be a certificate issued under this
(i) If you are the original manufac- part 1042. Introducing these engines
turer of the engine, base this showing into U.S. commerce as marine engines
on your sales information. without a valid exemption or certifi-
(ii) In all other cases, you must get
cate of conformity under this part 1042
the original manufacturer of the en-
violates the prohibitions in 40 CFR
gine to confirm this based on its sales
1068.101(a)(1).
information.
(e) Specific requirements. If you are an (g) Participation in averaging, banking
engine manufacturer or vessel manu- and trading. Engines using this exemp-
facturer using this exemption, you tion may not generate or use emission
must do all of the following: credits under this part 1042. These en-
(1) Make sure the original engine gines may generate credits under the
label will remain clearly visible after ABT provisions in 40 CFR part 89 or
installation in the vessel. This label or 1039, as applicable. These engines must
a supplemental label must identify use emission credits under 40 CFR part
that the original certification is valid 89 or 1039 as applicable if they are cer-
for auxiliary marine applications. tified to an FEL that exceeds an emis-
(2) Send the Designated Compliance sion standard.
Officer written notification describing (h) Operator requirements. The re-
your plans before using the provisions quirements specified for vessel manu-
of this section. In addition, by Feb- facturers, owners, and operators in this
ruary 28 of each calendar year (or less subpart (including requirements in 40
often if we tell you), send the Des- CFR part 1068) apply to these engines
ignated Compliance Officer a signed whether they are certified under this
494
part 1042 or another part as allowed by used as a replacement because their

this section. weight or dimensions are substantially
different than those of the engine being
FR 23006, Apr. 30, 2010; 81 FR 74150, Oct. 25, replaced, or because they will not fit
2016] within the vessel’s engine compart-
ment or engine room.
29, 2021, § 1042.610 was amended, effective July (iii) In evaluating appropriate phys-
29, 2021. ical or performance characteristics,
you may account for compatibility
§ 1042.615 Replacement engine exemp- with vessel components you would not
tion. otherwise replace when installing a
For Category 1 and Category 2 renew engine, including transmissions or
placement engines, the provisions of 40 reduction gears, drive shafts or pro-
CFR 1068.240 apply except as described peller shafts, propellers, cooling sys-
in this section. In unusual cir- tems, operator controls, or electrical
cumstances, you may ask us to allow systems for generators or indirect-
you to apply these provisions for a new drive configurations. If you make your
Category 3 engine. determination on this basis, you must
(a) This paragraph (a) applies instead identify the vessel components that are
of the provisions of 40 CFR incompatible with engines certified to
1068.240(b)(2). The prohibitions in 40 current standards and explain how
CFR 1068.101(a)(1) do not apply to a new they are incompatible and why it
replacement engine if all the following would be unreasonable to replace them.
conditions are met: (iv) In evaluating appropriate phys-
(1) You use good engineering judg- ical or performance characteristics,
ment to determine that no engine cer- you may account for compatibility in a
tified to the current requirements of set of two or more propulsion engines
this part is produced by any manufac- on a vessel where only one of the en-
turer with the appropriate physical or gines needs replacement, but only if
performance characteristics to repower each engine not needing replacement
the vessel. We have determined that has operated for less than 75 percent of
engines certified to Tier 4 standards do its applicable useful life in hours or
not have the appropriate physical or years (see § 1042.101). If any engine not
performance characteristics to replace otherwise needing replacement exceeds
uncertified engines or engines certified this 75 percent threshold, your deter-
to emission standards that are less mination must consider replacement of
stringent than the Tier 4 standards. all the propulsion engines.
(2) You make a record of your deter- (v) In addition to the determination
mination for each replacement engine specified in paragraph (a)(1) of this sec-
with the following information and tion, you must make a separate deter-
keep these records for eight years: mination for your own product line ad-
(i) If you determine that no engine dressing every tier of emission stand-
certified to the current requirements of ards that is more stringent than the
this part is available with the appro- emission standards for the engine being
priate performance characteristics, ex- replaced. For example, if the engine
plain why certified engines produced by being replaced was built before the
you and other manufacturers cannot be Tier 1 standards started to apply and
used as a replacement because they are engines of that size are currently sub-
not similar to the engine being reject to Tier 3 standards, you must con-
placed in terms of power or speed. sider whether any Tier 1 or Tier 2 en-
(ii) You may determine that all engines that you produce have the appro-
gines certified to the current require- priate physical and performance char-
ments of this part that have appro- acteristics for replacing the old engine;
priate performance characteristics are if you can produce a Tier 2 engine with
not available because they do not have the appropriate physical and perform-
the appropriate physical characteris- ance characteristics, you must use it
tics. If this is the case, explain why as the replacement engine.
these certified engines produced by you (3) You must notify us within 30 days
and other manufacturers cannot be after you ship each replacement engine
495
§ 1042.620 40 CFR Ch. I (7–1–21 Edition)
under this section. Your notification competition. The requirements of this

must include all the following things part, other than those in this section,
and be signed by an authorized rep- do not apply to engines that we exempt
resentative of your company: for use solely for competition.
(i) A copy of your records describing (b) We will exempt engines that we
how you made the determination de- determine will be used solely for com-
scribed in paragraph (a)(2) of this sec- petition. The basis of our determina-
tion for this particular engine. tion is described in paragraphs (c) and
(ii) The total number of replacement (d) of this section. Exemptions granted
engines you have shipped in the appli-
under this section are good for only
cable calendar year, from all your ma-
one model year and you must request
rine engine models.
(iii) The following statement: renewal for each subsequent model
year. We will not approve your renewal
I certify that the statements and informa- request if we determine the engine will
tion in the enclosed document are true, accu- not be used solely for competition.
rate, and complete to the best of my knowl-
edge. I am aware that there are significant (c) Engines meeting all the following
civil and criminal penalties for submitting criteria are considered to be used sole-
false statements and information, or omit- ly for competition:
ting required statements and information. (1) Neither the engine nor any vessels
(4) The replacement engine must con- containing the engine may be displayed
form to the applicable requirements of for sale in any public dealership or oth-
40 CFR part 1043. Note that 40 CFR erwise offered for sale to the general
1043.10 specifies allowances for vessels public. Note that this does not preclude
that operate only domestically. display of these engines as long as they
(b) The 40-year limit specified in 40 are not available for sale to the general
CFR 1068.240(a) does not apply for en- public.
gines subject to this part 1042. You may (2) Sale of the vessel in which the en-
accordingly omit the statement on the gine is installed must be limited to
permanent labels specified in 40 CFR professional racing teams, professional
1068.240 describing this limitation. racers, or other qualified racers. For
(c) Modifying a vessel to signifi- replacement engines, the sale of the
cantly increase its value within six engine itself must be limited to profes-
months after installing a replacement sional racing teams, professional rac-
engine produced under this section is a ers, other qualified racers, or to the
violation of 40 CFR 1068.101(a)(1). original vessel manufacturer.
(d) We may void an exemption for an
(3) The engine and the vessel in
engine if we determine that any of the
conditions described in paragraph (a) of which it is installed must have per-
this section are not met. formance characteristics that are sub-
(e) We may reduce the reporting and stantially superior to noncompetitive
recordkeeping requirements in this models.
section. (4) The engines are intended for use
only as specified in paragraph (e) of
[73 FR 37243, June 30, 2008, as amended at 73 this section.
FR 59194, Oct. 8, 2008; 75 FR 23006, Apr. 30,
2010; 79 FR 7084, Feb. 6, 2014] (d) You may ask us to approve an ex-
emption for engines not meeting the
criteria listed in paragraph (c) of this
29, 2021. section as long as you have clear and
convincing evidence that the engines
§ 1042.620 Engines used solely for com- will be used solely for competition.
petition. (e) Engines are considered to be used
The provisions of this section apply solely for competition only if their use
for new Category 1 engines and vessels is limited to competition events sanc-
built on or after January 1, 2009. tioned by the U.S. Coast Guard or an-
(a) We may grant you an exemption other public organization with author-
from the standards and requirements of izing permits for participating com-
this part for a new engine on the petitors. Operation of such engines
grounds that it is to be used solely for may include only racing events, trials
496
to qualify for racing events, and prac- (2) The engine meets the Tier 3 emis-
tice associated with racing events. Au- sion standards specified in § 1042.101 as
thorized attempts to set speed records specified in 40 CFR 1068.265.
are also considered racing events. En- (3) The engine is used only for its in-
gines will not be considered to be used tended purpose, as specified on the
solely for competition if they are ever emission control information label.
used for any recreational or other non- (b) Except as specified in paragraph
competitive purpose. Use of exempt en- (d) of this section, the prohibitions in
gines in any recreational events, such § 1068.101(a)(1) do not apply to a new en-
as poker runs and lobsterboat races, is gine that is subject to Tier 3 standards
a violation of 40 CFR 1068.101(b)(4). according to the following provisions:
(f) You must permanently label en- (1) The engine must be intended for
gines exempted under this section to installation in a lifeboat or a rescue
clearly indicate that they are to be boat as specified in paragraph (a)(1)(i)
used only for competition. Failure to or (ii) of this section.
properly label an engine will void the (2) This exemption is available from
exemption for that engine. the initial effective date for the Tier 3
(g) If we request it, you must provide standards until the engine model (or
us any information we need to deter- one of comparable size, weight, and
mine whether the engines are used performance) has been certified as
solely for competition. This would in- complying with the Tier 3 standards
clude documentation regarding the and Coast Guard requirements.
number of engines and the ultimate (3) The engine must meet the Tier 2
purchaser of each engine as well as any emission standards specified in Appen-
documentation showing a vessel manu- dix I of this part as specified in 40 CFR
facturer’s request for an exempted en- 1068.265.
gine. Keep these records for five years.
(c) If you introduce an engine into
[75 FR 23006, Apr. 30, 2010] U.S. commerce under this section, you
must meet the labeling requirements
§ 1042.625 Special provisions for en- in § 1042.135, but add one of the fol-
gines used in emergency applica- lowing statements instead of the com-
tions. pliance statement in § 1042.135(c)(10):
This section describes an exemption (1) For lifeboats and rescue boats,
that is available for certain Category 1 add the following statement:
and Category 2 engines. This exemp-
tion is not available for Category 3 en- THIS ENGINE DOES NOT COMPLY WITH
CURRENT U.S. EPA EMISSION STAND-
gines. ARDS UNDER 40 CFR 1042.625 AND IS FOR
(a) Except as specified in paragraph USE SOLELY IN LIFEBOATS OR RESCUE
(d) of this section, the prohibitions in BOATS (COAST GUARD APPROVAL SE-
§ 1068.101(a)(1) do not apply to a new en- RIES 160.135 OR 160.156). INSTALLATION OR
gine that is subject to Tier 4 standards USE OF THIS ENGINE IN ANY OTHER AP-
if the following conditions are met: PLICATION MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PEN-
(1) The engine is intended for instal-
ALTY.
lation in one of the following vessels or
applications: (2) For engines serving as final emer-
(i) A lifeboat approved by the U.S. gency power sources, add the following
Coast Guard under approval series statement:
160.135 (see for example 46 CFR
THIS ENGINE DOES NOT COMPLY WITH
199.201(a)(1)), as long as such a vessel is CURRENT U.S. EPA EMISSION STAND-
not also used as a launch or tender. ARDS UNDER 40 CFR 1042.625 AND IS FOR
(ii) A rescue boat approved by the USE SOLELY IN EMERGENCY EQUIP-
U.S. Coast Guard under approval series MENT REGULATED BY 46 CFR 112. IN-
160.156 (see for example 46 CFR STALLATION OR USE OF THIS ENGINE IN
199.202(a)). ANY OTHER APPLICATION MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT
(iii) Generator sets or other auxiliary
TO CIVIL PENALTY.
equipment that qualify as final emer-
gency power sources under 46 CFR part (d) Introducing into commerce a ves-
112. sel containing an engine exempted
497
§ 1042.630 40 CFR Ch. I (7–1–21 Edition)
under this section violates the prohibi- would not cover a case in which a per-
tions in 40 CFR 1068.101(a)(1) where the son sells an almost completely assem-
vessel is not covered by paragraph (a) bled vessel to another person, who
or (b) of this section, unless it is ex- would then complete the assembly.
empt under a different provision. Simi- This would be considered equivalent to
larly, using such an engine or vessel as the sale of the complete new vessel.
something other than a lifeboat, rescue This section also does not allow engine
boat, or emergency engine as specified manufacturers to produce new engines
in paragraph (a)(1) of this section vio- that are exempt from emission stand-
lates the prohibitions in 40 CFR ards and it does not provide an exemp-
1068.101(a)(1), unless it is exempt under tion from the prohibition against tam-
a different provision. pering with certified engines.
[73 FR 37243, June 30, 2008, as amended at 75 (f) The vessel must be a vessel that is
FR 23006, Apr. 30, 2010] not classed or subject to Coast Guard
inspections or surveys. Note that dock-
§ 1042.630 Personal-use exemption. side examinations performed by the
This section applies to individuals Coast Guard are not considered inspec-
who manufacture vessels for personal tions (see 46 U.S.C. 3301 and 46 U.S.C.
use with used Category 1 engines. If 4502).
you and your vessel meet all the condi- [73 FR 37243, June 30, 2008, as amended at 75
tions of this section, the vessel and its FR 23006, Apr. 30, 2010; 81 FR 74151, Oct. 25,
engine are considered to be exempt 2016]
from the standards and requirements of
this part that apply to new engines and § 1042.635 National security exemp-
new vessels. The prohibitions in tion.
§ 1068.101(a)(1) do not apply to engines Engines qualify for a national secu-
exempted under this section. For exam- rity exemption as described in 40 CFR
ple, you may install an engine that was 1068.225. This applies to both freshly
not certified as a marine engine. manufactured and remanufactured en-
(a) The vessel may not be manufac- gines.
tured from a previously certified ves-
sel, nor may it be manufactured from a [81 FR 74151, Oct. 25, 2016]
partially complete vessel that is equiv-
alent to a certified vessel. The vessel § 1042.650 Exemptions for migratory
must be manufactured primarily from vessels and auxiliary engines on
Category 3 vessels.
unassembled components, but may in-
corporate some preassembled compo- The provisions of this section apply
nents. For example, fully preassembled for Category 1 and Category 2 engines,
steering assemblies may be used. You including auxiliary engines installed
may also power the vessel with an en- on vessels with Category 3 propulsion
gine that was previously used in a engines. These provisions do not apply
highway or land-based nonroad applica- for any Category 3 engines. All engines
tion. exempted under this section must com-
(b) The vessel may not be sold within ply with the applicable requirements of
five years after the date of final assem- 40 CFR part 1043.
bly. (a) Temporary exemption. A vessel
(c) No individual may manufacture owner may ask us for a temporary ex-
more than one vessel in any ten-year emption from the tampering prohibi-
period under this exemption. tion in 40 CFR 1068.101(b)(1) for a vessel
(d) You may not use the vessel in any if it will operate for an extended period
revenue-generating service or for any outside the United States where ULSD
other commercial purpose, except that is not available. In your request, de-
you may use a vessel exempt under this scribe where the vessel will operate,
section for commercial fishing that how long it will operate there, why
you personally do. ULSD will be unavailable, and how you
(e) This exemption may not be used will modify the engine, including its
to circumvent the requirements of this emission controls. If we approve your
part or the requirements of the Clean request, you may modify the engine,
Air Act. For example, this exemption but only as needed to disable or remove
498
the emission controls needed for meet- USE SOLELY IN SOLAS VESSELS. IN-
ing the Tier 4 standards. You must re- STALLATION OR USE OF THIS ENGINE IN
turn the engine to its original certified ANY OTHER APPLICATION MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT
configuration before the vessel returns
TO CIVIL PENALTY.
to the United States to avoid violating
the tampering prohibition in 40 CFR (4) Operating a vessel containing an
1068.101(b)(1). We may set additional engine exempted under this paragraph
conditions to prevent circumvention of (b) violates the prohibitions in 40 CFR
the provisions of this part. 1068.101(a)(1) if the vessel in not in full
(b) SOLAS exemption. We may approve compliance with applicable require-
a permanent exemption from the prohi- ments for international safety speci-
bitions in 40 CFR 1068.101(a)(1) for an fied in paragraph (b)(1)(i) of this sec-
engine that is subject to Tier 4 stand- tion.
ards as described in this paragraph (b). (c) Vessels less than 500 gross tons. In
(1) Vessel owners may ask for a per- unusual circumstances for vessels less
manent exemption from the Tier 4 than 500 gross tons, we may approve a
standards for an engine that will be in- vessel owner’s request for a permanent
stalled on vessels that will operate for exemption from the prohibitions in 40
extended periods outside the United CFR 1068.101(a)(1) for an engine that is
States, provided they demonstrate all subject to Tier 4 standards that will
of the following are true: operate for extended periods outside
(i) Prior to introduction into service, the United States without it being in
the vessel will comply with applicable compliance with applicable certifi-
certification requirements for inter- cation requirements for international
national safety pursuant to the U.S. safety. We may set appropriate addi-
Coast Guard and the International tional conditions on such exemptions,
Convention for the Protection of Life and may void the exemption if those
at Sea (SOLAS). The vessel owner must conditions are not met.
maintain compliance with these re- (d) Auxiliary engines on Category 3 ves-
quirements for the life of the exempted sels. Auxiliary engines that will be in-
engine. stalled on vessels with Category 3 pro-
(ii) The vessel will be used in areas pulsion engines qualify for an exemp-
outside of the United States where tion from the standards of this part
ULSD will not be available. provided all the following conditions
(iii) The mix of vessels with engines are met:
certified to Tier 3 or earlier standards (1) To be eligible for this exemption,
in the owner’s current fleet and the the engine must meet all the following
owner’s current business operation of criteria.
those vessels makes the exemption (i) The engine must have an EIAPP
necessary. Note that because of the certificate demonstrating compliance
large fraction of pre-Tier 4 engines in with the applicable NOX standards of
the fleet prior to 2021, a request for a Annex VI and meet all other applicable
Tier 4 exemption prior to that year requirements of 40 CFR part 1043. En-
must clearly demonstrate that unusual gines installed on vessels constructed
circumstances apply. on or after January 1, 2016 must con-
(2) An engine exempted under this form fully to the Annex VI Tier III NOX
paragraph (b) must meet the Tier 3 standards as described in 40 CFR part
emission standards described in 1043 and meet all other applicable re-
§ 1402.101, subject to the procedural requirements in 40 CFR part 1043. En-
quirements of 40 CFR 1068.265. gines that would otherwise be subject
(3) If you introduce an engine into to the Tier 4 standards of this part
U.S. commerce under this section, you must also conform fully to the Annex
must meet the labeling requirements VITier III NOX standards as described
in § 1042.135, but add the following in 40 CFR part 1043.
statement instead of the compliance (ii) The engine may not be used for
statement in § 1042.135(c)(10): propulsion (except for emergency en-
gines).
THIS ENGINE DOES NOT COMPLY WITH

CURRENT U.S. EPA EMISSION STAND- (iii) Engines certified to the Annex
ARDS UNDER 40 CFR 1042.650 AND IS FOR VI Tier III standards may be equipped
499
§ 1042.655 40 CFR Ch. I (7–1–21 Edition)
with on-off NOX controls, as long as gines meet the Tier 3 standards. In un-
they conform to the requirements of usual circumstances, we may also
§§ 1042.110(d) and 1042.115(g); however, allow you to use this approach to dem-
the engines must comply fully with the onstrate that aftertreatment-equipped
Annex VI Tier II standards when the Category 2 engines meet the Tier 4
emission controls are disabled, and standards. We will generally approve
meet any other requirements that this for Category 2 engines only if the
apply underAnnex VI. engines are too large to be practically
(2) You must notify the Designated tested in a laboratory with a fully as-
Compliance Officer of your intent to sembled aftertreatment system. If we
use this exemption before you intro- approve this approach for a Category 2
duce engines into U.S. commerce, not engine, interpret references to Tier 3 in
later than the time that you apply for this section to mean Tier 4, and inter-
an EIAPP certificate for the engine pret references to Tier 2 in this section
under 40 CFR part 1043. to mean Tier 3.
(3) The remanufactured engine re- (b) Required testing. The emission-
quirements of subpart I of this part do
data engine must be tested as specified
not apply.
in subpart F of this part to verify that
(4) If you introduce an engine into
the engine-out emissions comply with
U.S. commerce under this paragraph
the Tier 2 standards. The catalyst ma-
(d), you must meet the labeling re-
quirements in § 1042.135, but add the fol- terial or other aftertreatment device
lowing statement instead of the com- must be tested under conditions that
pliance statement in § 1042.135(c)(10): accurately represent actual engine
THIS ENGINE DOES NOT COMPLY conditions for the test points. This cat-
WITH CURRENT U.S. EPA EMISSION alyst or aftertreatment testing may be
STANDARDS UNDER 40 CFR 1042.650 performed on a bench scale.
AND IS FOR USE SOLELY IN VES- (c) Engineering analysis. Include with
SELS WITH CATEGORY 3 PROPUL- your application a detailed engineering
SION ENGINES. INSTALLATION OR analysis describing how the test data
USE OF THIS ENGINE IN ANY OTHER collected for the engine and
APPLICATION MAY BE A VIOLATION aftertreatment demonstrate that all
OF FEDERAL LAW SUBJECT TO engines in the family will meet all ap-
CIVIL PENALTY. plicable emission standards. We may
(5) The reporting requirements of require that you submit this analysis
§ 1042.660 apply for engines exempted separately from your application, or
under this paragraph (d). that you obtain preliminary approval
[73 FR 37243, June 30, 2008, as amended at 75 under § 1042.210.
FR 23007, Apr. 30, 2010; 81 FR 74151, Oct. 25, (d) Verification. You must verify your
2016] design by testing a complete produc-
EFFECTIVE DATE NOTE: At 86 FR 34512, June tion engine with installed
29, 2021, § 1042.650 was amended, effective July aftertreatment in the final assembled
29, 2021. configuration. Unless we specify other-
wise, do this by complying with pro-
§ 1042.655 Special certification provi- duction-line testing requirements of
sions for Category 3 engines with subpart D of this part.
aftertreatment.
(e) Other requirements. All other re-
This section describes an optional ap- quirements of this part, including the
proach for demonstrating for certifi- non-testing requirements for certifi-
cation that catalyst-equipped engines cation, apply for these engines. Noth-
(or engines equipped with other ing in this section affects requirements
aftertreatment devices) comply with in other regulatory parts, such as
applicable emission standards. You Coast Guard safety requirements.
must use good engineering judgment
for all aspects of this allowance. [75 FR 23007, Apr. 30, 2010, as amended at 81
(a) Eligibility. You may use the provi- FR 74151, Oct. 25, 2016]
sions of this section without our prior

approval to demonstrate that 29, 2021, § 1042.655 was amended, effective July
aftertreatment-equipped Category 3 en- 29, 2021.
500
§ 1042.660 Requirements for vessel pair (or other maintenance) cannot be

manufacturers, owners, and opera- completed while at sea, it is not a vio-
tors. lation to continue operating the engine
(a) For vessels equipped with emis- to reach your destination.
sion controls requiring the use of spe- (2) It is a violation of 40 CFR
cific fuels, lubricants, or other fluids, 1068.101(b)(1) to operate the vessel with
owners and operators must comply the engine adjusted outside of the spec-
with the manufacturer/remanufactur- ified adjustable range. Each two-hour
er’s specifications for such fluids when period of such operation constitutes a
operating the vessels. Failure to com- separate offense. A violation lasting
ply with the requirements of this para- less than two hours constitutes a single
graph is a violation of 40 CFR offense.
1068.101(b)(1). For marine vessels that (3) The owner and operator of the en-
are excluded from the requirements of gine must maintain on board the vessel
40 CFR part 1043 because they operate records of all maintenance, repair, and
only domestically, it is also a violation adjustment that could reasonably af-
of 40 CFR 1068.101(b)(1) to operate the fect the emission performance of any
vessel using residual fuel on or after engine subject to the provision of this
January 1, 2015. Note that 40 CFR part part. Owners and operators must also
1090 also includes provisions that re- maintain, on board the vessel, records
strict the use of certain fuels by cer- regarding certification, parameter ad-
tain marine engines. justment, and fuels used. For engines
(b) For vessels equipped with SCR that are automatically adjusted elec-
systems requiring the use of urea or tronically, all adjustments must be
other reductants, owners and operators logged automatically. Owners and op-
must report to the Designated Enforce- erators must make these records avail-
ment Officer within 30 days any oper- able to EPA upon request. These
ation of such vessels without the ap- records must include the following:
propriate reductant. This includes ves-
(i) The Technical File, Record Book
sels with auxiliary engines certified to
of Engine Parameters, and bunker de-
Annex VI standards under § 1042.650(d).
livery notes as specified in 40 CFR
Failure to comply with the require-
1043.70. The Technical File must be
ments of this paragraph is a violation
transferred to subsequent purchasers in
of 40 CFR 1068.101(a)(2). Note that such
the event of a sale of the engine or ves-
operation is a violation of 40 CFR
1068.101(b)(1). sel. (ii) Specific descriptions of engine
(c) The provisions of this paragraph maintenance, repair, adjustment, and
(c) apply for marine vessels containing alteration (including rebuilding). The
Category 3 engines. descriptions must include at least the
(1) The requirements of this para- date, time, and nature of the mainte-
graph (c)(1) apply only for Category 3 nance, repair, adjustment, or alter-
engines. All maintenance, repair, ad- ation and the position of the vessel
justment, and alteration of Category 3 when the maintenance, repair, adjust-
engines subject to the provisions of ment, or alteration was made.
this part performed by any owner, op- (iii) Emission-related maintenance
erator or other maintenance provider instructions provided by the manufac-
must be performed using good engi- turer. These instructions must be
neering judgment, in such a manner transferred to subsequent purchasers in
that the engine continues (after the the event of a sale of the engine or ves-
maintenance, repair, adjustment or al- sel.
teration) to meet the emission stand- (4) Owners and operators of engines
ards it was certified as meeting prior equipped with on-off emission controls
to the need for service. This includes must comply with the requirements of
but is not limited to complying with this paragraph (c)(4) whenever a mal-
the maintenance instructions described function of the emission controls is in-
in § 1042.125. Adjustments are limited to dicated as specified in § 1042.110(d). You
the range specified by the engine man- must determine the cause of the mal-
ufacturer in the approved application function and remedy it consistent with

for certification. Note that where a re- paragraph (c)(1) of this section. See
501
§ 1042.670 40 CFR Ch. I (7–1–21 Edition)
paragraph (b) of this section if the mal- assistance to perform such tests or in-
function is due to either a lack of re- spections.
ductant or inadequate reductant qual-
ity. If the malfunction occurs during
FR 74151, Oct. 25, 2016; 85 FR 78468, Dec. 4,
the useful life, report the malfunction 2020]
to the certificate holder for investiga-
tion and compliance with defect re- § 1042.670 Special provisions for gas
porting requirements of 40 CFR 1068.501 turbine engines.
(unless the malfunction is due to oper-
ation without adequate urea or other The provisions of this section apply
malmaintenance). for gas turbine engines.
(d) For each marine vessel containing (a) Implementation schedule. The re-
a Category 3 engine, the owner must quirements of this part do not apply
annually review the vessel’s records for gas turbine engines below 600 kW
and submit to EPA a signed statement before the 2014 model year. The re-
certifying compliance during the pre- quirements of this part do not apply
ceding year with the requirements of for Tier 3 or earlier gas turbine engines
this part that are applicable to owners at or above 600 kW. The provisions of 40
and operators of such vessels. Alter- CFR part 1068 also do not apply for gas
nately, if review of the vessel’s records turbine engines produced in these ear-
indicates that there has been one or lier model years.
more violations of the requirements of (b) Special test procedures. Manufac-
this part, the owner must submit to turers seeking certification of gas tur-
EPA a signed statement specifying the bine engines must obtain preliminary
noncompliance, including the nature of approval of the test procedures to be
the noncompliance, the time of the used, consistent with § 1042.210 and 40
noncompliance, and any efforts made CFR 1065.10.
to remedy the noncompliance. The (c) Remanufacturing. The require-
statement of compliance (or non- ments of subpart I of this part do not
compliance) required by this paragraph apply for gas turbine engines.
must be signed by the executive with (d) Equivalent displacement. Apply dis-
responsibility for marine activities of placement-based provisions of this part
the owner. If the vessel is operated by by calculating an equivalent displace-
a different business entity than the ment from maximum engine power.
vessel owner, the reporting require- The equivalent per-cylinder displace-
ments of this paragraph (e) apply to ment (in liters) equals maximum en-
both the owner and the operator. Com- gine power in kW multiplied by 0.00311,
pliance with these review and certifi- except that all gas turbines with max-
cation requirements by either the ves- imum engine power above 9,300 kW are
sel owner or the vessel operator with considered to have an equivalent per-
respect to a compliance statement will cylinder displacement of 29.0 liters.
be considered compliance with these Also, determine the appropriate Tier 3
requirements by both of these parties standards for Category 1 engines based
for that compliance statement. The ex- on the engine having an equivalent
ecutive(s) may authorize a captain or power density below 35 kW per liter.
other primary operator to conduct this (e) Emission-related components. All
review and submit the certification, components meeting the criteria of 40
provided that the certification state- CFR 1068.501(a)(1) are considered to be
ment is accompanied by written au- emission-related components with re-
thorization for that individual to sub- spect to maintenance, warranty, and
mit such statements. The Adminis- defect reporting for gas turbine en-
trator may waive the requirements of
gines.
this paragraph when equivalent assur-
(f) Engines used for national defense.
ance of compliance is otherwise avail-
See § 1042.635 for provisions related to
able.
(e) Manufacturers, owners and opera- exempting gas turbine engines used for
tors must allow emission tests and in- national defense.
spections required by this part to be [75 FR 23008, Apr. 30, 2010, as amended at 81
conducted and must provide reasonable FR 74152, Oct. 25, 2016]
502
Subpart H—Averaging, Banking, (2) Commercial Category 1 engines.

and Trading for Certification (3) Category 2 engines.
(d) Emission credits generated by
§ 1042.701 General provisions. commercial Category 1 engine families
This subpart describes how you may may be used for compliance by Cat-
use emission credits to demonstrate egory 2 engine families. Such credits
that Category 1 and Category 2 engines must be discounted by 25 percent.
comply with emission standards under (e) You may not use emission credits
this part. The provisions of this sub- generated under this subpart to offset
part do not apply for Category 3 en- any emissions that exceed an FEL or
gines. standard. This applies for all testing,
(a) You may average, bank, and trade including certification testing, in-use
(ABT) emission credits for purposes of testing, selective enforcement audits,
certification as described in this sub- and other production-line testing. How-
part to show compliance with the ever, if emissions from an engine ex-
standards of this part. Participation in ceed an FEL or standard (for example,
this program is voluntary. during a selective enforcement audit),
(b) The definitions of subpart J of you may use emission credits to recer-
this part apply to this subpart. The fol- tify the engine family with a higher
lowing definitions also apply: FEL that applies only to future pro-
(1) Actual emission credits means emis- duction.
sion credits you have generated that (f) Engine families that use emission
we have verified by reviewing your credits for one or more pollutants may
final report. not generate positive emission credits
(2) Applicable emission standard means for another pollutant.
an emission standard that is specified (g) Emission credits may be used in
in subpart B of this part. Note that for the model year they are generated or
other subparts, ‘‘applicable emission in future model years. Emission credits
standard’’ is defined to also include may not be used for past model years.
FELs.
(h) You may increase or decrease an
(3) Averaging set means a set of en-
FEL during the model year by amend-
gines in which emission credits may be
ing your application for certification
exchanged only with other engines in
under § 1042.225.
the same averaging set.
(4) Broker means any entity that fa- (i) You may use NOX + HC credits to
cilitates a trade of emission credits be- show compliance with a NOX emission
tween a buyer and seller. standard or use NOX credits to show
(5) Buyer means the entity that re- compliance with a NOX + HC emission
ceives emission credits as a result of a standard.
trade. (j) NOX+HC and PM credits generated
(6) Reserved emission credits means under 40 CFR part 94 may be used
emission credits you have generated under this part in the same manner as
that we have not yet verified by re- NOX+HC and PM credits generated
viewing your final report. under this part.
(7) Seller means the entity that pro- (k) You may use either of the fol-
vides emission credits during a trade. lowing approaches to retire or forego
(8) Standard means the emission emission credits:
standard that applies under subpart B (1) You may retire emission credits
of this part for engines not partici- generated from any number of your en-
pating in the ABT program of this sub- gines. This may be considered donating
part. emission credits to the environment.
(9) Trade means to exchange emission Identify any such credits in the reports
credits, either as a buyer or seller. described in § 1042.730. Engines must
(c) Emission credits may be ex- comply with the applicable FELs even
changed only within an averaging set. if you donate or sell the corresponding
Except as specified in paragraph (d) of emission credits under this paragraph
this section, the following criteria de- (k). Those credits may no longer be
fine the applicable averaging sets: used by anyone to demonstrate compli-

(1) Recreational engines. ance with any EPA emission standards.
503
§ 1042.705 40 CFR Ch. I (7–1–21 Edition)
(2) You may certify a family using an (b) [Reserved]

FEL below the emission standard as (c) As described in § 1042.730, compli-
described in this part and choose not to ance with the requirements of this sub-
generate emission credits for that fam- part is determined at the end of the
ily. If you do this, you do not need to model year based on actual U.S.-di-
calculate emission credits for those rected production volumes. Do not in-
families and you do not need to submit clude any of the following engines to
or keep the associated records de- calculate emission credits:
scribed in this subpart for that family.
(1) Engines with a permanent exemp-
[73 FR 37243, June 30, 2008, as amended at 75 tion under subpart G of this part or
FR 23008, Apr. 30, 2010; 81 FR 74152, Oct. 25, under 40 CFR part 1068.
2016]
(2) Exported engines.
EFFECTIVE DATE NOTE: At 86 FR 34512, June (3) Engines not subject to the re-
29, 2021.
quirements of this part, such as those
excluded under § 1042.5.
§ 1042.705 Generating and calculating (4) [Reserved]
emission credits. (5) Any other engines, where we indi-
The provisions of this section apply cate elsewhere in this part 1042 that
separately for calculating emission they are not to be included in the cal-
credits for NOX, NOX + HC, or PM. culations of this subpart.
(a) For each participating family,
calculate positive or negative emission
FR 23008, Apr. 30, 2010; 81 FR 74152, Oct. 25,
credits relative to the otherwise appli-
2016]
cable emission standard. Calculate
positive emission credits for a family § 1042.710 Averaging emission credits.
that has an FEL below the standard.
Calculate negative emission credits for (a) Averaging is the exchange of
a family that has an FEL above the emission credits among your engine
standard. Sum your positive and nega- families.
tive credits for the model year before (b) You may certify one or more en-
rounding. Round the sum of emission gine families to an FEL above the
credits to the nearest kilogram (kg) emission standard, subject to the FEL
using consistent units throughout the caps and other provisions in subpart B
following equation: of this part, if you show in your appli-
Emission credits (kg) = (Std ¥ FEL) × cation for certification that your pro-
(Volume) × (Power) × (LF) × (UL) × jected balance of all emission-credit
(10¥3) transactions in that model year is
Where: greater than or equal to zero.
Std = The emission standard, in g/kW-hr. (c) If you certify an engine family to
FEL = The family emission limit for the en- an FEL that exceeds the otherwise ap-
gine family, in g/kW-hr. plicable emission standard, you must
Volume = The number of engines eligible to obtain enough emission credits to off-
participate in the averaging, banking,
and trading program within the given en- set the engine family’s deficit by the
gine family during the model year, as de- due date for the final report required in
scribed in paragraph (c) of this section. § 1042.730. The emission credits used to
Power = The average value of maximum en- address the deficit may come from
gine power of all the engine configura- your other engine families that gen-
tions within an engine family, calculated
on a production-weighted basis, in kilo-
erate emission credits in the same
watts. model year, from emission credits you
LF = Load factor. Use 0.69 for propulsion ma- have banked from previous model
rine engines and 0.51 for auxiliary marine years, or from emission credits gen-
engines. We may specify a different load erated in the same or previous model
factor if we approve the use of special
test procedures for an engine family
years that you obtained through trad-
under 40 CFR 1065.10(c)(2), consistent ing.
with good engineering judgment. [73 FR 37243, June 30, 2008, as amended at 81
UL = The useful life for the given engine
FR 74152, Oct. 25, 2016]
family, in hours.
504
§ 1042.715 Banking emission credits. gine family for each pollutant for
(a) Banking is the retention of emis- which you are using the ABT program.
sion credits by the manufacturer gen- Your FELs must comply with the spec-
erating the emission credits for use in ifications of subpart B of this part, in-
future model years for averaging or cluding the FEL caps. FELs must be
trading. expressed to the same number of dec-
(b) You may designate any emission imal places as the emission standards.
credits you plan to bank in the reports (b) Include the following in your ap-
you submit under § 1042.730 as reserved plication for certification:
credits. During the model year and be- (1) A statement that, to the best of
fore the due date for the final report, your belief, you will not have a nega-
you may designate your reserved emis- tive balance of emission credits for any
sion credits for averaging or trading. averaging set when all emission credits
(c) Reserved credits become actual are calculated at the end of the year.
emission credits when you submit your (2) Detailed calculations of projected
final report. However, we may revoke emission credits (positive or negative)
these emission credits if we are unable based on projected production volumes.
to verify them after reviewing your re- We may require you to include similar
ports or auditing your records. calculations from your other engine
families to demonstrate that you will
[75 FR 23009, Apr. 30, 2010]
be able to avoid negative credit bal-
§ 1042.720 Trading emission credits. ances for the model year. If you project
negative emission credits for a family,
(a) Trading is the exchange of emis- state the source of positive emission
sion credits between manufacturers. credits you expect to use to offset the
You may use traded emission credits negative emission credits.
for averaging, banking, or further trad-
ing transactions. [73 FR 37243, June 30, 2008, as amended at 75
(b) You may trade actual emission FR 23009, Apr. 30, 2010; 81 FR 74152, Oct. 25,
credits as described in this subpart. 2016]
credits, but we may revoke these emis- § 1042.730 ABT reports.
sion credits based on our review of (a) If any of your engine families are
your records or reports or those of the certified using the ABT provisions of
company with which you traded emis- this subpart, you must send an end-of-
sion credits. You may trade banked year report within 90 days after the end
credits within an averaging set to any of the model year and a final report
certifying manufacturer. within 270 days after the end of the
(c) If a negative emission credit bal- model year. We may waive the require-
ance results from a transaction, both ment to send the end-of-year report, as
the buyer and seller are liable, except long as you send the final report on
in cases we deem to involve fraud. See time.
§ 1042.255(e) for cases involving fraud. (b) Your end-of-year and final reports
We may void the certificates of all en- must include the following information
gine families participating in a trade for each engine family participating in
that results in a manufacturer having the ABT program:
a negative balance of emission credits. (1) Engine-family designation and
See § 1042.745. averaging set.
[73 FR 37243, June 30, 2008, as amended at 75 (2) The emission standards that
FR 23009, Apr. 30, 2010] would otherwise apply to the engine
family.
§ 1042.725 Information required for (3) The FEL for each pollutant. If you
the application for certification. change the FEL after the start of pro-
(a) You must declare in your applica- duction, identify the date that you
tion for certification your intent to use started using the new FEL and/or give
the provisions of this subpart for each the engine identification number for
engine family that will be certified the first engine covered by the new
using the ABT program. You must also FEL. In this case, identify each appli-
declare the FELs you select for the en- cable FEL and calculate the positive or
505
§ 1042.735 40 CFR Ch. I (7–1–21 Edition)
negative emission credits as specified (ii) A copy of any contracts related

in § 1042.225. to the trade.
(4) The projected and actual U.S.-di- (iii) How you intend to use the emis-
rected production volumes for the sion credits, including the number of
model year, as described in § 1042.705(c). emission credits you intend to apply
If you changed an FEL during the for each averaging set.
model year, identify the actual U.S.-di- (e) Send your reports electronically
rected production volume associated to the Designated Compliance Officer
with each FEL. using an approved information format.
(5) Maximum engine power for each If you want to use a different format,
engine configuration, and the average send us a written request with jus-
engine power weighted by U.S.-directed tification for a waiver.
production volumes for the engine fam- (f) Correct errors in your end-of-year
ily. report or final report as follows:
(6) Useful life. (1) You may correct any errors in
(7) Calculated positive or negative your end-of-year report when you pre-
emission credits for the whole engine pare the final report, as long as you
family. Identify any emission credits send us the final report by the time it
that you traded, as described in para- is due.
graph (d)(1) of this section. (2) If you or we determine within 270
days after the end of the model year
(c) Your end-of-year and final reports
that errors mistakenly decreased your
must include the following additional
balance of emission credits, you may
information:
correct the errors and recalculate the
(1) Show that your net balance of balance of emission credits. You may
emission credits from all your partici- not make these corrections for errors
pating engine families in each aver- that are determined more than 270 days
aging set in the applicable model year after the end of the model year. If you
is not negative. report a negative balance of emission
(2) State whether you will retain any credits, we may disallow corrections
emission credits for banking. If you under this paragraph (f)(2).
choose to retire emission credits that (3) If you or we determine anytime
would otherwise be eligible for bank- that errors mistakenly increased your
ing, identify the engine families that balance of emission credits, you must
generated the emission credits, includ- correct the errors and recalculate the
ing the number of emission credits balance of emission credits.
from each family.
(3) State that the report’s contents [73 FR 37243, June 30, 2008, as amended at 75
FR 23009, Apr. 30, 2010; 81 FR 74152, Oct. 25,
are accurate.
2016]
(d) If you trade emission credits, you
must send us a report within 90 days § 1042.735 Recordkeeping.
after the transaction, as follows:
(a) You must organize and maintain
(1) As the seller, you must include your records as described in this sec-
the following information in your re- tion.
port: (b) Keep the records required by this
(i) The corporate names of the buyer section for at least eight years after
and any brokers. the due date for the end-of-year report.
(ii) A copy of any contracts related You may not use emission credits for
to the trade. any engines if you do not keep all the
(iii) The averaging set corresponding records required under this section.
to the engine families that generated You must therefore keep these records
emission credits for the trade, includ- to continue to bank valid credits.
ing the number of emission credits (c) Keep a copy of the reports we re-
from each averaging set. quire in § 1042.730.
(2) As the buyer, you must include (d) Keep records of the engine identi-
the following information in your re- fication number for each engine you
port: produce that generates or uses emis-
(i) The corporate names of the seller sion credits under the ABT program.
and any brokers. You may identify these numbers as a
506
range. If you change the FEL after the kW, excluding those engines originally
start of production, identify the date manufactured before 1973. Note that
you started using each FEL and the the requirements of this subpart do not
range of engine identification numbers apply for engines below 600 kW, Cat-
associated with each FEL. You must egory 3 engines, engines installed on
also identify the purchaser and des- recreational vessels, or Tier 3 and later
tination for each engine you produce to engines.
the extent this information is avail- (b) Any person meeting the definition
able. of ‘‘remanufacturer’’ in § 1042.901 may
(e) We may require you to keep addi- apply for a certificate of conformity
tional records or to send us relevant infor a remanufactured engine family.
formation not required by this section (c) The rebuilding requirements of 40
in accordance with the Clean Air Act. CFR 1068.120 do not apply to remanu-
facturing of engines using a certified
FR 23009, Apr. 30, 2010; 81 FR 74153, Oct. 25, remanufacturing system under this
2016] subpart. However, the requirements of
40 CFR 1068.120 do apply to all other re-
§ 1042.745 Noncompliance. manufacturing of engines.
(a) For each engine family partici- (d) Unless specified otherwise, en-
pating in the ABT program, the certifi- gines certified under this subpart are
cate of conformity is conditional upon also subject to the other requirements
full compliance with the provisions of of this part.
this subpart during and after the model (e) For remanufactured engines re-
year. You are responsible to establish quired to have a valid certificate of
to our satisfaction that you fully com- conformity, placing a new marine en-
ply with applicable requirements. We gine back into service following re-
may void the certificate of conformity manufacturing is a violation of 40 CFR
for an engine family if you fail to com- 1068.101(a)(1), unless it has a valid cer-
ply with any provisions of this subpart. tificate of conformity for its model
year and the required label.
(b) You may certify your engine fam-
(f) Remanufacturing systems that re-
ily to an FEL above an emission stand-
quire a fuel change or use of a fuel ad-
ard based on a projection that you will
ditive may be certified under this part.
have enough emission credits to offset
However, they are not considered to be
the deficit for the engine family. How-
‘‘available’’ with respect to triggering
ever, we may void the certificate of
the requirement for an engine to be
conformity if you cannot show in your
covered by a certificate of conformity
final report that you have enough ac-
under § 1042.815. The following provi-
tual emission credits to offset a deficit
sions apply:
for any pollutant in an engine family.
(1) Only fuels and additives registered
(c) We may void the certificate of
under 40 CFR part 79 may be used
conformity for an engine family if you
under this paragraph (f).
fail to keep records, send reports, or
(2) You must demonstrate in your ap-
give us information we request.
plication that the fuel or additive will
(d) You may ask for a hearing if we
actually be used by operators, includ-
void your certificate under this section
ing a description of how the vessels and
(see § 1042.920).
dispensing tanks will be labeled. We
may require you to provide the labels
Subpart I—Special Provisions for to the operators.
Remanufactured Marine Engines (3) You must also describe analytical
methods that can be used by EPA or
§ 1042.801 General provisions. others to verify that fuel meets your
This subpart describes how the provi- specifications.
sions of this part 1042 apply for certain (4) You must provide clear instruc-
remanufactured marine engines. tions to the operators specifying that
(a) The requirements of this subpart they may only use the specified fuel/ad-
apply for remanufactured Tier 2 and ditive, label their vessels and fuel dis-
earlier commercial Category 1 and Cat- pensing tanks, and keep records of
egory 2 marine engines at or above 600 their use of the fuel/additive in order
507
§ 1042.810 40 CFR Ch. I (7–1–21 Edition)
for their engine to be covered by your time may qualify as remanufacturing,

certificate. Use of the incorrect fuel (or depending on the interval between re-
fuel without the specified additive) or placement.)
any other failure to comply with the (b) See the definition of ‘‘new marine
requirements of this paragraph is a vio- engine’’ in § 1042.901 to determine if re-
lation of 40 CFR 1068.101(b)(1). manufacturing your engine makes it
(g) Vessels equipped with emission subject to the requirements of this
controls as part of a state or local ret- part. If the engine is considered to be
rofit program prior to January 1, 2017 new, it is subject to the certification
are exempt from the requirements of requirements of this subpart, unless it
this subpart, as specified in this para- is exempt under subpart G of this part.
graph (g). (c) Your engine is not subject to the
(1) This exemption only applies for standards of this subpart if we deter-
retrofit programs sponsored by a state mine that no certified remanufacturing
government (or one of its political sub- system is available for your engine as
divisions) for the purpose of reducing described in § 1042.815. For engines that
emissions. The exemption does not are remanufactured during multiple
apply where the sponsoring govern- events within a five-year period, you
ment specifies that inclusion in the are not required to use a certified sys-
retrofit program is not intended to pro- tem until all of your engine’s cylinders
vide an exemption from the require- have been replaced after the system be-
ments of this subpart. came available. For example, if you re-
(2) The prohibitions against tam- manufacture your 16-cylinder engine
pering and defeat devices in 40 CFR by replacing four cylinders each Janu-
1068.101(b) and the rebuilding require- ary and a system becomes available for
ments in 40 CFR 1068.120 apply for the your engine June 1, 2010, your engine
exempt engines in the same manner as must be in a certified configuration
if they were covered by a certificate. when you replace four cylinders in Jan-
(3) Vessel owners must request an ex- uary of 2014. At that point, all 16 cyl-
emption prior to remanufacturing the inders would have been replaced after
engine. Your request must include doc- June 1, 2010.
umentation that your vessel has been (d) You may comply with the certifi-
retrofitted consistent with the speci- cation requirements of this part for
fications of paragraph (g)(1) of this sec- your remanufactured engine by either
tion, and a signed statement declaring obtaining your own certificate of con-
that to be true. Except for the initial formity as specified in subpart C of this
request for a specific vessel and a spe- part or by having a certifying remanu-
cific retrofit, you may consider your facturer include your engine under its
request to be approved unless we notify certificate of conformity. In either
you otherwise within 30 days of the case, your remanufactured engine must
date that we receive your request. be covered by a certificate before it is
[73 FR 37243, June 30, 2008, as amended at 73 reintroduced into service.
FR 59194, Oct. 8, 2008; 75 FR 23009, Apr. 30, (e) Contact a certifying remanufac-
2010] turer to have your engine included
EFFECTIVE DATE NOTE: At 86 FR 34512, June under its certificate of conformity. You
29, 2021, § 1042.801 was amended, effective July must comply with the certificate hold-
29, 2021. er’s emission-related installation in-
structions.
§ 1042.810 Requirements for owner/op-
erators and installers during re- [73 FR 37243, June 30, 2008, as amended at 81
manufacture. FR 74153, Oct. 25, 2016]
This section describes how the re-
manufacturing regulations affect § 1042.815 Demonstrating availability.
owner/operators and installers for en- (a) A certified remanufacturing sys-
gines subject to this subpart. tem is considered to be available for a
(a) See the definition of ‘‘remanufac- specific engine only if EPA has cer-
ture’’ in § 1042.901 to determine if you tified the remanufacturing system as
are remanufacturing your engine. being in compliance with the provi-

(NOTE: Replacing cylinders one at a sions of this part and the certificate
508
holder has demonstrated during certifi- (iii) Incremental operating costs over
cation that the system meets the cri- one useful life period.
teria of this paragraph (a). We may (iv) Other costs (such as shipping).
issue a certificate for a remanufac- (2) Calculate the projected amount
turing system that does not meet these that PM emissions will be reduced over
criteria, but such systems would not be the engine’s useful life using the fol-
considered available. lowing equation:
(1) The engine configuration must be PM tons = (EFbase ¥ EFcont) × (PR) ×
included in the engine family for the (UL) × (LF) × (10¥6)
remanufacturing system.
(2) The total marginal cost of the re- Where:
manufacturing system, as calculated EFbase = deteriorated baseline PM emission
under paragraph (c) of this section, rate (g/kW-hr).
must be less than $45,000 per ton of PM EFcont = deteriorated controlled PM emission
reduction. rate (g/kW-hr).
PR = maximum engine power for the engine
(3) It must be possible to obtain and
(kW).
install the remanufacturing system in UL = useful life (hr).
a timely manner consistent with nor- LF = the load factor that would apply for
mal remanufacturing procedures. For your engine under § 1042.705.
example, a remanufacturing system
would generally not be considered to be § 1042.820 Emission standards and re-
available if it required that the engine quired emission reductions for re-
be removed from the vessel and shipped manufactured engines.
to a factory to be remanufactured. (a) The requirements of this section
(4) The remanufacturing system may apply with respect to emissions as
result in increased maintenance costs, measured according to subpart F of
provided the incremental maintenance this part. See paragraph (g) of this sec-
costs are included in the total costs. tion for special provisions related to
The remanufacturing system may not remanufacturing systems certified for
adversely affect engine reliability or both locomotive and marine engines.
power. Note that owner/operators may Remanufactured Tier 2 and earlier en-
ask us to determine that a remanufac- gines may be certified under this sub-
turing system is not considered avail- part only if they have NOX emissions
able for their vessels because of exces- equivalent to or less than baseline NOX
sive costs under § 1042.850. levels and PM emissions at least 25.0
(b) We will maintain a list of avail- percent less than baseline PM emission
able remanufacturing systems. A new levels. See § 1042.825 for provisions for
remanufacturing system is considered determining baseline NOX and PM
to be available 120 days after we first emissions. See § 1042.835 for provisions
issue a certificate of conformity for it. related to demonstrating compliance
Where we issue a certificate of con- with these requirements.
formity based on carryover data for a (b) The NTE and ABT provisions of
system that is already considered to be this part do not apply for remanufac-
available for the configuration, the 120- tured engines.
day delay does not apply and the new (c) The exhaust emission standards in
system is considered to be available this section apply for engines using the
when we issue the certificate. fuel type on which the engines in the
(c) For the purpose of paragraph engine family are designed to operate.
(a)(2) of this section, marginal cost Engines designed to operate using re-
means the difference in costs between sidual fuel must comply with the
remanufacturing the engine using the standards and requirements of this
remanufacturing system and remanu- part when operated using residual fuel.
facturing the engine conventionally, (d) Your engines must meet the ex-
divided by the projected amount that haust emission standards of this sec-
PM emissions will be reduced over the tion over their full useful life, as de-
engine’s useful life. fined in § 1042.101(e).
(1) Total costs include: (e) The duty-cycle emission stand-
(i) Incremental hardware costs. ards in this subpart apply to all testing
(ii) Incremental labor costs. performed according to the procedures
509
§ 1042.825 40 CFR Ch. I (7–1–21 Edition)
in § 1042.505, including certification, engineering judgment, consistent with

production-line, and in-use testing. the provisions of 40 CFR 1068.5.
(f) Sections 1042.120, 1042.125, 1042.130,
1042.140 apply for remanufactured en- § 1042.830 Labeling.
gines as written. Section 1042.115 ap- (a) The labeling requirements of this
plies for remanufactured engines as paragraph (a) apply for remanufac-
written, except for the requirement turing that is subject to the standards
that electronically controlled engines of this subpart. At the time of remanu-
broadcast their speed and output shaft facture, affix a permanent and legible
torque. label identifying each engine. The label
(g) A remanufacturing system cer- must be—
tified for locomotive engines under 40 (1) Attached in one piece so it is not
CFR part 1033 may be deemed to also removable without being destroyed or
meet the requirements of this section, defaced.
as specified in § 1042.836. (2) Secured to a part of the engine
§ 1042.825 Baseline determination. needed for normal operation and not
normally requiring replacement.
(a) For the purpose of this subpart, (3) Durable and readable for the en-
the term ‘‘baseline emissions’’ means gine’s entire useful life.
the average measured emission rate
(4) Written in English.
specified by this section. Baseline
(b) The label required under para-
emissions are specific to a given cer-
graph (a) of this section must—
tificate holder and a given engine con-
figuration. (1) Include the heading ‘‘EMISSION
(b) Select a used engine to be the CONTROL INFORMATION’’.
emission-data engine for the engine (2) Include your full corporate name
family for testing. Using good engi- and trademark.
neering judgment, select the engine (3) Include EPA’s standardized des-
configuration expected to represent the ignation for the engine family.
most common configuration in the (4) State the engine’s category, dis-
family. placement (in liters or L/cyl), max-
(c) Remanufacture the engine accord- imum engine power (in kW), and power
ing to OEM specifications (or equiva- density (in kW/L) as needed to deter-
lent). The engine is considered ‘‘the mine the emission standards for the en-
baseline engine’’ at this point. If the gine family. You may specify displace-
OEM specifications include a range of ment, maximum engine power, and
adjustment for any parameter, set the power density as ranges consistent
parameter to the midpoint of the with the ranges listed in § 1042.101. See
range. You may ask us to allow you to § 1042.140 for descriptions of how to
adjust it differently, consistent with specify per-cylinder displacement,
good engineering judgment. maximum engine power, and power
(d) Test the baseline engine four density.
times according to the test procedures (5) State: ‘‘THIS MARINE ENGINE
in subpart F of this part. The baseline MEETS THE STANDARDS OF 40 CFR
emissions are the average of those four PART 1042, SUBPART I, FOR [CAL-
tests. ENDAR YEAR OF REMANUFAC-
(e) We may require you to test a sec- TURE].’’
ond engine of the same or different (c) For remanufactured engines that
configuration in addition to the engine are subject to this subpart as described
tested under this section. If we require in § 1042.801(a), but are not subject to
you to test the same configuration, av- remanufacturing standards as allowed
erage the results of the testing with by § 1042.810 or § 1042.815, you may vol-
previous results, unless we determine untarily add a label as specified in
that your previous results are not paragraphs (a) and (b) of this section,
valid. except that the label must omit the
(f) Use good engineering judgment for standardized designation for the engine
all aspects of the baseline determina- family and include the following alter-
tion. We may reject your baseline if we native compliance statement: ‘‘THIS

determine that you did not use good MARINE ENGINE IS NOT SUBJECT
510
TO REMANUFACTURING STAND- testing at your plant, you must sched-

ARDS UNDER 40 CFR PART 1042, SUB- ule it as soon as possible and make
PART I, FOR [CALENDAR YEAR OF available the instruments, personnel,
REMANUFACTURE].’’ and equipment we need.
(d) You may add information to the (ii) If we measure emissions from one
emission control information label to of your test engines, the results of that
identify other emission standards that testing become the official emission re-
the engine meets or does not meet sults for the engine. Unless we later in-
(such as international standards). You validate these data, we may decide not
may also add other information to en- to consider your data in determining if
sure that the engine will be properly your engine family meets applicable
maintained and used. requirements.
(e) You may ask us to approve modi- (iii) Before we test one of your en-
fied labeling requirements in this sec- gines, we may set its adjustable param-
tion if you show that it is necessary or eters to any point within the specified
appropriate. We will approve your re- adjustable ranges (see § 1042.115(d)).
quest if your alternate label is con- (iv) Before we test one of your en-
sistent with the intent of the labeling gines, we may calibrate it within nor-
requirements of this section. mal production tolerances for anything
[81 FR 74153, Oct. 25, 2016] we do not consider an adjustable pa-
rameter.
§ 1042.835 Certification of remanufac- (4) You may ask to use emission data
tured engines. from a previous model year instead of
(a) General requirements. See doing new tests, but only if all the fol-
§§ 1042.201, 1042.210, 1042.220, 1042.225, lowing are true:
1042.250, and 1042.255 for the general re- (i) The engine family from the pre-
quirements related to obtaining a cer- vious model year differs from the cur-
tificate of conformity. See § 1042.836 for rent engine family only with respect to
special certification provisions for re- model year or other characteristics un-
manufacturing systems certified for lo- related to emissions. You may also ask
comotive engines under 40 CFR to add a configuration subject to
1033.936. § 1042.225.
(b) Applications. See § 1042.840 for a de- (ii) The emission-data engine from
scription of what you must include in the previous model year remains the
your application. appropriate emission-data engine.
(c) Engine families. See § 1042.845 for (iii) The data show that the emission-
instruction about dividing your en- data engine would meet all the require-
gines into engine families. ments that apply to the engine family
(d) Test data. (1) Measure baseline covered by the application for certifi-
emissions for the test configuration as cation.
specified in § 1042.825. (5) We may require you to test a sec-
(2) Measure emissions from the test ond engine of the same or different
engine for your remanufacturing sys- configuration in addition to the engine
tem according to the procedures of sub- tested under this section.
part F of this part. (6) If you use an alternate test proce-
(3) We may measure emissions from dure under 40 CFR 1065.10 and later
any of your test engines or other en- testing shows that such testing does
gines from the engine family, as fol- not produce results that are equivalent
lows: to the procedures specified in subpart F
(i) We may decide to do the testing at of this part, we may reject data you
your plant or any other facility. If we generated using the alternate proce-
do this, you must deliver the test endure.
gine to a test facility we designate. (e) Demonstrating compliance. (1) For
The test engine you provide must in- purposes of certification, your engine
clude appropriate manifolds, family is considered in compliance
aftertreatment devices, electronic con- with the emission standards in
trol units, and other emission-related § 1042.820 if all emission-data engines
components not normally attached di- representing that family have test re-
rectly to the engine block. If we do the sults showing compliance with the
511
§ 1042.836 40 CFR Ch. I (7–1–21 Edition)
standards and percent reductions re- § 1042.836 Marine certification of loco-

quired by that section. To compare motive remanufacturing systems.
emission levels from the emission-data If you certify a Tier 0, Tier 1, or Tier
engine with the applicable emission 2 remanufacturing system for loco-
standards, apply an additive deteriora- motives under 40 CFR part 1033, you
tion factor of 0.015 g/kW-hr to the may also certify the system under this
measured emission levels for PM. Al- part 1042, according to the provisions of
ternatively, you may test your engine this section. Note that in certain cases
as specified in § 1042.245 to develop dete- before 2013, locomotives may be cer-
rioration factors that represent the de- tified under 40 CFR part 1033 to the
terioration expected in emissions over standards of 40 CFR part 92.
your engines’ full useful life. (a) Include the following with your
(2) Collect emission data using meas- application for certification under 40
urements to one more decimal place CFR part 1033 (or as an amendment to
than the applicable standard. Apply your application):
the deterioration factor to the official (1) A statement of your intent to use
emission result, then round the ad- your remanufacturing system for ma-
justed figure to the same number of rine engines. Include a list of marine
decimal places as the emission stand- engine models for which your system
ard. Compare the rounded emission lev- may be used.
els to the emission standard for each (2) If there are significant differences
emission-data engine. in how your remanufacture system will
(3) Your applicable NOX standard for be applied to marine engines relative
each configuration is the baseline NOX to locomotives, in an engineering anal-
emission rate for that configuration ysis demonstrating that your system
plus 5.0 percent (to account for test-to- will achieve emission reductions from
test and engine-to-engine variability). marine engines similar to those from
Your applicable PM standard for each locomotives.
configuration is the baseline PM emis- (3) A description of modifications
sion rate for that configuration multi- needed for marine applications.
plied by 0.750 plus the deterioration (4) A demonstration of availability as
factor. If you choose to include con- described in § 1042.815, except that the
figurations in your engine family for total marginal cost threshold does not
which you do not measure baseline apply.
emissions, you must demonstrate (5) An unconditional statement that
through engineering analysis that your all the engines in the engine family
remanufacturing system will reduce comply with the requirements of this
PM emissions by at least 25.0 percent part, other referenced parts of the
for those configurations and not in- CFR, and the Clean Air Act.
crease NOX emissions. (b) Sections 1042.835 and 1042.840 do
(4) Your engine family is deemed not not apply for engines certified under
to comply if any emission-data engine this section.
representing that family for certifi- (c) Systems certified to the standards
cation has test results showing a dete- of 40 CFR part 92 are subject to the fol-
riorated emission level above an appli- lowing restrictions:
cable emission standard for any pollut- (1) Tier 0 locomotive systems may
ant. not be used for any Category 1 engines
(f) Safety Evaluation. You must exer- or Tier 1 or later Category 2 engines.
cise due diligence in ensuring that your (2) Where systems certified to the
system will not adversely affect safety standards of 40 CFR part 1033 are also
or otherwise violate the prohibition of available for an engine, you may not
§ 1042.115(e). use a system certified to the standards
(g) Compatibility Evaluation. If you are of 40 CFR part 92.
not the original manufacturer of the [73 FR 37243, June 30, 2008, as amended at 73
engine, you must contact the original FR 59194, Oct. 8, 2008; 75 FR 23009, Apr. 30,
manufacturer of the engine to verify 2010; 81 FR 74153, Oct. 25, 2016]
that your system is compatible with

the engine. Keep records of your con- 29, 2021, § 1042.836 was amended, effective July
tact with the original manufacturer. 29, 2021.
512
§ 1042.840 Application requirements (h) Identify the engine family’s use-

for remanufactured engines. ful life.
This section specifies the informa- (i) Include the maintenance and war-
tion that must be in your application, ranty instructions you will give to the
unless we ask you to include less infor- owner/operator (see §§ 1042.120 and
mation under § 1042.201(c). We may re- 1042.125).
quire you to provide additional infor- (j) Include the emission-related in-
mation to evaluate your application. stallation instructions you will provide
(a) Describe the engine family’s spec- if someone else installs your engines in
ifications and other basic parameters a vessel (see § 1042.130).
of the engine’s design and emission (k) Describe your emission control
controls. List the fuel type on which information label (see § 1042.830).
your engines are designed to operate (l) Identify the engine family’s dete-
(for example, ultra low-sulfur diesel rioration factors and describe how you
fuel). List each distinguishable engine developed them (see § 1042.245). Present
configuration in the engine family. For any emission test data you used for
each engine configuration, list the this.
maximum engine power and the range (m) State that you operated your
of values for maximum engine power emission-data engines as described in
resulting from production tolerances, the application (including the test pro-
as described in § 1042.140. cedures, test parameters, and test
(b) Explain how the emission control fuels) to show you meet the require-
system operates. Describe in detail all ments of this part.
system components for controlling ex- (n) Present emission data for HC,
haust emissions, including any auxil- NOX, PM, and CO as required by
iary emission control devices (AECDs) § 1042.820. Show emission figures before
you add to the engine. Identify the part and after applying adjustment factors
number of each component you de- for regeneration and deterioration fac-
scribe. tors for each pollutant and for each en-
(c) Summarize the cost effectiveness gine.
analysis used to demonstrate your sys- (o) Report all valid test results. Also
tem will meet the availability criteria indicate whether there are test results
of § 1042.815. Identify the maximum al- from invalid tests or from any other
lowable costs for vessel modifications tests of the emission-data engine,
to meet these criteria. whether or not they were conducted ac-
(d) Describe the engines you selected cording to the test procedures of sub-
for testing and the reasons for select- part F of this part. If you measure CO2,
ing them. report those emission levels. We may
(e) Describe the test equipment and require you to report these additional
procedures that you used, including the test results. We may ask you to send
duty cycle(s) and the corresponding en- other information to confirm that your
gine applications. Also describe any tests were valid under the require-
special or alternate test procedures ments of this part and 40 CFR part 1065.
you used. (p) Describe all adjustable operating
(f) Describe how you operated the parameters (see § 1042.115(d)), including
emission-data engine before testing, in- production tolerances. Include the fol-
cluding the duty cycle and the number lowing in your description of each pa-
of engine operating hours used to sta- rameter:
bilize emission levels. Explain why you (1) The nominal or recommended set-
selected the method of service accumu- ting.
lation. Describe any scheduled mainte- (2) The intended physically adjust-
nance you did. able range.
(g) List the specifications of the test (3) The limits or stops used to estab-
fuel to show that it falls within the re- lish adjustable ranges.
quired ranges we specify in 40 CFR part (4) For Category 1 engines, informa-
1065. See § 1042.801 if your certification tion showing why the limits, stops, or
is based on the use of special fuels or other means of inhibiting adjustment

additives. are effective in preventing adjustment
513
§ 1042.845 40 CFR Ch. I (7–1–21 Edition)
of parameters on in-use engines to set- (4) Method of exhaust aftertreatment

tings outside your intended physically (for example, catalytic converter or
adjustable ranges. particulate trap).
(5) For Category 2 engines, propose a (5) Combustion chamber design.
range of adjustment for each adjust- (6) Nominal bore and stroke.
able parameter, as described in (7) Method of control for engine oper-
§ 1042.115(d). Include information show- ation other than governing (i.e., me-
ing why the limits, stops, or other chanical or electronic).
means of inhibiting adjustment are ef- (8) Original engine manufacturer.
fective in preventing adjustment of pa- (c) Alternatively, you may ask us to
rameters on in-use engines to settings allow you to include other engine con-
outside your proposed adjustable figurations in your engine family, con-
ranges. sistent with good engineering judg-
(q) Unconditionally certify that all ment.
the engines in the engine family com- (d) Do not include in your family any
ply with the requirements of this part, configurations for which good engi-
other referenced parts of the CFR, and neering judgment indicates that your
the Clean Air Act. emission controls are unlikely to pro-
(r) Include the information required vide PM emission reductions similar to
by other subparts of this part. the configuration(s) tested.
(s) Include other applicable informa-
tion, such as information specified in § 1042.850 Exemptions and hardship
this part or 40 CFR part 1068 related to relief.
requests for exemptions. This section describes exemption and
(t) Name an agent for service located hardship provisions that are available
in the United States. Service on this for owner/operators of engines subject
agent constitutes service on you or any to the provisions of this subpart.
of your officers or employees for any (a) Vessels owned and operated by en-
action by EPA or otherwise by the tities that meet the size criterion of
United States related to the require- this paragraph (a) are exempt from the
ments of this part. requirements of this subpart I. To be
(u) If you are not the original manu- exempt, your gross annual revenue for
facturer of the engine, include a sum- the calendar year before the remanu-
mary of your contact with the original facture must be less than $5,000,000 in
manufacturer of the engine and provide 2008 dollars or the equivalent value for
to us any documentation provided to future years based on the Bureau of
you by the original manufacturer. Labor Statistics’ Producer Price Index
[73 FR 37243, June 30, 2008, as amended at 81 (see www.bls.gov). Include all revenues
FR 74153, Oct. 25, 2016] from any parent company and its sub-
sidiaries. The exemption applies only
§ 1042.845 Remanufactured engine for years in which you meet this cri-
families. terion.
(a) For purposes of certification, di- (b) In unusual circumstances, we may
vide your product line into families of exempt you from an otherwise applica-
engines that are expected to have simi- ble requirement that you apply a cer-
lar emission characteristics through- tified remanufacturing system when
out the useful life as described in this remanufacturing your marine engine.
section. You may not group Category 1 (1) To be eligible, you must dem-
and Category 2 engines in the same onstrate that all of the following are
family. true:
(b) In general, group engines in the (i) Unusual circumstances prevent
same engine family if they are the you from meeting requirements from
same in all the following aspects: this chapter.
(1) The combustion cycle and fuel (ii) You have taken all reasonable
(the fuels with which the engine is in- steps to minimize the extent of the
tended or designed to be operated). nonconformity.
(2) The cooling system (for example, (iii) Not having the exemption will
raw-water vs. separate-circuit cooling). jeopardize the solvency of your com-

(3) Method of air aspiration. pany.
514
(iv) No other allowances are avail- cludes, but is not limited to, param-
able under the regulations in this chap- eters related to injection timing and
ter to avoid the impending violation. fueling rate. You may ask us to ex-
(2) Send the Designated Compliance clude a parameter that is difficult to
Officer a written request for an exemp- access if it cannot be adjusted to affect
tion before you are in violation. emissions without significantly de-
(3) We may impose other conditions, grading engine performance, or if you
including provisions to use an engine otherwise show us that it will not be
meeting less stringent emission stand- adjusted in a way that affects emis-
ards or to recover the lost environ- sions during in-use operation.
mental benefit. Aftertreatment means relating to a
(4) In determining whether to grant catalytic converter, particulate filter,
the exemptions, we will consider all or any other system, component, or
relevant factors, including the fol- technology mounted downstream of the
lowing: exhaust valve (or exhaust port) whose
(i) The number of engines to be ex-
design function is to decrease emis-
empted.
sions in the engine exhaust before it is
(ii) The size of your company and
exhausted to the environment. Ex-
your ability to endure the hardship.
(iii) The length of time a vessel is exhaust-gas recirculation and
pected to remain in service. turbochargers are not aftertreatment.
(c) If you believe that a remanufac- Alcohol-fueled engine means an engine
turing system that we identified as that is designed to run using an alcohol
being available cannot be installed fuel. For purposes of this definition, al-
without significant modification of cohol fuels do not include fuels with a
your vessel, you may ask us to deter- nominal alcohol content below 25 per-
mine that a remanufacturing system is cent by volume.
not considered available for your vessel Amphibious vehicle means a vehicle
because the cost would exceed the total with wheels or tracks that is designed
marginal cost threshold in primarily for operation on land and
§ 1042.815(a)(2). secondarily for operation in water.
(d) Other exemptions specified in sub- 2008 Annex VI means MARPOL Annex
part G of this part and 40 CFR part VI, which is an annex to the Inter-
1068, subparts C and D also apply to re- national Convention on the Prevention
manufactured engines. For example, of Pollution from Ships, 1973, as modi-
the national security exemption ap- fied by the protocol of 1978 relating
plies to remanufactured engines as de- thereto (incorporated by reference in
scribed in § 1042.635. § 1042.910).
[73 FR 37243, June 30, 2008, as amended at 74 Applicable emission standard or appli-
FR 8426, Feb. 24, 2009; 75 FR 23009, Apr. 30, cable standard means an emission
2010; 81 FR 74153, Oct. 25, 2016] standard to which an engine is subject;
or, where an engine has been or is
Subpart J—Definitions and Other being certified to another standard or
Reference Information FEL, applicable emission standards
means the FEL and other standards to
§ 1042.901 Definitions. which the engine has been or is being
The following definitions apply to certified. This definition does not
this part. The definitions apply to all apply to subpart H of this part.
subparts unless we note otherwise. All Auxiliary emission control device means
undefined terms have the meaning the any element of design that senses tem-
Clean Air Act gives to them. The defi- perature, vessel speed, engine RPM,
nitions follow: transmission gear, or any other param-
Adjustable parameter means any de- eter for the purpose of activating, mod-
vice, system, or element of design that ulating, delaying, or deactivating the
someone can adjust (including those operation of any part of the emission
which are difficult to access) and that, control system.
if adjusted, may affect emissions or en- Base engine means a land-based en-
gine performance during emission test- gine to be marinized, as configured

ing or normal in-use operation. This in- prior to marinization.
515
§ 1042.901 40 CFR Ch. I (7–1–21 Edition)
Baseline emissions has the meaning deemed to be compression-ignition en-

given in § 1042.825. gines in § 1042.1.
Brake power means the usable power Constant-speed engine means an en-
output of the engine, not including gine whose certification is limited to
power required to fuel, lubricate, or constant-speed operation. Engines
heat the engine, circulate coolant to whose constant-speed governor func-
the engine, or to operate tion is removed or disabled are no
aftertreatment devices. longer constant-speed engines.
Calibration means the set of specifica- Constant-speed operation has the
tions and tolerances specific to a par- meaning given in 40 CFR 1065.1001.
ticular design, version, or application Crankcase emissions means airborne
of a component or assembly capable of substances emitted to the atmosphere
functionally describing its operation from any part of the engine crank-
over its working range. case’s ventilation or lubrication sys-
Carryover means relating to certifi- tems. The crankcase is the housing for
cation based on emission data gen- the crankshaft and other related inter-
erated from an earlier model year as nal parts.
described in § 1042.235(d). Critical emission-related component
Category 1 means relating to a marine means any of the following compo-
engine with specific engine displace- nents:
ment below 7.0 liters per cylinder. See (1) Electronic control units,
§ 1042.670 to determine equivalent per- aftertreatment devices, fuel-metering
cylinder displacement for nonrecipro- components, EGR-system components,
cating marine engines (such as gas tur- crankcase-ventilation valves, all com-
bine engines). ponents related to charge-air compres-
Category 2 means relating to a marine sion and cooling, and all sensors and
engine with a specific engine displace- actuators associated with any of these
ment at or above 7.0 liters per cylinder components.
but less than 30.0 liters per cylinder.
(2) Any other component whose pri-
See § 1042.670 to determine equivalent
mary purpose is to reduce emissions.
per-cylinder displacement for nonrecip-
rocating marine engines (such as gas Date of manufacture has the meaning
turbine engines). given in 40 CFR 1068.30.
Category 3 means relating to a recip- Days means calendar days, unless
rocating marine engine with a specific otherwise specified. For example,
engine displacement at or above 30.0 li- where we specify working days, we
ters per cylinder. mean calendar days excluding week-
Certification means relating to the ends and U.S. national holidays.
process of obtaining a certificate of Designated Compliance Officer means
conformity for an engine family that the Director, Diesel Engine Compliance
complies with the emission standards Center, U.S. Environmental Protection
and requirements in this part. Agency, 2000 Traverwood Drive, Ann
Certified emission level means the Arbor, MI 48105;
highest deteriorated emission level in complianceinfo@epa.gov; epa.gov/otaq/
an engine family for a given pollutant verify.
from either transient or steady-state Designated Enforcement Officer means
testing. the Director, Air Enforcement Division
Clean Air Act means the Clean Air (2242A), U.S. Environmental Protection
Act, as amended, 42 U.S.C. 7401–7671q. Agency, 1200 Pennsylvania Ave. NW.,
Commercial means relating to an en- Washington, DC 20460.
gine or vessel that is not a recreational Deteriorated emission level means the
marine engine or a recreational vessel. emission level that results from apply-
Compression-ignition means relating ing the appropriate deterioration fac-
to a type of reciprocating, internal- tor to the official emission result of
combustion engine that is not a spark- the emission-data engine.
ignition engine. Note that certain Deterioration factor means the rela-
other marine engines (such as those tionship between emissions at the end
powered by natural gas with maximum of useful life and emissions at the low-
engine power at or above 250 kW) are hour test point (see §§ 1042.240 and
516
1042.245), expressed in one of the fol- principles and facts that support a con-
lowing ways: clusion made by a manufacturer, with
(1) For multiplicative deterioration respect to compliance with the provi-
factors, the ratio of emissions at the sions of this part.
end of useful life to emissions at the Excluded means relating to an engine
low-hour test point. that either:
(2) For additive deterioration factors, (1) Has been determined not to be a
the difference between emissions at the nonroad engine, as specified in 40 CFR
end of useful life and emissions at the 1068.30; or
low-hour test point. (2) Is a nonroad engine that, accord-
Diesel fuel has the meaning given in ing to § 1042.5, is not subject to this
40 CFR 1090.80. This generally includes part 1042.
No. 1 and No. 2 petroleum diesel fuels Exempted has the meaning given in 40
and biodiesel fuels. CFR 1068.30.
Discrete-mode means relating to the Exhaust-gas recirculation means a
discrete-mode type of steady-state test technology that reduces emissions by
described in § 1042.505. routing exhaust gases that had been
ECA associated area has the meaning exhausted from the combustion cham-
given in 40 CFR 1043.20. ber(s) back into the engine to be mixed
Dual-fuel means relating to an engine with incoming air before or during
designed for operation on two different combustion. The use of valve timing to
fuels but not on a continuous mixture increase the amount of residual ex-
of those fuels (see § 1042.601(j)). For pur- haust gas in the combustion cham-
poses of this part, such an engine re- ber(s) that is mixed with incoming air
mains a dual-fuel engine even if it is before or during combustion is not con-
designed for operation on three or more sidered exhaust-gas recirculation for
different fuels. Note that this defini- the purposes of this part.
tion differs from MARPOL Annex VI. Family emission limit (FEL) means an
Emission control area (ECA) has the emission level declared by the manu-
meaning given in 40 CFR 1043.20. facturer to serve in place of an other-
Emission control system means any de- wise applicable emission standard
vice, system, or element of design that under the ABT program in subpart H of
controls or reduces the emissions of this part. The family emission limit
regulated pollutants from an engine. must be expressed to the same number
Emission-data engine means an engine of decimal places as the emission
that is tested for certification. This in- standard it replaces. The family emis-
cludes engines tested to establish dete- sion limit serves as the emission stand-
rioration factors. ard for the engine family with respect
Emission-related maintenance means to all required testing.
maintenance that substantially affects Flexible-fuel means relating to an en-
emissions or is likely to substantially gine designed for operation on any mix-
affect emission deterioration. ture of two or more different fuels (see
Engine has the meaning given in 40 § 1042.601(j)).
CFR 1068.30. This includes complete Freshly manufactured marine engine
and partially complete engines. means a marine engine that has not
Engine configuration means a unique been placed into service. An engine be-
combination of engine hardware and comes freshly manufactured when it is
calibration within an engine family. originally manufactured. See the defi-
Engines within a single engine configu- nition of ‘‘New marine engine’’ for pro-
ration differ only with respect to nor- visions that specify that certain other
mal production variability or factors types of new engines are treated as
unrelated to emissions. freshly manufactured engines.
Engine family has the meaning given Foreign vessel means a vessel of for-
in § 1042.230. eign registry or a vessel operated under
Engine manufacturer means a manu- the authority of a country other than
facturer of an engine. See the defini- the United States.
tion of ‘‘manufacturer’’ in this section. Fuel system means all components in-
Engineering analysis means a sum- volved in transporting, metering, and

mary of scientific and/or engineering mixing the fuel from the fuel tank to
517
§ 1042.901 40 CFR Ch. I (7–1–21 Edition)
the combustion chamber(s), including resents the undeteriorated emission

the fuel tank, fuel tank cap, fuel pump, level. This would generally involve less
fuel filters, fuel lines, carburetor or than 125 hours of operation for engines
fuel-injection components, and all fuel- below 560 kW and less than 300 hours
system vents. for engines at or above 560 kW.
Fuel type means a general category of Low-sulfur diesel fuel means one of
fuels such as gasoline, diesel fuel, re- the following:
sidual fuel, or natural gas. There can (1) For in-use fuels, low-sulfur diesel
be multiple grades within a single fuel fuel means a diesel fuel marketed as
type, such as high-sulfur or low-sulfur low-sulfur diesel fuel having a max-
diesel fuel. imum sulfur concentration of 500 parts
Gas turbine engine has the meaning per million.
given in 40 CFR 1068.30. In general, this
(2) For testing, low-sulfur diesel fuel
means anything commercially known
has the meaning given in 40 CFR part
as a gas turbine engine. It does not in-
1065.
clude external combustion steam en-
gines. Manufacture means the physical and
Good engineering judgment has the engineering process of designing, con-
meaning given in 40 CFR 1068.30. See 40 structing, and assembling an engine or
CFR 1068.5 for the administrative proc- a vessel, or modifying or operating an
ess we use to evaluate good engineering engine or vessel in a way that makes it
judgment. a new marine engine or new marine
Green Engine Factor means a factor vessel.
that is applied to emission measure- Manufacturer means any person who
ments from a Category 2 engine that manufactures (see definition of ‘‘manu-
has had little or no service accumula- facture’’ in this section) a new engine
tion. The Green Engine Factor adjusts or vessel or imports such engines or
emission measurements to be equiva- vessels for resale. All manufacturing
lent to emission measurements from an entities under the control of the same
engine that has had approximately 300 person are considered to be a single
hours of use. manufacturer.
High-sulfur diesel fuel means one of (1) This term includes, but is not lim-
the following: ited to:
(1) For in-use fuels, high-sulfur diesel (i) Any person who manufactures an
fuel means a diesel fuel with a max- engine or vessel for sale in the United
imum sulfur concentration above 500 States or otherwise introduces a new
parts per million. marine engine into U.S. commerce.
(2) For testing, high-sulfur diesel fuel (ii) Importers who import engines or
has the meaning given in 40 CFR part vessels for resale.
1065. (iii) Post-manufacture marinizers.
Hydrocarbon (HC) means the hydro-
(iv) Vessel owners/operators that
carbon group on which the emission
reflag a formerly foreign vessel as a
standards are based for each fuel type,
as described in § 1042.101(d) and U.S.-flagged vessel.
§ 1042.104(a). (v) Any person who modifies or oper-
Identification number means a unique ates an engine or vessel in a way that
specification (for example, a model makes it a new marine engine or new
number/serial number combination) marine vessel.
that allows someone to distinguish a (2) Dealers that do not cause an en-
particular engine from other similar gine or vessel to become new are not
engines. manufacturers.
Light-commercial marine engine means Marine engine means a nonroad en-
a Category 1 propulsion marine engine gine that is installed or intended to be
at or above 600 kW with power density installed on a marine vessel. This in-
above 45.0 kW/liter that is certified cludes a portable auxiliary marine en-
with a shorter useful life based on its gine only if its fueling, cooling, or ex-
high power density. haust system is an integral part of the
Low-hour means relating to an engine vessel. A fueling system is considered

that has stabilized emissions and rep- integral to the vessel only if one or
518
more essential elements are perma- year in which the engine was originally
nently affixed to the vessel. There are produced. For an engine that is con-
two kinds of marine engines: verted to a marine engine after being
(1) Propulsion marine engine means a placed into service as a motor vehicle
marine engine that moves a vessel engine, a nonroad engine that is not a
through the water or directs the ves- marine engine, or a stationary engine
sel’s movement. without having been certified, model
(2) Auxiliary marine engine means a year means the calendar year in which
marine engine not used for propulsion. the engine becomes a new marine en-
Marine vessel has the meaning given gine. (See definition of ‘‘new marine
in 1 U.S.C. 3, except that it does not in- engine,’’ paragraph (2)).
clude amphibious vehicles. The defini- (3) For an uncertified marine engine
tion in 1 U.S.C. 3 very broadly includes excluded under § 1042.5 that is later sub-
every craft capable of being used as a ject to this part 1042 as a result of
means of transportation on water. being installed in a different vessel,
Maximum engine power has the mean- model year means the calendar year in
ing given in § 1042.140. which the engine was installed in the
Maximum in-use engine speed has the non-excluded vessel. For a marine en-
meaning given in § 1042.140. gine excluded under § 1042.5 that is
Maximum test power means the power later subject to this part 1042 as a re-
output observed at the maximum test sult of reflagging the vessel, model
speed with the maximum fueling rate year means the calendar year in which
possible. the engine was originally manufac-
Maximum test speed has the meaning tured. For a marine engine that be-
given in 40 CFR 1065.1001. come new under paragraph (7) of the
Maximum test torque has the meaning definition of ‘‘new marine engine,’’
given in 40 CFR 1065.1001. model year means the calendar year in
Model year means any of the fol- which the engine was originally manu-
lowing: factured. (See definition of ‘‘new ma-
(1) For freshly manufactured marine rine engine,’’ paragraphs (3) and (7).)
engines (see definition of ‘‘new marine
(4) For engines that do not meet the
engine,’’ paragraph (1)), model year
definition of ‘‘freshly manufactured’’
means one of the following:
but are installed in new vessels, model
(i) Calendar year of production.
year means the calendar year in which
(ii) Your annual new model produc-
the engine is installed in the new ves-
tion period if it is different than the
sel (see definition of ‘‘new marine en-
calendar year. This must include Janu-
gine,’’ paragraph (4)).
ary 1 of the calendar year for which the
model year is named. It may not begin (5) For remanufactured engines,
before January 2 of the previous cal- model year means the calendar year in
endar year and it must end by Decem- which the remanufacture takes place.
ber 31 of the named calendar year. For (6) For imported engines:
seasonal production periods not includ- (i) For imported engines described in
ing January 1, model year means the paragraph (6)(i) of the definition of
calendar year in which the production ‘‘new marine engine,’’ model year has
occurs, unless you choose to certify the the meaning given in paragraphs (1)
applicable engine family with the fol- through (4) of this definition.
lowing model year. For example, if (ii) For imported engines described in
your production period is June 1, 2010 paragraph (6)(ii) of the definition of
through November 30, 2010, your model ‘‘new marine engine,’’ model year means
year would be 2010 unless you choose to the calendar year in which the engine
certify the engine family for model is remanufactured.
year 2011. (iii) For imported engines described
(2) For an engine that is converted to in paragraph (6)(iii) of the definition of
a marine engine after being certified ‘‘new marine engine,’’ model year means
and placed into service as a motor ve- the calendar year in which the engine
hicle engine, a nonroad engine that is is first assembled in its imported con-
not a marine engine, or a stationary figuration, unless specified otherwise

engine, model year means the calendar in this part or in 40 CFR part 1068.
519
§ 1042.901 40 CFR Ch. I (7–1–21 Edition)
(iv) For imported engines described U.S. waters on a vessel covered by this
in paragraph (6)(iv) of the definition of part 1042. For example, this would
‘‘new marine engine,’’ model year means apply to an engine that is no longer
the calendar year in which the engine used in a foreign vessel and for engines
is imported. on a vessel that is reflagged as a U.S.
(7) [Reserved] vessel. Note paragraph (7) of this defi-
(8) For freshly manufactured vessels, nition may also apply.
model year means the calendar year in (4) An engine not covered by para-
which the keel is laid or the vessel is at graphs (1) through (3) of this definition
a similar stage of construction. For that is intended to be installed in a
vessels that become new under para- new vessel. This generally includes in-
graph (2) or (3) of the definition of stallation of used engines in new ves-
‘‘new vessel’’ (as a result of modifica- sels. The engine is no longer new when
tions), model year means the calendar the ultimate purchaser receives a title
year in which the modifications phys- for the vessel or it is placed into serv-
ically begin. ice, whichever comes first. Such an en-
Motor vehicle has the meaning given gine is treated as a freshly manufac-
in 40 CFR 85.1703(a). tured engine under this part 1042,
New marine engine means any of the whether or not it meets the definition
following: of ‘‘freshly manufactured marine en-
(1) A freshly manufactured marine gine.’’
engine for which the ultimate pur- (5) A remanufactured marine engine.
chaser has never received the equitable An engine becomes new when it is re-
or legal title. This kind of engine manufactured (as defined in this sec-
might commonly be thought of as tion) and ceases to be new when placed
‘‘brand new.’’ In the case of this para- back into service.
graph (1), the engine is new from the (6) An imported marine engine, sub-
time it is produced until the ultimate ject to the following provisions:
purchaser receives the title or the (i) An imported marine engine cov-
product is placed into service, which- ered by a certificate of conformity
ever comes first. issued under this part that meets the
(2) An engine originally manufac- criteria of one or more of paragraphs
tured as a motor vehicle engine, a (1) through (4) of this definition, where
nonroad engine that is not a marine the original engine manufacturer holds
engine, or a stationary engine that is the certificate, is new as defined by
later used or intended to be used as a those applicable paragraphs.
marine engine. In this case, the engine (ii) An imported remanufactured en-
is no longer a motor vehicle, non- gine that would have been required to
marine, or stationary engine and be- be certified if it had been remanufac-
comes a ‘‘new marine engine.’’ The en- tured in the United States.
gine is no longer new when it is placed (iii) An imported engine that will be
into marine service as a marine engine. covered by a certificate of conformity
This paragraph (2) applies for engines issued under this part, where someone
we exclude under § 1042.5, where that other than the original engine manu-
engine is later installed as a marine en- facturer holds the certificate (such as
gine in a vessel that is covered by this when the engine is modified after its
part 1042. For example, this would initial assembly), is a new marine en-
apply to an engine that is no longer gine when it is imported. It is no
used in a foreign vessel. An engine con- longer new when the ultimate pur-
verted to a marine engine without hav- chaser receives a title for the engine or
ing been certified is treated as a fresh- it is placed into service, whichever
ly manufactured engine under this part comes first.
1042. (iv) An imported marine engine that
(3) A marine engine that has been is not covered by a certificate of con-
previously placed into service in an ap- formity issued under this part at the
plication we exclude under § 1042.5, time of importation is new, but only if
where that engine is installed in a ves- it was produced on or after the dates
sel that is covered by this part 1042. shown in the following table. This ad-
The engine is new when it first enters dresses uncertified engines and vessels
520
initially placed into service that some- gine (or vessel containing such an en-
one seeks to import into the United gine) is generally prohibited by 40 CFR
States. Importation of this kind of en- part 1068.
APPLICABILITY OF EMISSION STANDARDS FOR COMPRESSION-IGNITION MARINE ENGINES
Initial model
Power Per-cylinder displacement year of
Engine category and type (kW) (L/cyl) 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 cov- or substantially prolongs the vessel’s
ered by a certificate of conformity life.
issued under this part on a U.S.-flag (4) An imported vessel that has al-
vessel entering U.S. waters is new, but ready been placed into service, where it
only if it was produced on or after the has an engine not covered by a certifi-
dates identified in paragraph (6)(iv) of cate of conformity issued under this
this definition. Such entrance is part at the time of importation that
deemed to be introduction into U.S. was manufactured after the require-
commerce. ments of this part start to apply (see
New vessel means any of the fol- § 1042.1).
lowing: Noncompliant engine means an engine
(1) A vessel for which the ultimate that was originally covered by a cer-
purchaser has never received the equi- tificate of conformity but is not in the
table or legal title. The vessel is no certified configuration or otherwise
longer new when the ultimate pur- does not comply with the conditions of
chaser receives this title or it is placed the certificate.
into service, whichever comes first. Nonconforming engine means an en-
(2) For vessels with no Category 3 engine not covered by a certificate of
gines, a vessel that has been modified conformity that would otherwise be
such that the value of the modifica- subject to emission standards.
tions exceeds 50 percent of the value of Nonmethane hydrocarbon has the
the modified vessel, excluding tem- meaning given in 40 CFR 1065.1001. This
porary modifications (as defined in this generally means the difference between
section). The value of the modification the emitted mass of total hydrocarbons
is the difference in the assessed value and the emitted mass of methane.
of the vessel before the modification Nonroad means relating to nonroad
and the assessed value of the vessel engines, or vessels, or equipment that
after the modification. The vessel is no include nonroad engines.
longer new when it is placed into serv- Nonroad engine has the meaning
ice. Use the following equation to de- given in 40 CFR 1068.30. In general, this
termine if the fractional value of the means all internal-combustion engines
modification exceeds 50 percent: except motor vehicle engines, sta-
Percent of value = [(Value after modi- tionary engines, engines used solely for
fication)¥(Value before modifica- competition, or engines used in air-
tion)] × 100% ÷ (Value after modi- craft.
fication) NOX Technical Code means the
(3) For vessels with Category 3 en- ‘‘Technical Code on Control of Emis-
gines, a vessel that has undergone a sion of Nitrogen Oxides from Marine
modification that substantially alters Diesel Engines’’ adopted by the Inter-
the dimensions or carrying capacity of national Maritime Organization (incor-

the vessel, changes the type of vessel, porated by reference in § 1042.910). The
521
§ 1042.901 40 CFR Ch. I (7–1–21 Edition)
Technical Code is part of 2008 Annex gines and the speed of maximum power
VI. for ungoverned engines.
Official emission result means the Recreational marine engine means a
measured emission rate for an emis- Category 1 propulsion marine engine
sion-data engine on a given duty cycle that is intended by the manufacturer
before the application of any deteriora- to be installed on a recreational vessel.
tion factor, but after the applicability Recreational vessel means a vessel
of regeneration adjustment factors. that is intended by the vessel manufac-
Operator demand has the meaning turer to be operated primarily for
given in 40 CFR 1065.1001. pleasure or leased, rented or chartered
Owners manual means a document or to another for the latter’s pleasure.
collection of documents prepared by However, this does not include the fol-
the engine manufacturer for the owner lowing vessels:
or operator to describe appropriate en- (1) Vessels below 100 gross tons that
gine maintenance, applicable warran- carry more than 6 passengers.
ties, and any other information related (2) Vessels at or above 100 gross tons
to operating or keeping the engine. The that carry one or more passengers.
owners manual is typically provided to (3) Vessels used solely for competi-
the ultimate purchaser at the time of tion (see § 1042.620).
sale. The owners manual may be in
Reflag means to register as a U.S.
paper or electronic format.
vessel any vessel that previously had a
Oxides of nitrogen has the meaning
foreign registry or had been placed into
given in 40 CFR 1065.1001.
service without registration.
Particulate trap means a filtering de-
vice that is designed to physically trap Remanufacture means to replace
particulate matter above a certain size. every cylinder liner in a commercial
Passenger means a person that pro- engine with maximum engine power at
vides payment as a condition of board- or above 600 kW, whether during a sin-
ing a vessel. This does not include the gle maintenance event or cumulatively
owner or any paid crew members. within a five-year period. For the pur-
Placed into service means put into ini- pose of this definition, ‘‘replace’’ in-
tial use for its intended purpose. En- cludes removing, inspecting, and re-
gines and vessels do not qualify as qualifying a liner. Rebuilding a rec-
being ‘‘placed into service’’ based on reational engine or an engine with
incidental use by a manufacturer or maximum engine power below 600 kW
dealer. is not remanufacturing.
Post-manufacture marinizer means an Remanufacture system or remanufac-
entity that produces a marine engine turing system means all components (or
by modifying a non-marine engine, specifications for components) and in-
whether certified or uncertified, com- structions necessary to remanufacture
plete or partially complete, where the an engine in accordance with applica-
entity is not controlled by the manu- ble requirements of this part 1042.
facturer of the base engine or by an en- Remanufacturer has the meaning
tity that also controls the manufac- given to ‘‘manufacturer’’ in section
turer of the base engine. In addition, 216(1) of the Clean Air Act (42 U.S.C.
vessel manufacturers that substan- 7550(1)) with respect to remanufactured
tially modify marine engines are post- marine engines. This term includes any
manufacture marinizers. For the pur- person that is engaged in the manufac-
pose of this definition, ‘‘substantially ture or assembly of remanufactured en-
modify’’ means changing an engine in a gines, such as persons who:
way that could change engine emission (1) Design or produce the emission-re-
characteristics. lated parts used in remanufacturing.
Power density has the meaning given (2) Install parts in or on an existing
in § 1042.140. engine to remanufacture it.
Ramped-modal means relating to the (3) Own or operate the engine and
ramped-modal type of steady-state test provide specifications as to how an en-
described in § 1042.505. gine is to be remanufactured (i.e.,
Rated speed means the maximum full- specifying who will perform the work,
load governed speed for governed en- when the work is to be performed, what
522
parts are to be used, or how to cali- tion cycle. Spark-ignition engines usu-
brate the adjustable parameters of the ally use a throttle to regulate intake
engine). air flow to control power during nor-
Residual fuel means any fuel with a mal operation.
T90 greater than 700 °F as measured Specified adjustable range means a
with the distillation test method speci- range of adjustment for an adjustable
fied in 40 CFR 1065.1010. This generally parameter that is approved as part of
includes all RM grades of marine fuel certification. Note that Category 1 en-
without regard to whether they are gines must comply with emission
known commercially as residual fuel. standards over the full physically ad-
For example, fuel marketed as inter- justable range for any adjustable pa-
mediate fuel may be residual fuel. rameters.
Revoke has the meaning given in 40
Steady-state has the meaning given in
CFR 1068.30. In general this means to
40 CFR 1065.1001.
terminate the certificate or an exemp-
tion for an engine family. Sulfur-sensitive technology means an
Round has the meaning given in 40 emission control technology that expe-
CFR 1065.1001. riences a significant drop in emission
Scheduled maintenance means adjust- control performance or emission-sys-
ing, repairing, removing, disassem- tem durability when an engine is oper-
bling, cleaning, or replacing compo- ated on low-sulfur diesel fuel (i.e., fuel
nents or systems periodically to keep a with a sulfur concentration of 300 to 500
part or system from failing, malfunc- ppm) as compared to when it is oper-
tioning, or wearing prematurely. It ated on ultra-low sulfur diesel fuel (i.e.,
also may mean actions you expect are fuel with a sulfur concentration less
necessary to correct an overt indica- than 15 ppm). Exhaust gas recircula-
tion of failure or malfunction for which tion is not a sulfur-sensitive tech-
periodic maintenance is not appro- nology.
priate. Suspend has the meaning given in 40
Small-volume boat builder means a CFR 1068.30. In general this means to
boat manufacturer with fewer than 500 temporarily discontinue the certificate
employees and with annual worldwide or an exemption for an engine family.
production of fewer than 100 boats. For Temporary modification means a modi-
manufacturers owned by a parent com- fication to a vessel based on a written
pany, these limits apply to the com- contract for marine services such that
bined production and number of em- the modifications will be removed from
ployees of the parent company and all the vessel when the contract expires.
its subsidiaries. Manufacturers that This provision is intended to address
produce vessels with Category 3 en- short-term contracts that would gen-
gines are not small-volume boat build- erally be less than 12 months in dura-
ers. tion. You may ask us to consider modi-
Small-volume engine manufacturer fications that will be in place longer
means a manufacturer of Category 1 than 12 months as temporary modifica-
and/or Category 2 engines with annual tions.
worldwide production of fewer than
Test engine means an engine in a test
1,000 internal combustion engines (ma-
sample.
rine and nonmarine). For manufactur-
ers owned by a parent company, the Test sample means the collection of
limit applies to the production of the engines selected from the population of
parent company and all its subsidi- an engine family for emission testing.
aries. Manufacturers that certify or This may include testing for certifi-
produce any Category 3 engines are not cation, production-line testing, or in-
small-volume engine manufacturers. use testing.
Spark-ignition means relating to a Tier 1 means relating to the Tier 1
gasoline-fueled engine or any other emission standards, as shown in Appen-
type of engine with a spark plug (or dix I.
other sparking device) and with oper- Tier 2 means relating to the Tier 2
ating characteristics significantly emission standards, as shown in

similar to the theoretical Otto combus- § 1042.104 and Appendix I.
523
§ 1042.905 40 CFR Ch. I (7–1–21 Edition)
Tier 3 means relating to the Tier 3 and fuel consumption, without being
emission standards, as shown in remanufactured, specified as a number
§ 1042.101 and § 1042.104. of hours of operation or calendar years,
Tier 4 means relating to the Tier 4 whichever comes first. It is the period
emission standards, as shown in during which an engine is required to
§ 1042.101. comply with all applicable emission
Total hydrocarbon has the meaning standards. See §§ 1042.101(e) and
given in 40 CFR 1065.1001. This gen- 1042.104(d).
erally means the combined mass of or- Variable-speed engine means an engine
ganic compounds measured by the that is not a constant-speed engine.
specified procedure for measuring total Vessel means a marine vessel.
hydrocarbon, expressed as a hydro- Vessel operator means any individual
carbon with an atomic hydrogen-to- that physically operates or maintains a
carbon ratio of 1.85:1. vessel or exercises managerial control
Total hydrocarbon equivalent has the over the operation of the vessel.
meaning given in 40 CFR 1065.1001. This Vessel owner means the individual or
generally means the sum of the carbon company that holds legal title to a ves-
mass contributions of non-oxygenated sel.
hydrocarbons, alcohols and aldehydes, Void has the meaning given in 40 CFR
or other organic compounds that are 1068.30. In general this means to invali-
measured separately as contained in a date a certificate or an exemption both
gas sample, expressed as exhaust hy- retroactively and prospectively.
drocarbon from petroleum-fueled en- Volatile liquid fuel means any fuel
gines. The atomic hydrogen-to-carbon other than diesel fuel or biodiesel that
ratio of the equivalent hydrocarbon is is a liquid at atmospheric pressure and
1.85:1. has a Reid Vapor Pressure higher than
Ultimate purchaser means, with re- 2.0 pounds per square inch.
spect to any new vessel or new marine Waterline length means the horizontal
engine, the first person who in good distance measured between perpendicu-
faith purchases such new vessel or new lars taken at the forwardmost and
marine engine for purposes other than aftermost points on the waterline cor-
resale. responding to the deepest operating
Ultra low-sulfur diesel fuel means one draft (see ‘‘Length between perpendicu-
of the following: lars’’ at 46 CFR 175.400). This applies
(1) For in-use fuels, ultra low-sulfur for a worst-case combination of a fully
diesel fuel means a diesel fuel marketed loaded vessel in freshwater in summer.
as ultra low-sulfur diesel fuel having a We (us, our) means the Administrator
maximum sulfur concentration of 15 of the Environmental Protection Agen-
parts per million. cy and any authorized representatives.
(2) For testing, ultra low-sulfur diesel [73 FR 37243, June 30, 2008, as amended at 75
fuel has the meaning given in 40 CFR FR 23010, Apr. 30, 2010; 81 FR 74153, Oct. 25,
part 1065. 2016; 85 FR 62232, Oct. 2, 2020; 85 FR 78468,
United States has the meaning given Dec. 4, 2020]
in 40 CFR 1068.30. EFFECTIVE DATE NOTE: At 86 FR 34512, June
Upcoming model year means for an en- 29, 2021, § 1042.901 was amended, effective July
gine family the model year after the 29, 2021.
one currently in production.
U.S.-directed production volume means § 1042.905 Symbols, acronyms, and ab-
the number of engine units, subject to breviations.
the requirements of this part, produced The following symbols, acronyms,
by a manufacturer for which the manu- and abbreviations apply to this part:
facturer has a reasonable assurance ABT Averaging, banking, and trading.
that sale was or will be made to ulti- AECD auxiliary emission control de-
mate purchasers in the United States. vice.
U.S. waters includes U.S. navigable CFR Code of Federal Regulations.
waters and the U.S. EEZ. CH4 methane.
Useful life means the period during CO carbon monoxide.
which the engine is designed to prop- CO2 carbon dioxide.

erly function in terms of reliability cyl cylinder.
524
disp. displacement. (b) The International Maritime Orga-

ECA Emission Control Area. nization, 4 Albert Embankment, Lon-
EEZ Exclusive Economic Zone. don SE1 7SR, United Kingdom, or
EPA Environmental Protection Agen- www.imo.org, or 44–(0)20–7735–7611.
cy. (1) MARPOL Annex VI, Regulations
FEL Family Emission Limit. for the Prevention of Air Pollution
g grams. from Ships, Third Edition, 2013, and
HC hydrocarbon. NOX Technical Code 2008.
hr hours. (i) Revised MARPOL Annex VI, Regu-
IMO International Maritime Organi- lations for the Prevention of Pollution
zation. from Ships, Third Edition, 2013 (‘‘2008
kPa kilopascals. Annex VI’’); IBR approved for § 1042.901.
kW kilowatts. (ii) NOX Technical Code 2008, Tech-
L liters. nical Code on Control of Emission of
LTR Limited Testing Region. Nitrogen Oxides from Marine Diesel
N2O nitrous oxide. Engines, 2013 Edition, (‘‘NOX Technical
NARA National Archives and Records Code’’); IBR approved for §§ 1042.104(g),
Administration. 1042.230(d), 1042.302(c) and (e),
NMHC nonmethane hydrocarbon. 1042.501(g), and 1042.901.
NOX oxides of nitrogen (NO and NO2). (iii) Annex 12, Resolution
NTE not-to-exceed. MEPC.251(66) from the Report of the
PM particulate matter. Marine Environment Protection Com-
RPM revolutions per minute. mittee on its Sixty-Sixth Session,
SAE Society of Automotive Engi- April 25, 2014. This document describes
neers. new and revised provisions that are
SCR selective catalytic reduction. considered to be part of Annex VI and
THC total hydrocarbon. NOX Technical Code 2008 as referenced
THCE total hydrocarbon equivalent. in paragraphs (b)(1)(i) and (ii) of this
ULSD ultra low-sulfur diesel fuel. section. IBR approved for §§ 1042.104(g),
U.S.C. United States Code. 1042.230(d), 1042.302(c) and (e),
[81 FR 74154, Oct. 25, 2016] 1042.501(g), and 1042.901.
(2) [Reserved]
§ 1042.910 Incorporation by reference.
[81 FR 74155, Oct. 25, 2016]
(a) Certain material is incorporated
by reference into this part with the ap- EFFECTIVE DATE NOTE: At 86 FR 34512, June
proval of the Director of the Federal 29, 2021, § 1042.910 was revised, effective July
Register under 5 U.S.C. 552(a) and 1 29, 2021.
CFR part 51. To enforce any edition
§ 1042.915 Confidential information.
other than that specified in this sec-
tion, the Environmental Protection The provisions of 40 CFR 1068.10 apply
Agency must publish a document in for information you consider confiden-
the FEDERAL REGISTER and the mate- tial.
rial must be available to the public. All
[81 FR 74155, Oct. 25, 2016]
approved material is available for in-
spection at U.S. EPA, Air and Radi- § 1042.920 Hearings.
ation Docket and Information Center,
1301 Constitution Ave. NW., Room B102, (a) You may request a hearing under
EPA West Building, Washington, DC certain circumstances, as described
20460, (202) 202–1744, and is available elsewhere in this part. To do this, you
from the sources listed below. It is also must file a written request, including a
available for inspection at the National description of your objection and any
Archives and Records Administration supporting data, within 30 days after
(NARA). For information on the avail- we make a decision.
ability of this material at NARA, call (b) For a hearing you request under
202–741–6030, or go to: http:// the provisions of this part, we will ap-
www.archives.gov/federallregister/ prove your request if we find that your
codeloflfederallregulations/ request raises a substantial factual

ibrllocations.html.\n. issue.
525
§ 1042.925 40 CFR Ch. I (7–1–21 Edition)
(c) If we agree to hold a hearing, we (i) In § 1042.135 we require engine

will use the procedures specified in 40 manufacturers to keep certain records
CFR part 1068, subpart G. related to duplicate labels sent to ves-
sel manufacturers.
§ 1042.925 Reporting and record- (ii) In § 1042.145 we include various re-
keeping requirements. porting and recordkeeping require-
(a) This part includes various re- ments related to interim provisions.
quirements to submit and record data (iii) In subpart C of this part we iden-
or other information. Unless we specify tify a wide range of information re-
otherwise, store required records in quired to certify engines.
any format and on any media and keep (iv) In §§ 1042.345 and 1042.350 we speci-
them readily available for eight years fy certain records related to produc-
after you send an associated application-line testing.
tion for certification, or eight years (v) In subpart G of this part we iden-
after you generate the data if they do tify several reporting and record-
not support an application for certifi- keeping items for making demonstra-
cation. You are expected to keep your tions and getting approval related to
own copy of required records rather various special compliance provisions.
than relying on someone else to keep (vi) In §§ 1042.725, 1042.730, and 1042.735
records on your behalf. We may review we specify certain records related to
these records at any time. You must averaging, banking, and trading.
promptly send us organized, written (vii) In subpart I of this part we
records in English if we ask for them. specify certain records related to meet-
We may require you to submit written ing requirements for remanufactured
records in an electronic format. engines.
(2) We specify the following require-
(b) The regulations in § 1042.255, 40
ments related to testing in 40 CFR part
CFR 1068.25, and 40 CFR 1068.101 de-
1065:
scribe your obligation to report truth-
(i) In 40 CFR 1065.2 we give an over-
ful and complete information. This in-
view of principles for reporting infor-
cludes information not related to cer-
mation.
tification. Failing to properly report
(ii) In 40 CFR 1065.10 and 1065.12 we
information and keep the records we specify information needs for estab-
specify violates 40 CFR 1068.101(a)(2), lishing various changes to published
which may involve civil or criminal test procedures.
penalties. (iii) In 40 CFR 1065.25 we establish
(c) Send all reports and requests for basic guidelines for storing test infor-
approval to the Designated Compliance mation.
Officer (see § 1042.801). (iv) In 40 CFR 1065.695 we identify the
(d) Any written information we re- specific information and data items to
quire you to send to or receive from an- record when measuring emissions.
other company is deemed to be a re- (3) We specify the following require-
quired record under this section. Such ments related to the general compli-
records are also deemed to be submis- ance provisions in 40 CFR part 1068:
sions to EPA. We may require you to (i) In 40 CFR 1068.5 we establish a
send us these records whether or not process for evaluating good engineer-
you are a certificate holder. ing judgment related to testing and
(e) Under the Paperwork Reduction certification.
Act (44 U.S.C. 3501 et seq), the Office of (ii) In 40 CFR 1068.25 we describe gen-
Management and Budget approves the eral provisions related to sending and
reporting and recordkeeping specified keeping information.
in the applicable regulations. The fol- (iii) In 40 CFR 1068.27 we require man-
lowing items illustrate the kind of re- ufacturers to make engines available
porting and recordkeeping we require for our testing or inspection if we
for engines and vessels regulated under make such a request.
this part: (iv) In 40 CFR 1068.105 we require ves-
(1) We specify the following require- sel manufacturers to keep certain
ments related to engine certification in records related to duplicate labels from

this part 1042: engine manufacturers.
526
(v) In 40 CFR 1068.120 we specify rec- (x) In 40 CFR 1068.525 and 1068.530 we
ordkeeping related to rebuilding en- specify certain records related to re-
gines. calling nonconforming engines.
(vi) In 40 CFR part 1068, subpart C, we (xi) In 40 CFR part 1068, subpart G,
identify several reporting and record- we specify certain records for request-
keeping items for making demonstra- ing a hearing.
tions and getting approval related to
various exemptions. [81 FR 74155, Oct. 25, 2016]
(vii) In 40 CFR part 1068, subpart D,
we identify several reporting and rec- APPENDIX I TO PART 1042—SUMMARY OF
ordkeeping items for making dem- PREVIOUS EMISSION STANDARDS
onstrations and getting approval re-
The following standards apply to compres-
lated to importing engines. sion-ignition marine engines produced before
(viii) In 40 CFR 1068.450 and 1068.455 the model years specified in § 1042.1:
we specify certain records related to (a) Engines below 37 kW. Tier 1 and Tier 2
testing production-line engines in a se- standards for engines below 37 kW apply as
lective enforcement audit. specified in 40 CFR part 89 and summarized
(ix) In 40 CFR 1068.501 we specify cer- in the following table:
tain records related to investigating
and reporting emission-related defects.
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 (ii) 45.0 × N¥0.20 when maximum test speed
Tier 2 standards for engines at or above 37 is at or above 130 but below 2000 rpm, where
kW apply as specified in 40 CFR part 94 and N is the maximum test speed of the engine in
summarized as follows: revolutions per minute. Round the cal-
(1) Tier 1 standards. NOX emissions from culated standard to the nearest 0.1 g/kW-hr.
model year 2004 and later engines with dis- (ii) 9.8 g/kW-hr when maximum test speed
placement of 2.5 or more liters per cylinder is 2000 rpm or more.
may not exceed the following values: (2) Tier 2 primary standards. Exhaust emis-
sions from Category 1 engines at or above 37
(i) 17.0 g/kW-hr when maximum test speed
kW and all Category 2 engines may not ex-
is less than 130 rpm.
ceed the values shown in the following table:
TABLE 2 TO APPENDIX I—PRIMARY TIER 2 EMISSION STANDARDS FOR COMMERCIAL AND
RECREATIONAL MARINE ENGINES AT OR ABOVE 37 KW (G/KW-HR)
Engine size Maximum engine Model NOX + THC CO PM
Category
liters/cylinder power year g/kW-hr g/kW-hr 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
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
527
Pt. 1042, App. II 40 CFR Ch. I (7–1–21 Edition)
(3) Tier 2 supplemental standards. The not- APPENDIX II TO PART 1042— STEADY-
to-exceed emission standards specified in 40 STATE DUTY CYCLES
CFR 94.8(e) apply for all engines subject to
the Tier 2 standards described in paragraph (a) The following duty cycles apply as spec-
(b)(2) of this appendix. ified in § 1042.505(b)(1):
[73 FR 37243, June 30, 2008, as amended at 75 (1) The following duty cycle applies for dis-
FR 23012, Apr. 30, 2010] crete-mode testing:
29, 2021, appendix I to part 1042 was amended,
effective July 29, 2021.
Percent of Weighting
E3 mode No. Engine speed 1 maximum factors
test power
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.

RMC Time in mode Engine Power

mode (seconds) speed 1 3 (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%.
3a Steady-state ............................... 570 91% ................................................ 75%.
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 Thepercent power is relative to the maximum test power.
(b) The following duty cycles apply as spec- (1) The following duty cycle applies for dis-
ified in § 1042.505(b)(2): crete-mode testing:
Percent of
Engine Weighting
E5 mode No. maximum
speed 1 factors
test power
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.


1a Steady-state ............................... 167 Warm idle ....................................... 0.

2a Steady-state ............................... 85 Maximum test speed ...................... 100%.
3a Steady-state ............................... 354 63% ................................................ 25%.

4a Steady-state ............................... 141 91% ................................................ 75%.
528

5a Steady-state ............................... 182 80% ................................................ 50%.

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 Thepercent power is relative to the maximum test power.
(c) The following duty cycles apply as spec- (1) The following duty cycle applies for dis-
ified in § 1042.505(b)(3): crete-mode testing:
Engine Torque Weighting

E2 mode No. 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
2 The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.

Time in mode Torque

RMC mode Engine speed
(seconds) (percent)1 2
1a Steady-state ...................................... 229 Engine Governed ................................... 100%.

1b Transition .......................................... 20 Engine Governed ................................... Linear transition.
1 The
percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
gression from the torque setting of the current mode to the torque setting of the next mode.
[81 FR 74156, Oct. 25, 2016]
APPENDIX III TO PART 1042—NOT-TO- (ii) Percent power ÷ 100 ≤ (percent speed ÷
EXCEED ZONES 90) 3.5.
(iii) Percent power ÷ 100 ≥ 3.0 · (1¥percent
(a) The following definitions apply for this speed ÷ 100).
Appendix III: (2) Subzone 2 is defined by the following
(1) Percent power means the percentage of boundaries:
the maximum power achieved at Maximum (i) Percent power ÷ 100 ≥ 0.7 · (percent
Test Speed (or at Maximum Test Torque for speed ÷ 100) 2.5.
constant-speed engines). (ii) Percent power ÷ 100 ≤ (percent speed ÷
(2) Percent speed means the percentage of 90) 3.5.
Maximum Test Speed. (iii) Percent power ÷ 100 < 3.0 · (1¥percent
(b) Figure 1 of this Appendix illustrates the speed ÷ 100).
default NTE zone for marine engines cer- (iv) Percent speed ÷ 100 ≥ 0.7.
tified using the duty cycle specified in (3) Note that the line separating Subzone 1
§ 1042.505(b)(1), except for variable-speed pro- and Subzone 2 includes the following
pulsion marine engines used with control-
endpoints:
lable-pitch propellers or with electrically
(i) Percent speed = 78.9 percent; Percent
coupled propellers, as follows:
power = 63.2 percent.
(1) Subzone 1 is defined by the following
(ii) Percent speed = 84.6 percent; Percent
boundaries:
power = 46.1 percent.
(i) Percent power ÷ 100 > 0.7 · (percent
speed ÷ 100) 2.5.
529
Pt. 1042, App. III 40 CFR Ch. I (7–1–21 Edition)
(c) Figure 2 of this Appendix illustrates the (i) Percent power ÷ 100 ≥ 0.7 · (percent
default NTE zone for recreational marine en- speed ÷ 100) 2.5.
gines certified using the duty cycle specified (ii) Percent power ÷ 100 ≤ (percent speed ÷
in § 1042.505(b)(2), except for variable-speed 90) 3.5.
marine engines used with controllable-pitch (iii) Percent power ÷ 100 < 3.0 · (1¥percent
propellers or with electrically coupled pro- speed ÷ 100).
pellers, as follows: (iv) Percent speed ≥ 70 percent.
(1) Subzone 1 is defined by the following (3) Subzone 3 is defined by the following
boundaries: boundaries:
(i) Percent power ÷ 100 ≥ 0.7 · (percent (i) Percent power ÷ 100 ≤ (percent speed ÷
speed ÷ 100) 2.5. 90) 3.5.
(ii) Percent power ÷ 100 ≤ (percent speed ÷ (ii) Percent power > 95 percent.
90) 3.5. (4) Note that the line separating Subzone 1
(iii) Percent power ÷ 100 ≥ 3.0 · (1¥percent and Subzone 3 includes a point at Percent
speed ÷ 100). speed = 88.7 percent and Percent power = 95.0
(iv) Percent power ≤ 95 percent. percent. See paragraph (b)(3) of this appendix
(2) Subzone 2 is defined by the following regarding the line separating Subzone 1 and
boundaries: Subzone 2.
530
ER25OC16.153</GPH>
(d) Figure 3 of this Appendix illustrates the (iv) Percent power ÷ 100 <3.0 · (1¥percent
default NTE zone for variable-speed marine speed ÷ 100), for Percent speed ≥78.9 percent.
engines used with controllable-pitch propel- (3) Subzone 2b is defined by the following
lers or with electrically coupled propellers boundaries:
that are certified using the duty cycle speci- (i) The line formed by connecting the fol-
fied in § 1042.505(b)(1), (2), or (3), as follows: lowing two points on a plot of speed-vs.-
(1) Subzone 1 is defined by the following power:
boundaries: (A) Percent speed = 70 percent; Percent
(i) Percent power ÷ 100 ≥ 0.7 · (percent power = 28.7 percent.
speed ÷ 100) 2.5. (B) Percent power = 40 percent; Speed =
(ii) Percent power ÷ 100 ≥ 3.0 · (1¥percent governed speed.
speed ÷ 100). (ii) Percent power ÷ 100 < 0.7 · (percent
(iii) Percent speed ≥ 78.9 percent. speed ÷ 100)2.5.
(2) Subzone 2a is defined by the following (4) Note that the line separating Subzone 1
boundaries: and Subzone 2a includes the following
(i) Percent power ÷ 100 ≥ 0.7 · (percent endpoints:
speed ÷ 100) 2.5. (i) Percent speed = 78.9 percent; Percent
(ii) Percent speed ≥70 percent. power = 63.3 percent.
(iii) Percent speed <78.9 percent, for Per- (ii) Percent speed = 84.6 percent; Percent
cent power >63.3 percent. power = 46.1 percent.
531
ER25OC16.154</GPH>
Pt. 1042, App. III 40 CFR Ch. I (7–1–21 Edition)
(e) Figure 4 of this Appendix illustrates the (i) Percent power ≥70 percent.
default NTE zone for constant-speed engines (ii) [Reserved]
certified using a duty cycle specified in (2) Subzone 2 is defined by the following
§ 1042.505(b)(3) or (4), as follows: boundaries:
(1) Subzone 1 is defined by the following (i) Percent power <70 percent.
boundaries: (ii) Percent power ≥40 percent.
532
ER25OC16.155</GPH>
(f) Figure 5 of this Appendix illustrates the (1) The default NTE zone is defined by the
default NTE zone for variable-speed auxil- boundaries specified in 40 CFR 86.1370(b)(1),
iary marine engines certified using the duty (2), and (4).
cycle specified in § 1042.505(b)5)(ii) or (iii), as (2) A special PM subzone is defined in 40
follows: CFR 1039.515(b).
533
ER25OC16.156</GPH>
[81 FR 74157, Oct. 25, 2016] § 1043.1 Overview.

The Act to Prevent Pollution from
PART 1043—CONTROL OF NOX, Ships (APPS) requires engine manufac-
SOX, AND PM EMISSIONS FROM turers, owners and operators of vessels,
MARINE ENGINES AND VESSELS and other persons to comply with
SUBJECT TO THE MARPOL PRO- Annex VI of the MARPOL Protocol.
TOCOL This part implements portions of APPS
as it relates to Regulations 13, 14 and 18
Sec. of Annex VI. These regulations clarify
1043.1 Overview. the application of some Annex VI pro-
1043.5 Effective dates. visions; provide procedures and criteria
1043.10 Applicability. for the issuance of EIAPP certificates;
1043.30 General obligations.
and specify requirements applicable to
1043.40 EIAPP certificates. ships that are not registered by Parties
1043.41 EIAPP certification process. to Annex VI. This part includes provi-
1043.50 Approval of methods to meet Tier 1 sions to apply the equivalency provi-
retrofit NOX standards. sions of Regulation 4 of Annex VI with
1043.55 Applying equivalent controls instead respect to Regulations 14 and 18 of
of complying with fuel requirements. Annex VI. Additional regulations may
1043.60 Operating requirements for engines
and vessels subject to this part.
also apply with respect to the Annex
1043.70 General recordkeeping and reporting VI, such as those issued separately by
requirements. the U.S. Coast Guard. Note that ref-
1043.80 Recordkeeping and reporting re- erences in this part to a specific sub-
quirements for fuel suppliers. section of an Annex VI regulation
1043.90 [Reserved] (such as Regulation 13.5.1) reflect the
1043.95 Great Lakes provisions. regulation numbering of the 2008 Annex
VI (incorporated by reference in
1043.100 Incorporation by reference.
§ 1043.100).
AUTHORITY: 33 U.S.C. 1901–1912. (a) The general requirements for non-
SOURCE: 75 FR 23013, Apr. 30, 2010, unless public U.S.-flagged and other Party
otherwise noted. vessels are specified in Annex VI, as
534
ER25OC16.157</GPH>
implemented by 33 U.S.C. 1901–1915. ECA enters into force for the United
These requirements apply to engine States under Annex VI.
manufacturers, owners and operators (2) Compliance with the fuel content
of vessels, and other persons. requirements applicable within ECAs
(b) The provisions of this part specify and ECA associated areas (see
how Regulations 13, 14 and 18 of Annex § 1043.60(b)) is required beginning 12
VI, as implemented by APPS, will be months after date on which the ECA
applied to U.S.-flagged vessels that op- enters into force for the United States
erate only domestically. under Annex VI.
(c) This part implements section 33
U.S.C. 1902(e) by specifying that non- [75 FR 23013, Apr. 30, 2010, as amended at 80
FR 9112, Feb. 19, 2015]
public vessels flagged by a country
that is not a party to Annex VI are § 1043.10 Applicability.
subject to certain provisions under this
part that are equivalent to the sub- (a) U.S.-flagged vessels. The provisions
stantive requirements of Regulations of this part apply for all U.S.-flagged
13, 14 and 18 of Annex VI as imple- vessels wherever they are located (in-
mented by APPS. cluding engines installed or intended to
(d) This part also describes where the be installed on such vessels), except as
requirements of Regulation 13.5.1 of specified in this paragraph (a) or in
Annex VI and Regulation 14.4 of Annex § 1043.95.
VI will apply. (1) Public vessels are excluded from
(e) This part 1043 does not limit the this part.
requirements specified in Annex VI, as (2) Vessels that operate only domesti-
implemented by APPS, except as speci- cally and conform to the requirements
fied in § 1043.10(a)(2) and (b)(3). of this paragraph (a)(2) are excluded
(f) Nothing in this part limits the op- from Regulation 13 of Annex VI and the
erating requirements and restrictions NOX-related requirements of this part
applicable for engines and vessels sub- (including the requirement to obtain
ject to 40 CFR part 1042 or the require- an EIAPP certificate and to keep a
ments and restrictions applicable for Technical File and an Engine Book of
fuels subject to 40 CFR part 1090. Record Parameters). For the purpose of
(g) The provisions of this part specify this exclusion, the phrase ‘‘operate
how to obtain EIAPP certificates and only domestically’’ means the vessels
certificates for Approved Methods. do not enter waters subject to the ju-
[75 FR 23013, Apr. 30, 2010, as amended at 85 risdiction or control of any foreign
FR 78468, Dec. 4, 2020] country, except for Canadian portions
of the Great Lakes. (See §§ 1043.60 and
§ 1043.5 Effective dates. 1043.70 for provisions related to fuel use
(a) The requirement of APPS for ma- by such vessels). To be excluded, the
rine vessels to comply with Annex VI vessel must conform to each of the fol-
of the MARPOL Protocol is in effect. lowing provisions:
(b) [Reserved] (i) All compression-ignition engines
(c) Compliance with the applicable on the vessel must conform fully to all
regulations of this part is required for applicable provisions of 40 CFR parts 94
all persons as of July 1, 2010. (Note that and 1042.
certain requirements begin later, as de- (ii) The vessel may not contain any
scribed in paragraph (d) of this sec- engines with a specific engine displace-
tion.) Note also that compliance with ment at or above 30.0 liters per cyl-
§§ 1043.40 and 1043.41 is required to ob- inder.
tain EIAPP certificates under this part (iii) Any engine installed in the ves-
whether the application is submitted sel that is not covered by an EIAPP
before July 1, 2010 or later. certificate must be labeled as specified
(d) Compliance with the require- in 40 CFR 1042.135 with respect to
ments related to ECAs are effective as whether it meets the requirements of
follows: Regulation 13 of Annex VI.
(1) Compliance with the ECA NOX re- (b) Foreign-flagged vessels. The provi-
quirements (see § 1043.60(a)) is required sions of this part apply for all non-pub-
beginning on the date on which the lic foreign-flagged vessels (including
535
§ 1043.20 40 CFR Ch. I (7–1–21 Edition)
engines installed on such vessels) as APPS means the Act to Prevent Pol-
follows: lution from Ships (33 U.S.C. 1901–1915).
(1) The requirements of this part Designated Certification Officer means
apply for foreign-flagged vessels oper- the EPA official to whom the Adminis-
ating in U.S. navigable waters or the trator has delegated authority to issue
U.S. EEZ. EIAPP certificates. Note that the Des-
(2) For non-public vessels flagged by ignated Certification Officer is also
a country that is not a party to Annex delegated certain authorities under
VI, the requirements of this part apply this part in addition to the authority
in the same manner as apply for Party to issue EIAPP certificates.
vessels, except as otherwise provided in ECA associated area means the U.S.
this part. For example, see internal waters that are navigable
§ 1043.30(c)(4) for provisions related to from the ECA. This term does not in-
showing compliance with this require- clude internal waters that are shore-
ment without an EIAPP certificate. ward of ocean waters that are not part
See § 1043.60 for specific operating re- of an emission control area.
quirements. EIAPP certificate means a certificate
(3) Canadian vessels that operate issued to certify initial compliance
only within the Great Lakes and are with Regulation 13 of Annex VI. (Note
subject to an alternative NOX control that EIAPP stands for Engine Inter-
measure established by the Canadian
national Air Pollution Prevention
government are excluded from the
under Annex VI.)
NOX-related requirements of this part.
(c) Fuel suppliers. The provisions of Emission control area (ECA) means an
§ 1043.80 apply for all persons supplying area designated pursuant to Annex VI
fuel to any vessel subject to this part. as an Emission Control Area that is in
(d) Sea bed mineral exploration. This force.
part does not apply to emissions di- Engine has the meaning given in 40
rectly arising from the exploration, ex- CFR 1068.30.
ploitation, and associated offshore EPA means the United States Envi-
processing of sea-bed mineral re- ronmental Protection Agency.
sources. Note that other regulations Foreign-flagged vessel means a vessel
apply with respect to these emissions of foreign registry or a vessel operated
in certain circumstances, and that en- under the authority of a country other
gines that are not solely dedicated to than the United States.
such activities are otherwise subject to Good engineering judgment has the
all requirements of this part. meaning given in 40 CFR 1068.30. We
will evaluate engineering judgments as
described in 40 CFR 1068.5.
FR 9112, Feb. 19, 2015]
Great Lakes means all the streams,
§ 1043.20 Definitions. rivers, lakes, and other bodies of water
that are within the drainage basin of
The following definitions apply to
the St. Lawrence River, west of Anti-
this part:
2008 Annex VI means Annex VI to the costi Island.
MARPOL Protocol, including the IMO means the International Mari-
amendments from Annex 12, adopted time Organization.
through April 2014 (incorporated by ref- Major conversion has the meaning
erence in § 1043.100). This version of given in 2008 Annex VI (incorporated by
Annex VI does not include any amend- reference in § 1043.100).
ments that may be adopted in the fu- MARPOL Protocol has the meaning
ture. This 2008 version applies for cer- given in 33 U.S.C. 1901.
tain provisions of this part such as Navigable waters has the meaning
those applicable for internal waters given in 33 U.S.C. 1901.
and for non-Party vessels. Non-Party vessel means a vessel
Administrator means the Adminis- flagged by a country that is not a party
trator of the Environmental Protection to Annex VI.
Agency. NOX Technical Code means the
Annex VI means Annex VI of the ‘‘Technical Code on Control of Emis-

MARPOL Protocol. sion of Nitrogen Oxides from Marine
536
Diesel Engines’’ adopted by IMO (incor- gine is excluded under § 1043.10 or para-
porated by reference in § 1043.100). The graph (d) of this section. An EIAPP
Technical Code is part of 2008 Annex certificate is valid for a given engine
VI. only if it certifies compliance with the
Operator has the meaning given in 33 tier of standards applicable to that en-
U.S.C. 1901. gine and the vessel into which it is
Owner has the meaning given in 33 being installed (or a later tier). Note
U.S.C. 1901. that none of the requirements of this
Party vessel means a vessel flying the paragraph (c) are limited to new en-
flag of, registered in, or operating gines.
under the authority of a country that
(1) Engines meeting any of the fol-
is a party to Annex VI.
Person has the meaning given in 33 lowing criteria must be covered by a
U.S.C. 1901. valid EIAPP certificate:
Public vessels means warships, naval (i) Engines installed (or intended to
auxiliary vessels, and other vessels be installed) on vessels that were con-
owned or operated by a sovereign coun- structed on or after January 1, 2000.
try when engaged in noncommercial This includes engines that met the def-
service. Vessels with a national secu- inition of ‘‘new marine engine’’ in 40
rity exemption under 40 CFR 80.606 or CFR 1042.901 at any time on or after
1042.635 are deemed to be public vessels. January 1, 2000, unless such engines are
Secretary has the meaning given in 33 installed on vessels that were con-
U.S.C. 1901. structed before January 1, 2000.
U.S. EEZ means the Exclusive Eco- (ii) Engines that undergo a major
nomic Zone of the United States, as de- conversion on or after January 1, 2000,
fined in Presidential Proclamation 5030 unless the engines have been exempt
of March 10, 1983. from this requirement under paragraph
U.S.-flagged vessel means a vessel of (e) of this section.
U.S. registry or a vessel operated under (2) For such engines intended to be
the authority of the United States. installed on U.S.-flagged vessels, the
Vessel has the meaning given to
engine may not be introduced into U.S.
‘‘ship’’ in APPS.
commerce before it is covered by a
We means EPA.
valid EIAPP certificate, except as al-
[75 FR 23013, Apr. 30, 2010, as amended at 80 lowed by this paragraph (c)(2).
FR 9112, Feb. 19, 2015] (i) This paragraph (c)(2) does not
§ 1043.30 General obligations. apply for engines installed on vessels
excluded under this part 1043.
(a) 33 U.S.C. 1907 prohibits any person
(ii) Engines without a valid EIAPP
from violating any provisions of the
certificate (because they are intended
MARPOL Protocol, whether or not
for domestic use only) may be intro-
they are a manufacturer, owner or op-
duced into U.S. commerce, but may not
erator. For manufacturers, owners and
be installed on vessels that do not meet
operators of vessels subject to this
part, it is the responsibility of such the requirements of § 1043.10(a)(2).
manufacturers, owners and operators (iii) Engines that have been tempo-
to ensure that all employees and other rarily exempted by EPA under 40 CFR
agents operating on their behalf compart 1042 or part 1068 may be intro-
ply with these requirements. duced into U.S. commerce without a
(b) Manufacturers of engines to be invalid EIAPP certificate to the same ex-
stalled on U.S. vessels subject to this tent they are allowed to be introduced
part must obtain an EIAPP certificate into U.S. commerce without a valid
for an engine prior to it being installed part 1042 certificate of conformity,
in a vessel. however, this allowance does not affect
(c) Engines with power output of whether the engine must ultimately be
more than 130 kW that are listed in covered by an EIAPP certificate. Un-
this paragraph (c) must be covered by a less otherwise excluded or exempted
valid EIAPP certificate, certifying the under this part 1043, the engine must be
engine meets the applicable emission covered by an EIAPP certificate before

standards of Annex VI, unless the en- being placed into service. For example,
537
§ 1043.40 40 CFR Ch. I (7–1–21 Edition)
engines allowed to be temporarily dis- (1) The requirements specified in

tributed in an uncertified configura- Annex VI apply for vessels subject to
tion under 40 CFR 1068.260 would not be this part for operation in U.S. navi-
required to be covered by an EIAPP gable waters or the U.S. EEZ. (See
certificate while it is covered by the § 1043.60 for a summary of the standards
temporary exemption under 40 CFR included in these requirements.)
1068.260; however, it would be required (2) Vessels operating in an ECA must
to be covered by an EIAPP certificate also comply with the requirements of
before being placed into service. Annex VI applicable to operation in an
(iv) All uninstalled marine engines ECA.
within the United States are presumed (3) Vessels operating in waters of an
to be intended to be installed on a U.S.- ECA associated area must also comply
flagged vessel, unless there is clear and with the requirements in § 1043.60.
convincing evidence to the contrary. (f) The following requirements apply
(3) For engines installed on Party to non-Party vessels:
vessels, the engine may not operate in (1) Non-Party vessels operating in
the U.S. navigable waters or the U.S. U.S. navigable waters or the U.S. EEZ
exclusive economic zone, or other areas must comply with the operating and
designated under 33 U.S.C. recordkeeping requirements of the 2008
1902(a)(5)(B)(iii), (C)(iii), or (D)(iv) un- Annex VI (incorporated by reference in
less it is covered by a valid EIAPP cer- § 1043.100) related to Regulations 13, 14
tificate. and 18 of the 2008 Annex VI. This para-
(4) Engines installed on non-Party graph (f)(1) does not address require-
vessels are not required to have EIAPP ments of other portions of Annex VI.
certificates, but the operator must
(2) Non-Party vessels operating in an
have evidence of conformity with Reg-
ECA or ECA associated area must also
ulation 13 of Annex VI issued by either
comply with the requirements in
the government of a country that is
§ 1043.60.
party to Annex VI or a recognized clas-
sification society. For the purposes of (g) A replacement engine may be ex-
this paragraph, ‘‘recognized classifica- empted by EPA from Regulation 13 of
tion society’’ means a classification so- Annex VI and the NOX-related require-
ciety that is a participating member of ments of this part if it is identical to
the International Association of Classi- the engine being replaced and the old
fication Societies (IACS). engine was not subject to Regulation 13
(d) In addition to the engines ex- of Annex VI. Send requests for such ex-
cluded under § 1043.10, the following en- emptions to the Designated Certifi-
gines are excluded from the require- cation Officer.
ment to have an EIAPP certificate (or (h) Compliance with the provisions of
equivalent demonstration of compli- this part 1043 does not affect your re-
ance in the case of non-Party vessels) sponsibilities under 40 CFR part 1042
or otherwise meet the requirements of for engines subject to that part 1042.
Regulation 13 of Annex VI.
(1) Spark-ignition engines. § 1043.40 EIAPP certificates.
(2) Non-reciprocating engines. (a) Engine manufacturers seeking
(3) Engines that do not use liquid EIAPP certificates for new engines to
fuel. be used in U.S.-flagged vessels must
(4) Engines intended to be used solely apply to EPA for an EIAPP certificate
for emergencies. This includes engines in compliance with the requirements of
that power equipment such as pumps this section (which references 40 CFR
that are intended to be used solely for part 1042). Note that under APPS en-
emergencies and engines installed in gine manufacturers must comply with
lifeboats intended to be used solely for the applicable requirements of Regula-
emergencies. It does not include en- tion 13 of Annex VI to obtain a certifi-
gines to be used for both emergency cate. Note also that only the Adminis-
and non-emergency purposes. trator or the EPA official designated
(e) The following requirements apply by the Administrator may issue EIAPP
to Party vessels, including U.S.-flagged certificates on behalf of the U.S. Gov-

vessels: ernment.
538
(b) Persons other than engine manu- EIAPP certificate. The limitations for
facturers may apply for and obtain engine manufacturers described in
EIAPP certificates for new engines to paragraphs (a) and (d) of this section
be used in U.S.-flagged vessels by com- also apply for all EIAPP certificates
plying with the requirements of this issued under this paragraph (g). In ei-
section (which references 40 CFR part ther case, the Technical File must
1042) and the applicable requirements specify that the engine was originally
of Regulation 13 of Annex VI. certified for domestic use only, prior to
(c) In appropriate circumstances, being covered by an EIAPP certificate.
EPA may issue an EIAPP certificate Engine manufacturers may provide a
under this section for non-new engines supplemental label to clarify that the
or engines for vessels that will not ini- engine is no longer limited to domestic
tially be flagged in the U.S. service. An engine manufacturer, ves-
(d) EPA may issue both an EPA cer- sel manufacturer, or vessel owner may
tificate and an EIAPP certificate for also ask to apply the provisions of this
the same engine, as long as the manu- paragraph (g) to engines originally cer-
facturer and the engine meet all appli- tified for public vessels.
cable requirements. EPA may not issue
an EIAPP certificate if the engine is FR 9112, Feb. 19, 2015]
certified with an FEL under 40 CFR
part 1042 that is higher than the appli- § 1043.41 EIAPP certification process.
cable NOX emission standard under
Annex VI. This section describes the process for
(e) The process for obtaining an obtaining the EIAPP certificate re-
EIAPP certificate is described in quired by § 1043.40.
§ 1043.41. That section references regu- (a) You must send the Designated
lations in 40 CFR part 1042, which apply Certification Officer a separate appli-
under the Clean Air Act. References in cation for an EIAPP certificate for
that part to certificates of conformity each engine family. An EIAPP certifi-
are deemed to mean EIAPP certificate is valid starting with the indi-
cates. References in that part to the cated effective date and is valid for any
Clean Air Act as the applicable statute production until such time as the de-
are deemed to mean 33 U.S.C. 1901–1915. sign of the engine family changes or
(f) For engines that undergo a major more stringent emission standards be-
conversion or for engines installed on come applicable, whichever comes
imported vessels that become subject first. You may obtain preliminary ap-
to the requirements of this part, we proval of portions of the application
may specify alternate certification under 40 CFR 1042.210.
provisions consistent with the intent of (b) The application must contain all
this part. the information required by this part.
(g) This paragraph (g) applies for en- It must not include false or incomplete
gines that were originally excluded statements or information (see 40 CFR
from this part because they were in- 1042.255). Include the information speci-
tended for domestic use and were intro- fied in 40 CFR 1042.205 except as fol-
duced into U.S. commerce without an lows:
EIAPP certificate. Note that such en- (1) You must include the dates on
gines must be labeled as specified which the test engines were built and
under 40 CFR 1042.135 to indicate that the locations where the test engines
they are intended for domestic use. were built.
Such engines may be installed on ves- (2) Include a copy of documentation
sels not intended only for domestic op- required by this part related to mainte-
eration provided the engine manufac- nance and in-use compliance for opera-
turer, vessel manufacturer, or vessel tors, such as the Technical File and on-
owner obtains an EIAPP certificate. board NOX verification procedures as
Similarly, vessels originally intended specified by the NOX Technical Code
only for domestic operation may be (incorporated by reference in § 1043.100).
used internationally provided the en- (3) You are not required to provide
gine manufacturer, vessel manufac- information specified in 40 CFR 1042.205

turer, or vessel owner obtains an regarding useful life, emission labels,
539
§ 1043.41 40 CFR Ch. I (7–1–21 Edition)
deterioration factors, PM emissions, or normally attached directly to the en-

not-to-exceed standards. gine block. If we do the testing at your
(4) You must include a copy of your plant, you must schedule it as soon as
warranty instructions, but are not re- possible and make available the instru-
quired to describe how you will meet ments, personnel, and equipment we
warranty obligations. need.
(c) We may ask you to include less (ii) If we measure emissions from one
information than we specify in this of your test engines, the results of that
section as long as you maintain all the testing become the official emission re-
information required by paragraph (b) sults for the engine. Unless we later in-
of this section. validate these data, we may decide not
(d) You must use good engineering to consider your data in determining if
judgment for all decisions related to your engine family meets applicable
your application (see 40 CFR 1068.5). requirements.
(e) An authorized representative of (iii) Before we test one of your en-
your company must approve and sign gines, we may set its adjustable param-
the application. eters to any point within the specified
(f) See 40 CFR 1042.255 for provisions adjustable ranges (see 40 CFR
describing how we will process your ap- 1042.115(d)).
plication. (iv) Before we test one of your en-
(g) Your application, including the gines, we may calibrate it within nor-
Technical File and onboard NOX mal production tolerances for anything
verification procedures, is subject to we do not consider an adjustable pa-
amendment as described in 40 CFR rameter.
1042.225. (4) We may require you to test a sec-
(h) Perform emission tests as follows: ond engine of the same or different
(1) Select an emission-data engine configuration in addition to the engine
from each engine family for testing. tested under paragraph (b) of this sec-
For engines at or above 560 kW, you tion.
may use a development engine that is (5) If you use an alternate test proce-
equivalent in design to the engine dure under 40 CFR 1065.10 and later
being certified. For Category 3 engines, testing shows that such testing does
you may use a single-cylinder version not produce results that are equivalent
of the engine. Using good engineering to the procedures otherwise required
judgment, select the engine configura- by this part, we may reject data you
tion most likely to exceed an applica- generated using the alternate proce-
ble emission standard, considering all dure.
exhaust emission constituents and the (i) Collect emission data using meas-
range of installation options available urements to one more decimal place
to vessel manufacturers. than the applicable standard, then
(2) Test your emission-data engines round the value to the same number of
using the procedures and equipment decimal places as the emission stand-
specified in 40 CFR part 1042, subpart ard. Compare the rounded emission lev-
F, or in the NOX Technical Code (incor- els to the emission standard for each
porated by reference in § 1043.100). We emission-data engine.
may require that your test be wit- (j) Your engine family is considered
nessed by an EPA official. in compliance with the emission stand-
(3) We may measure emissions from ards in Regulation 13 of Annex VI if all
any of your test engines or other en- emission-data engines representing
gines from the engine family, as fol- that family have test results showing
lows: emission levels at or below these stand-
(i) We may decide to do the testing at ards. Your engine family is deemed not
your plant or any other facility. You to comply if any emission-data engine
must deliver the test engine to any representing that family has test re-
test facility we designate. The test en- sults showing an emission level above
gine you provide must include appro- an applicable emission standard for
priate manifolds, aftertreatment de- any pollutant.
vices, electronic control units, and (k) If we determine your application

other emission-related components not is complete and shows that the engines
540
meet all the requirements of this part, Officer. If we determine that your con-
we will issue an EIAPP certificate for trol method achieves emission levels
your engines. We may make the ap- equivalent to those achieved by the use
proval subject to additional conditions. of fuels meeting the requirements of
EFFECTIVE DATE NOTE: At 86 FR 34513, June Regulation 14 of Annex VI, we will
29, 2021, § 1043.41 was amended, effective July issue a certificate and notify IMO that
29, 2021. your method has been certified.
(b) The provisions of this paragraph
§ 1043.50 Approval of methods to meet (b) apply for vessels equipped with con-
Tier 1 retrofit NOX standards. trols certified by the Administration of
Regulation 13 of Annex VI provides a foreign flag vessel to achieve emis-
for certification of Approved Methods, sion levels equivalent to those
which are retrofit procedures that en- achieved by the use of fuels meeting
able Pre-Tier 1 engines to meet the the applicable fuel sulfur limits of Reg-
Tier 1 NOX standard of regulation 13 of ulation 14 of Annex VI. Fuels not meet-
Annex VI. Any person may request ap- ing the applicable fuel sulfur limits of
proval of such a method by submitting Regulation 14 of Annex VI may be used
an application for certification of an on such vessels consistent with the
Approve Method to the Designated Cer- provisions of the IAPP certificate,
tification Officer. If we determine that APPS and Annex VI.
your application conforms to the re- (c) Compliance with the require-
quirements of Regulation 13 of Annex ments of this section does not affect
VI, we will issue a certificate and no-
the applicability of requirements or
tify IMO that your Approved Method
prohibitions specified by other statutes
has been certified.
or regulations with respect to water
§ 1043.55 Applying equivalent controls pollution.
instead of complying with fuel re-
quirements. § 1043.60 Operating requirements for
engines and vessels subject to this
Regulation 4 of Annex VI allows Ad- part.
ministrations to approve the use of
fuels not meeting the requirements of This section specifies the operating
Regulation 14 of the Annex, provided requirements of this part. Note that it
the vessel applies a method that re- does not limit the operating require-
sults in equivalent emission reduc- ments of APPS or Annex VI that are
tions. This section describes provisions applicable to U.S.-flagged vessels out-
related to applying this allowance. side of U.S. domestic waters.
(a) Any person may request approval (a) Except as specified otherwise in
of such equivalent methods for control- this part, NOX emission limits apply to
ling emissions on U.S.-flagged vessels all engines with power output of more
by submitting an application for cer- than 130 kW that will be installed on
tification of an equivalent control vessels subject to this part as specified
method to the Designated Certification in the following table:
TABLE 1 TO § 1043.60 ANNEX VI NOX EMISSION STANDARDS (g/kW-hr)
Maximum in-use engine speed
Tier Area of applicability Implementation date a Less than 130 130–2000 Over 2000
RPM RPM b RPM
Tier I .................... All U.S. navigable waters January 1, 2004–De- 17.0 45.0 · n (¥0.20) 9.8
and EEZ. cember 31, 2010.
Tier II ................... All U.S. navigable waters January 1, 2011–De- 14.4 44.0 · n (¥0.23) 7.7
and EEZ. cember 31, 2015.
Tier II ................... All U.S. navigable waters January 1, 2016 and 14.4 44.0 · n (¥0.23) 7.7
and EEZ, exluding ECA later.
and ECA associated areas.
Tier III .................. ECA and ECA associated January 1, 2016 and 3.4 9.0 · n (¥0.20) 2.0
areas. later c.
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 § 1042.140). Round the
standards to one decimal place.
541
§ 1043.70 40 CFR Ch. I (7–1–21 Edition)
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 waters. Send requests for exemptions

this part, fuel sulfur limits apply to all to the Designated Certification Officer.
vessels subject to this part as specified
in the following table: FR 9112, Feb. 19, 2015; 81 FR 74161, Oct. 25,
2016; 85 FR 78468, Dec. 4, 2020]
TABLE 2 TO § 1043.60 ANNEX VI FUEL SULFUR
LIMITS (wt %) a § 1043.70 General recordkeeping and
Sulfur limit in all Sulfur limit in ECA
reporting requirements.
U.S. navigable and ECA associ-
Calendar years waters and EEZ ated areas (a) Under APPS, owners and opera-
(percent) (percent) tors of Party vessels must keep records
related to NOX standards and in-use
2010–2011 ............. 4.50 1.00
2012–2014 ............. 3.50 1.00 fuel specifications such as the Tech-
2015–2019 ............. 3.50 0.10 nical File, the Engine Book of Record
2020 and later ....... 0.50 0.10 Parameters, and bunker delivery notes.
a Note that Regulation 3 and Regulation 4 of Annex VI allow Owners and operators of non-Party ves-
for the use of noncompliant fuel in certain circumstances. sels must keep these records as speci-
(c) Operators of non-Party vessels fied in the NOX Technical Code and
must comply with the requirements of Regulations 13, 14, and 18 of 2008 Annex
paragraphs (a) and (b) of this section as VI (incorporated by reference in
well as other operating requirements § 1043.100). We may inspect these
and restrictions specified in 2008 Annex records as allowed by APPS. As part of
VI (incorporated by reference in our inspection, we may require that
§ 1043.100) related to Regulations 13, 14, the owner submit copies of these
and 18. records to us.
(d) This paragraph (d) applies for ves- (b) Nothing in this part limits record-
sels that are excluded from Regulation keeping and reporting the Secretary
13 of Annex VI and the NOX-related re- may require, nor does it preclude the
quirements of this part under Secretary from providing copies of any
records to EPA.
§ 1043.10(a)(2) or (b)(3) because they op-
erate only domestically. Where the (c) Nothing in this part limits the
vessels operate using only fuels meet- recordkeeping and reporting require-
ing the specifications of 40 CFR part ments applicable with respect to en-
1090 for distillate fuel, they are deemed gines and vessels subject to 40 CFR
part 1042 or with respect to fuels sub-
to be in full compliance with the fuel
ject to 40 CFR part 1090.
use requirements and prohibitions of
this part and of Regulations 14 and 18 (d) This paragraph (d) applies for ves-
of Annex VI. sels that are excluded from Regulation
13 of Annex VI and the NOX-related re-
(e) Except as noted in paragraph (d)
quirements of this part under
of this section, nothing in this section
§ 1043.10(a)(2) or (b)(3) because they op-
limits the operating requirements and
erate only domestically. Where the
restrictions of Annex VI, as imple-
vessel operator has fuel receipts (or
mented by APPS, for Party vessels, in-
equivalent records) for the preceding
cluding U.S.-flagged vessels. Note also
three years showing it operated using
that nothing in this part limits the op-
only fuels meeting the specifications of
erating requirements and restrictions
40 CFR part 1090 for distillate fuel,
applicable for engines and vessels sub-
they are deemed to be in full compli-
ject to 40 CFR part 1042 or the require-
ance with the fuel recordkeeping re-
ments and restrictions applicable for quirements and prohibitions of this
fuels subject to 40 CFR part 1090. part and Annex VI.
(f) We may exempt historic steam-
ships from the fuel requirements of [75 FR 23013, Apr. 30, 2010, as amended at 80
this part for operation in U.S. internal FR 9113, Feb. 19, 2015; 85 FR 78468, Dec. 4,
2020]
542
§ 1043.80 Recordkeeping and reporting other equivalent methods that we ap-

requirements for fuel suppliers. prove. Where the density and/or sulfur
Under APPS, fuel suppliers must pro- content of the delivered fuel cannot be
vide bunker delivery notes to vessel op- measured, we may allow the use of al-
erators for any fuel for an engine on ternate methods to specify the density
any vessel identified in paragraph (a) of and/or sulfur content of the fuel. For
this section. Fuel suppliers must also example, where fuel is supplied from
keep copies of these records. multiple tanks on a supply vessel, we
(a) The requirements of this section may allow the density and sulfur con-
apply for fuel delivered to any of the tent of the fuel to be calculated as a
following vessels: weighted average of the measured den-
(1) Vessels of 400 gross tonnage and sities and sulfur contents of the fuel
above engaged in voyages to ports or that is supplied from each tank.
offshore terminals under the jurisdic- [75 FR 23013, Apr. 30, 2010, as amended at 80
tion of other Parties. FR 9113, Feb. 19, 2015; 85 FR 78468, Dec. 4,
(2) Platforms and drilling rigs en- 2020]
gaged in voyages to waters under the
sovereignty or jurisdiction of other § 1043.90 [Reserved]
Parties.
§ 1043.95 Great Lakes provisions.
(b) Except as allowed by paragraph
(c) of this section, the bunker delivery The provisions of this section apply
note must contain the following: for vessels operating exclusively in the
(1) The name and IMO number of the Great Lakes.
receiving vessel. (a) Notwithstanding other provisions
(2) Port (or other description of the of this part, the requirements of this
location, if the delivery does not take part do not apply for vessels propelled
place at a port). by steam turbine engines or recipro-
(3) Date the fuel is delivered to the cating steam engines (also known as
vessel (or date on which the delivery steamships), provided they were pro-
begins where the delivery begins on one pelled by steam engines and operated
day and ends on a later day). within the Great Lakes before October
(4) Name, address, and telephone 30, 2009 and continue to operate exclu-
number of fuel supplier. sively within the Great Lakes.
(5) Fuel type and designation under (b) The fuel-use requirements of this
40 CFR part 1090. part do not apply through December 31,
(6) Quantity in metric tons. 2025, for a ship qualifying under para-
(7) Density at 15 °C, in kg/m3. graph (a) of this section if it was in
(8) Sulfur content in weight percent. service as a steamship on October 30,
(9) A signed statement by an author- 2009 and it is repowered with one or
ized representative of the fuel supplier more marine diesel engines, subject to
certifying that the fuel supplied con- the following conditions and require-
forms to Regulations 14 and 18 of ments:
Annex VI consistent with its designa- (1) Engines must meet exhaust emis-
tion, intended use, and the date on sion standards using one of the fol-
which it is to be used. For example, lowing approaches:
with respect to conformity to Regula- (i) All the installed replacement en-
tion 14 of Annex VI, a fuel designated gines must be certified to applicable
and intended for use in an ECA any standards under 40 CFR part 1042 based
time on or after January 1, 2015 may on the date the vessel enters dry dock
not have a sulfur content above 0.10 for service.
weight percent. This statement is not (ii) We may approve the use of an en-
required if the vessel is not subject to gine meeting less stringent standards if
fuel standards of Regulation 14 of the owner can demonstrate that it
Annex VI. The statement described in took possession of the engine before
this paragraph (b)(9) is deemed to be a October 30, 2009, and that engine is a
submission to EPA. new engine that has not been installed
(c) You may measure density and sul- in a non-marine application. Such an
fur content according to the specifica- engine must at a minimum be certified

tions of Annex VI, or according to to the Annex VI NOX emission standard
543
§ 1043.95 40 CFR Ch. I (7–1–21 Edition)
referenced in § 1043.60 that applies joint ventures, include the bond rating
based on its build date. of the joint venture entity and the
(2) The vessel owner must notify us bond ratings of all partners; in the case
regarding the intent to use this provi- of corporations, include the bond rat-
sion. The notification must include a ings of any parent or subsidiary cor-
description of the vessel and a sum- porations).
mary of the project, including the ex- (iii) Estimated capital investment
pected timeline, and other relevant in- needed to comply with the require-
formation. ments of this part by the applicable
(3) The vessel owner must notify the date.
Designated Certification Officer when (4) In determining whether to grant
the project is complete. We will send the exemptions, we will consider all
the owner a statement that the repow- relevant factors, including the fol-
ered ship is exempt from fuel sulfur re- lowing:
quirements through December 31, 2025; (i) The number of vessels to be ex-
this statement must be kept onboard empted.
the vessel for compliance purposes.
(ii) The size of your company and
(4) All other requirements under this
your ability to endure the hardship.
part 1043 continue to apply, including
requirements related to bunker deliv- (iii) The length of time a vessel is ex-
ery notes. pected to remain out of compliance
(5) This paragraph (b) applies only for with this part.
vessels whose hull remains intact (iv) The ability of an individual ves-
through the repowering process. For sel to recover capital investments in-
example, if a steamship is converted to curred to repower or otherwise modify
a barge for use with tugboats, those a vessel to reduce air emissions.
vessels must use fuel meeting the re- (5) In addition to the application re-
quirements of this part 1043. quirements of paragraphs (b)(1)
(c) In cases of serious economic hard- through (4) of this section, your appli-
ship, we may exempt Great Lakes ves- cation for temporary relief under this
sels from the otherwise applicable fuel paragraph (b) must also include a com-
use requirements under this part. pliance plan that shows the period over
(1) To be eligible, you must dem- which the waiver is needed.
onstrate that all of the following are (6) We may impose conditions on the
true: waiver, including conditions to limit or
(i) Unusual circumstances exist that recover any environmental loss.
impose serious economic hardship and (d) Prior to January 1, 2015, it is not
significantly affect your ability to a violation of this part for vessels oper-
comply. ating exclusively in the Great Lakes to
(ii) You have taken all reasonable use a residual fuel not meeting the sul-
steps to minimize the extent of the fur limits of Regulation 14.4.2 of Annex
nonconformity. VI, where the operator bunkers with
(iii) No other allowances are avail- the lowest sulfur marine residual fuel
able under the regulations in this chap- that was available within the port area
ter to avoid the impending violation. where the vessel bunkered the fuel. For
(2) Send the Designated Certification purposes of this paragraph (c), port
Officer a written request for an exemp- area means the geographic limits of
tion no later than January 1, 2014. the port as specified by the Army Corps
(3) Applicants must provide, at a of Engineers. The reporting and record-
minimum, the following information: keeping requirements of this part con-
(i) Detailed description of existing tinue to apply for such operation. In
contract freight rates, the additional addition, if you operate using a resid-
operating costs attributed to com- ual fuel not meeting the sulfur limits
plying with the regulations, any loan of Regulation 14.4.2 under this para-
covenants or other requirements re- graph (c), you must send a report to
garding vessel financial instruments or the Designated Certification Officer
agreements. that identifies the fuel that was used
(ii) Bond rating of entity that owns and documents how you determined
the vessels in question (in the case of that no compliant fuel was available.
544
You must send this report within three introductory text, 1043.20, 1043.30(f),
months after the fueling event. 1043.60(c), and 1043.70(a).
(ii) NOX Technical Code 2008, Tech-
FR 2478, Jan. 18, 2012; 80 FR 9113, Feb. 19, nical Code on Control of Emission of
2015] Nitrogen Oxides from Marine Diesel
Engines, 2013 Edition, (‘‘NOX Technical
§ 1043.97 Interim provisions. Code’’); IBR approved for §§ 1043.20,
(a) The fuel-related requirements 1043.41(b) and (h), and 1043.70(a).
under APPS for operation in the North (iii) Annex 12, Resolution
American ECA, the United States Car- MEPC.251(66) from the Report of the
ibbean Sea ECA, and ECA-associated Marine Environment Protection Com-
areas do not apply until January 1, 2020 mittee on its Sixty-Sixth Session,
for steamships built on or before Au- April 25, 2014. This document describes
gust 1, 2011 if they are powered by pro- new and revised provisions that are
pulsion boilers that were not originally considered to be part of Annex VI and
designed for continued operation on NOX Technical Code 2008 as referenced
marine distillate fuel or natural gas. in paragraphs (b)(1)(i) and (ii) of this
(b) [Reserved] section. IBR approved for §§ 1043.1 in-
troductory text, 1043.20, 1043.30(f),
[80 FR 9113, Feb. 19, 2015] 1043.41(b) and (h), 1043.60(c), and
1043.70(a).
§ 1043.100 Incorporation by reference.
(2) [Reserved]
(a) Certain material is incorporated
[81 FR 74161, Oct. 25, 2016]
by reference into this part with the ap-
proval of the Director of the Federal EFFECTIVE DATE NOTE: At 86 FR 34513, June
Register under 5 U.S.C. 552(a) and 1 29, 2021, § 1043.100 was revised, effective July
CFR part 51. To enforce any edition 29, 2021.
other than that specified in this sec-
tion, the Environmental Protection PART 1045—CONTROL OF EMIS-
Agency must publish a document in SIONS FROM SPARK-IGNITION
the FEDERAL REGISTER and the mate- PROPULSION MARINE ENGINES
rial must be available to the public. All AND VESSELS
approved material is available for in-
spection at U.S. EPA, Air and Radi- Subpart A—Overview and Applicability
ation Docket and Information Center,
1301 Constitution Ave. NW., Room B102, Sec.
EPA West Building, Washington, DC 1045.1 Does this part apply for my products?
20460, (202) 202–1744, and is available 1045.2 Who is responsible for compliance?
1045.5 Which engines are excluded from this
from the sources listed below. It is also
available for inspection at the National 1045.10 How is this part organized?
Archives and Records Administration 1045.15 Do any other CFR parts apply to
(NARA). For information on the avail- me?
ability of this material at NARA, call 1045.20 What requirements apply to my ves-
202–741–6030, or go to: http:// sels?
www.archives.gov/federallregister/ 1045.25 How do the requirements related to
codeloflfederallregulations/ evaporative emissions apply to engines
ibrllocations.html. and their fuel systems?
(b) The International Maritime Orga-
nization, 4 Albert Embankment, Lon- Subpart B—Emission Standards and
don SE1 7SR, United Kingdom, or Related Requirements
www.imo.org, or 44-(0)20–7735–7611.
(1) MARPOL Annex VI, Regulations 1045.101 What exhaust emission standards
for the Prevention of Air Pollution and requirements must my engines
from Ships, Third Edition, 2013, and meet?
1045.103 What exhaust emission standards
NOX Technical Code 2008.
must my outboard and personal
(i) Revised MARPOL Annex VI, Regu- watercraft engines meet?
lations for the Prevention of Pollution
1045.105 What exhaust emission standards

from Ships, Third Edition, 2013 (‘‘2008 must my sterndrive/inboard engines
Annex VI’’); IBR approved for §§ 1043.1 meet?
545
1045.107 What are the not-to-exceed emis- 1045.335 How do I ask EPA to reinstate my
sion standards? suspended certificate?
1045.110 How must my engines diagnose 1045.340 When may EPA revoke my certifi-
malfunctions? cate under this subpart and how may I
1045.112 What are the standards for evapo- sell these engines again?
rative emissions? 1045.345 What production-line testing
1045.115 What other requirements apply? records must I send to EPA?
1045.120 What emission-related warranty re- 1045.350 What records must I keep?
quirements apply to me?
1045.125 What maintenance instructions Subpart E—In-Use Testing
must I give to buyers?
1045.130 What installation instructions 1045.401 What testing requirements apply to
must I give to vessel manufacturers? my engines that have gone into service?
1045.135 How must I label and identify the 1045.405 How does this program work?
engines I produce? 1045.410 How must I select, prepare, and test
1045.140 What is my engine’s maximum en- my in-use engines?
gine power? 1045.415 What happens if in-use engines do
1045.145 Are there interim provisions that not meet requirements?
apply only for a limited time? 1045.420 What in-use testing information
must I report to EPA?
Subpart C—Certifying Engine Families 1045.425 What records must I keep?
1045.201 What are the general requirements Subpart F—Test Procedures

for obtaining a certificate of conformity?
1045.205 What must I include in my applica- 1045.501 How do I run a valid emission test?
1045.505 How do I test engines using dis-
tion?
crete-mode or ramped-modal duty cy-
1045.210 May I get preliminary approval be-
cles?
fore I complete my application?
1045.515 What are the test procedures re-
1045.220 How do I amend the maintenance
lated to not-to-exceed standards?
instructions in my application?
1045.520 What testing must I perform to es-
1045.225 How do I amend my application for
tablish deterioration factors?
certification to include new or modified
engines or change an FEL?
Subpart G—Special Compliance Provisions
1045.230 How do I select engine families?
1045.235 What emission testing must I per- 1045.601 What compliance provisions apply
form for my application for a certificate to these engines?
of conformity? 1045.605 What provisions apply to engines
1045.240 How do I demonstrate that my en- already certified under the motor vehicle
gine family complies with exhaust emis- or Large SI programs?
sion standards? 1045.610 What provisions apply to using en-
1045.245 How do I determine deterioration gines already certified to Small SI emis-
factors from exhaust durability testing? sion standards?
1045.250 What records must I keep and what 1045.620 What are the provisions for exempt-
reports must I send to EPA? ing engines used solely for competition?
1045.255 What decisions may EPA make re- 1045.625 What requirements apply under the
garding my certificate of conformity? Diurnal Transition Program?
1045.630 What is the personal-use exemp-
Subpart D—Testing Production-Line Engines tion.
1045.635 What special provisions apply for
1045.301 When must I test my production- small-volume engine manufacturers?
line engines? 1045.640 What special provisions apply to
1045.305 How must I prepare and test my branded engines?
production-line engines? 1045.645 What special provisions apply for
1045.310 How must I select engines for pro- converting an engine to use an alternate
duction-line testing? fuel?
1045.315 How do I know when my engine 1045.650 Do delegated-assembly provisions
family fails the production-line testing apply for marine engines?
requirements? 1045.655 What special provisions apply for
1045.320 What happens if one of my produc- installing and removing altitude kits?
tion-line engines fails to meet emission 1045.660 How do I certify outboard or per-
standards? sonal watercraft engines for use in jet
1045.325 What happens if an engine family boats?
fails the production-line testing require-
ments? Subpart H—Averaging, Banking, and
1045.330 May I sell engines from an engine Trading for Certification

family with a suspended certificate of
conformity? 1045.701 General provisions.
546
1045.705 How do I generate and calculate ex- § 1045.145(a). Engines certified to these
haust emission credits? standards are subject to all the re-
1045.706 How do I generate and calculate quirements of this part as if these op-
evaporative emission credits?
1045.710 How do I average emission credits?
tional standards were mandatory.
1045.715 How do I bank emission credits? (c) See 40 CFR part 91 for require-
1045.720 How do I trade emission credits? ments that apply to outboard and per-
1045.725 What must I include in my applica- sonal watercraft engines not yet sub-
ti

CFR 2021 Title40 Vol36

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CFR 2021 Title40 Vol36

Uploaded by

Copyright:

Available Formats

Title 40

Revised as of July 1, 2021

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PUBLISHING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Phone: toll-free (866) 512-1800; DC area (202) 512-1800

Chapter I—Environmental Protection Agency (Continued) ............ 3

Table of CFR Titles and Chapters ....................................................... 807

Alphabetical List of Agencies Appearing in the CFR ......................... 827

List of CFR Sections Affected ............................................................. 837

To cite the regulations in

lishing in the CFR are also included in this volume.

Title 40—PROTECTION OF ENVIRONMENT is composed of thirty-seven volumes.

Chapter I—Environmental Protection Agency appears in all thirty-seven vol-

Chapters IV–IX—Regulations issued by the Environmental Protection Agency

CHAPTER I—Environmental Protection Agency (Continued) 1027

EDITORIAL NOTE: Nomenclature changes to chapter I appear at 65 FR 47324, 47325, Aug. 2,

SUBCHAPTER U—AIR POLLUTION CONTROLS

PARTS 1000–1026 [RESERVED] (2) The following nonroad engines

and heavy-duty highway engines and vehicles, and fuel-system components.

other parts generically as the ‘‘stand- for certification. Each reference to a

(i) Light-duty vehicles and trucks ................................................................ Federal ............................................. $33,883

(i) Locomotives and locomotive engines .................................................... All ..................................................... $826

Consumer Price Index and the number

Where: CPI2006 = 201.8. This is based on the October

Where: the amount specified for the previous

(2) The applicable Consumer Price and L values to the equation in

(c) Requesting refunds under ment compliance pro-

ICI ......... Independent Commercial (i) A type certificated maximum pas-

after January 11, 2021. ciency metric value of a prior version

Where: (b) For each airplane model, estab-

For airplanes defined in . . . with MTOM . . . the standard is . . .

§ 1030.35 Change criteria. cent for an airplane with a MTOM of

approved material is available for in- Subpart C—Certifying Engine Families

1033.135 Labeling. 1033.535 Adjusting emission levels to ac-

1973–1992 a ................................. Tier 0b ........................................ 8.0 0.22 1.00 5.0

c Tier 3 line-haul locomotives must also meet Tier 2 switch standards.

1973–2001 ................................... Tier 0 ........................................... 11.8 0.26 2.10 8.0

duty-cycle weighted brake-specific sions upward by 0.01 g/bhp-hr to make

must identify the malfunctioning sys- § 1033.115 Other requirements.

ation by hours, work, or excess NOX design or produce your locomotives

or elements of design that cause or (iv) The locomotive emissions when

ers for any components covered in on your emission-data locomotives, as

equipped with an automatic engine ‘‘THIS LOCOMOTIVE WAS CER-

For model For model

0 <MW-hrs ≤50% of UL ................................................................................................................ 0.7 0.01

TABLE 2 TO § 1033.150—OPTIONAL IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES

For model year For model year

0 <MW-hrs ≤50% of UL ........................................................................................................ 0.2 0.03

certifying such locomotives to the must renew your certification annually

manufacturers/remanufacturers may (j) For imported locomotives, we may

United States related to the require- tions. If owners/operators follow the

family covered by the application for § 1033.240 Demonstrating compliance

[73 FR 37197, June 30, 2008, as amended at 74

available. We may review them at any are also violations of 40 CFR

(e) We may void your certificate if we § 1033.305 General requirements.

cedures described in subpart F of this lyst-equipped locomotives, you may

emission standard. For catalyst- mulation was conducted and descrip-

schedule, if applicable. If the loco- perform emission testing under this

(1) The location and description of that auditing of that locomotive is