Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is amending the test procedures for heavy-duty engines and vehicles to improve accuracy and reduce testing burden. EPA is also making other regulatory amendments concerning light-duty vehicles, heavy-duty vehicles, highway motorcycles, locomotives, marine engines, other nonroad engines and vehicles, and stationary engines. These amendments affect the certification procedures for exhaust emission standards and related requirements. EPA is finalizing similar amendments for evaporative emission standards for nonroad equipment and portable fuel containers. The amendments increase compliance flexibility, harmonize with other requirements, add clarity, correct errors, and streamline the regulations. Given the nature of the amendments, they will have neither significant environmental impacts nor significant economic impacts for any sector.
This final rule is effective on July 29, 2021. The incorporation by reference of certain publications listed in this regulation is approved by the Director of the Federal Register as of July 29, 2021.
The EPA has established a docket for this action under Docket ID No. EPA–HQ–OAR–2019–0307. All documents in the docket are listed on the www.regulations.gov website. Although listed in the index, some information is not publicly available, e.g., confidential business information (CBI) or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the internet and will be publicly available only in hard copy form. Publicly available docket materials are available either electronically in www.regulations.gov or in hard copy at Air and Radiation Docket and Information Center, EPA Docket Center, EPA/DC, EPA WJC West Building, 1301 Constitution Ave. NW, Room 3334, Washington, DC. Note that the EPA Docket Center and Reading Room were closed to public visitors on March 31, 2020, to reduce the risk of transmitting COVID–19. The Docket Center staff will continue to provide remote customer service via email, phone, and webform. The telephone number for the Public Reading Room is (202) 566–1744, and the telephone number for the Air Docket is (202) 566–1742. For further information on EPA Docket Center services and the current status, go to
Alan Stout, Office of Transportation and Air Quality, Assessment and Standards Division, Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; telephone number: (734) 214–4805; email address:
This action relates to companies that manufacture, sell, or import into the United States new heavy-duty engines or Class 2b through 8 trucks, including combination tractors, vocational vehicles, and all types of buses.
This list is not intended to be exhaustive, but rather provides a guide for readers regarding entities likely to be regulated by this action. If you have questions regarding the applicability of this action to a particular entity, consult the person listed in the
This action amends the regulations that implement our air pollutant emission standards for engines, vehicles and mobile equipment. The amendments include corrections, clarifications, and flexibilities for multiple types of vehicles, engines and equipment.
The majority of these amendments modify existing test procedures for heavy-duty highway engines and vehicles. These test procedure changes improve accuracy, and in some cases, reduce test burden. They mainly apply for measurement of greenhouse gas (GHG) pollutants (primarily CO2), though some apply for criteria pollutants (such as NO
Additional heavy-duty highway amendments update EPA regulations to enhance implementation of existing emission standards. For example, some changes reduce the likelihood that manufacturers would need to duplicate certification efforts to comply with EPA, Canadian, and Californian standards. Some amendments make it easier for manufacturers to more fully account for the emission benefits of advanced emission control technology, which could provide them the opportunity to generate additional emission credits. These heavy-duty highway amendments are described in Section II.B.
This rule includes other amendments that are generally administrative or technical in nature and include amendments for nonroad engines and vehicles, stationary engines, and portable fuel containers. These amendments are described in Section III. Perhaps the most visible administrative amendment is the elimination of hundreds of pages of obsolete regulations, which is described in Section III.B.
EPA published a proposed rule on May 12, 2020 (85 FR 28140). This final rule follows from that proposal, with several adjustments that reflect EPA's consideration of comments received. Most of the proposed revisions from that document are addressed in this final rule. EPA is also issuing a new notice of proposed rulemaking to supplement the earlier proposed rule, published in the Proposed Rules section of this issue of the
The proposed rule included requests for comment on a wide range of issues, including some broad areas where we were interested only in gathering information for potential future rulemaking(s). This preamble does not include a discussion of those comment areas where we are not taking any action in this final rule. The “Improvements for Heavy-Duty Engine and Vehicle Test Procedures, and other Technical Amendments Response to Comments” document (“Response to Comments”) in the docket for this rulemaking includes a summary of the input received from commenters and EPA's responses.
In addition, we have prepared a docket memo with redline text to highlight all the changes to the regulations in the proposed rule.
This action is limited in scope and does not include amendments that have significant economic or environmental impacts. EPA has therefore not estimated the potential costs or benefits of this final rule (and we did not for the proposal).
Since the promulgation of the Phase 2 regulations, manufacturers have been revising their internal test procedures to ensure they will be able to comply with the new requirements that begin in model year 2021. In doing so, they have identified several areas in which the test procedure regulations could be improved (in terms of overall accuracy, repeatability and clarity) without changing the effective stringency of the standards.
EPA is making numerous changes to the test procedure regulations to address manufacturers' concerns and other issues we have identified. These changes are described below. The list includes numerous editorial changes that simply correct typographical/formatting errors or revise the text to improve clarity. Although these amendments are being made primarily in the context of heavy-duty engines and vehicles, the amendments to part 1065 will also apply to nonroad engines, and the amendments to part 1066 will also apply to light-duty vehicles. Since these amendments are mostly editorial or adding flexibility, they will not adversely impact these other sectors.
EPA proposed several updates to the testing and measurement provisions of part 1036, subpart F, and appendices of part 1036 related to how to measure emissions from heavy-duty engines and requested comment on general improvements to the engine test procedures and compliance provisions (85 FR 28141). This section presents the changes we are adopting to engine test procedures after consideration of comments received. Additional details on some of these and other engine testing and measurement amendments or clarifications requested by
These updates are primarily for the purposes of adding flexibility and reducing variability in test results. Additional information that led to and supports these changes arose from a test program at Southwest Research Institute (SwRI) that was jointly funded by EPA and the Truck and Engine Manufacturers Association (EMA).
We are generally finalizing revisions as proposed; however, some revisions include further changes and clarifications after consideration of public comments to better ensure clarity, accuracy and consistency with the intent of the proposed rule.
• Section 1036.501(g)—Providing a new paragraph (g) to specify duty cycles for testing model year (MY) 2016–2020 engines, including additional clarifications to the proposed amendment to refer to the steady-state duty cycle as the Supplemental Emission Test (“SET”) rather than the Ramped Modal Cycle (“RMC”) to avoid confusion as steady-state cycles are run as RMCs in many standard setting parts, and to change a reference for the Federal Test Procedure (“FTP”) duty cycle from appendix B of 40 CFR part 1036 to 40 CFR 1036.510 because 40 CFR 1036.510 gives an overview of the duty cycle and provides the reference to appendix B of 40 CFR part 1036.
• Section 1036.501(h)—Renumbering existing paragraph (g) concerning testing of MY 2021 and later engines as new paragraph (h), modifying paragraph (h)(1) to address restarting the engine during dynamometer testing for engines with stop-start technologies, and adding paragraph (h)(3) (shown as (h)(2) in the proposed rule) to cross-reference transient test cycle specifications, including additional clarifications in final paragraph (h)(2) to refer to the Supplemental Emission Test cycle to avoid confusion as steady-state cycles are run as RMCs in many standard setting parts and in paragraph (h)(2)(ii) that weighting factors for the Supplemental Emission Test are to be applied to CO2 to calculate the composite emission result.
• Section 1036.503—Migrating § 1036.510 to new § 1036.503, renumbering existing paragraph (d) as new paragraph (c), updating paragraphs (b) and (c)(1) through (3) and adding paragraphs (c)(4) and (5) and (d), including provisions to specify that the engine manufacturer must provide idle speed and torque to the vehicle manufacturer and to provide additional direction on handling data points for a low speed governor where the governor is active. We further modified proposed paragraph (b) to denote that there are four methods to generate fuel maps with the addition of the hybrid powertrain and hybrid engine testing procedures and to more clearly explain which method(s) apply to which application, paragraphs (b)(1) and (2) to add more specificity to which referenced paragraphs in § 1036.535 are applicable, paragraph (b)(3) to clarify that the option in § 1037.520(d)(2) is only allowed for hybrid powertrain testing and not powertrain testing in general, and added paragraph (b)(4) to include a method to perform hybrid engine testing. We also further updated paragraph (c)(1) to clarify how to measure torque curve for engines that have a rechargeable energy storage system (RESS) and for those that don't.
• Section 1036.505—Adding paragraph (b) to give direction on both engine and powertrain testing and modifying Table 1 to include vehicle speed and grade parameters to facilitate the hybrid powertrain testing option. We further modified the proposed language in this section by: Adding a new paragraph (b)(2)(v) to calculate curb mass for hybrid powertrain testing as this calculation is needed to determine the linear equivalent mass of rotational moment of inertias in clarified paragraph (b)(2)(vi), adding reference speed determination requirements for powertrain testing in paragraphs (c)(2)(i) and (ii) to address underspeed conditions in the hybrid powertrain SET testing, including a removal of default A, B, and C SET speeds and calculation of the A and B speeds based on C speed, modifying Table 1 further to include vehicle speed and grade parameters to facilitate the hybrid powertrain testing option so the road grade equation is now vehicle speed-dependent to address vehicle underspeed concerns corresponding to the determination and use of vehicle C speed, and replacing ramped modal cycle with supplemental emission test for the reason discussed in the first bullet of this subsection of the preamble.
• Section 1036.510—Providing a new section regarding transient testing of engines and hybrids to facilitate hybrid certification for both GHG and criteria pollutants.
• Section 1036.525(a)—Adding a clarification in the final rule that the hybrid engine testing procedure in this section applies only for model year 2014 to 2020 hybrid engines since the new hybrid powertrain and hybrid engine test procedure being adopted in this rulemaking will apply for model year 2021 and later engines.
• Section 1036.525(d)(4)(i)—Editorial revisions to equation and the addition of example calculations.
• Section 1036.527—Adding a section to provide a means to determine powertrain systems rated power and continuous rated power, to facilitate the hybrid and conventional powertrain testing options. This test procedure is applicable for powertrain testing defined in 40 CFR 1037.550 for both the engine and vehicle standards. We further modified the proposed language, including modifying how the test is carried out by reducing the number of test intervals from 9 to 1, paragraph (e) to address the determination of Psys for speed and torque measurements at different locations, with new paragraphs (g) and (h) to provide an improved method for determining continuous rated power and vehicle C speed, and addressed typographical errors.
• Section 1036.530(a), (b)(1)(i) and (ii), and (b)(2)(i) and (ii)—Updating carbon mass fraction determination to allow analysis by a single lab only to facilitate on-line analysis from pipeline supplied natural gas and adding the ASTM International method for determination of test fuel mass-specific energy content for natural gas. We have further modified the proposed language by clarifying in paragraph (a) that the infrequent regeneration adjustment factors (IRAF) are applied to CO2 emission results for all duty-cycles, not just cycle average engine fuel map results, and updating paragraph (b) to require test fuel mass-specific energy content and carbon mass fraction to be analyzed by at least three different labs and the median of all the results to be used in the calculation. We are also adding a recommendation that you screen your results to determine if additional observations are needed by performing an outlier test and provided critical values for this check. The critical values were determined as 1.27 times the method reproducibility R. The R value used for fuel mass-specific energy content is 0.234 which is the published R value for ASTM D4809 and the R value used for carbon mass fraction is 1.23, which was based on analysis of the fuel survey data for ASTM D5291 that was used in the Fuel Mapping Variability Study at SwRI.
• Section 1036.530 Table 1—Updating footnote format in table.
• Section 1036.535—Generally updating to improve the engine fuel mapping test procedures based on the jointly funded EPA–EMA test program. The overall result of these updates is to reduce the variability of the emission test results to reduce lab-to-lab variability. We further modified the proposed language by adding paragraph (h) to describe how EPA will determine the official fuel consumption rate during a confirmatory test, based on carbon balance results, updating paragraph (b)(7)(iv) to require validation of test intervals that were complete prior to a lab equipment or engine malfunction, updating the variable description for
• Section 1036.540—Generally updating to improve the cycle-average engine fuel mapping test procedure as a result of the jointly funded EPA–EMA test program at SwRI. The overall result of these updates is to reduce the variability of the emission test results to reduce lab-to-lab variability. We further modified the proposed language in a few ways by adding paragraph (b)(4) to address the ability of gaseous fueled engines with single point fuel injection to pass alternate cycle statistics to validate the transient duty cycle in 40 CFR part 1037, appendix I, by adding paragraph (e)(2) to describe how EPA will determine the official fuel consumption rate during a confirmatory test, based on carbon balance results, by deleting the requirement for EPA to use an average of indirect measurement of fuel flow with dilute sampling and direct sampling for fuel mapping as EPA will now perform the carbon balance verification in 40 CFR 1065.543, and by generally adding some clarifying text.
• Section 1036.543—Adding a section to address carbon balance error verification. This is a result of the jointly funded EPA–EMA test program. The overall result of these updates is to reduce the variability of the emission test results to reduce lab-to-lab measurement variability.
• Section 1036.801—Adding a definition for hybrid engine to correspond with the addition of the hybrid powertrain test procedures to part 1036. Modifying the definition from the proposed language to provide examples of hybrid engine architecture and hybrid energy storage systems.
• Section 1036.801—Adding definitions for “hybrid powertrain” and “mild hybrid” in the final rule. These definitions are needed as a result of adding hybrid powertrain test procedures to part 1036, subpart F, including mild hybrid certification where engine testing can use a transmission model. The definitions make clear what hybrid architectures are covered by each of these terms.
• Section 1036.801—Updating definition of “steady-state” to clarify that fuel map and idle tests are steady-state tests.
• Section 1036.805(b)—Updating quantity and quantity descriptions, including some changes to those proposed to ensure consistency throughout the part.
• Section 1036.805(c) and (d)—Updating table introductory sentence and column headings in the table to be consistent with format in other parts.
• Section 1036.805(e)—Updating acronyms and abbreviations, including some changes to those proposed to ensure that the table contained all that were used throughout the part.
• Section 1036.805(f)—Adding gravitational constant, including an updated value for the gravitational constant based on consideration of comments received on the proposal.
• Part 1036, appendix A—Adding a new appendix A to provide a historic summary of previous emission standards which EPA originally adopted under 40 CFR part 85 or 86, that apply to compression-ignition engines produced before model year 2007 and to spark-ignition engines produced before model year 2008.
• Part 1036, appendix B(a)—Adding a new paragraph (a) of appendix B to specify transient duty cycles for the engine and powertrain testing described in § 1036.510.
• Part 1036, appendix B(b)—Adding a new paragraph (b) of appendix B to migrate over the spark-ignition FTP duty cycle from part 86, which includes no changes to the FTP duty-cycle weighting factors or the duty-cycle speed values from the current heavy duty diesel engine (HDDE) FTP duty cycle that applies to criteria pollutant regulation in paragraph (f)(1) of 40 CFR part 86, appendix I, a change to the negative torque values, and migration of the HDDE FTP drive schedule to paragraph (b) of 40 CFR part 1036, appendix B, to add vehicle speed and road grade to the duty-cycle to facilitate powertrain testing for compliance with the HD Phase 2 GHG standards. The change to negative torque values is the removal of and footnoting of the negative normalized vehicle torque values over the HDDE FTP duty-cycle. The footnote denotes that these torque points are controlled using closed throttle motoring, which would then match how negative torque values have been controlled in the HDDE FTP. This change also reflects the way that engine manufacturers are already controlling to negative torque from spark-ignition engines and harmonizes the methodology with the HDDE FTP, with no effect on stringency. The spark-ignition engine denormalization equation in 40 CFR 86.1333(a)(1)(ii) includes division by 100 which equates it to the denormalization equation in 40 CFR 1065.610(c)(1) (Equation 1065.610–3), with no effect on stringency. We have further modified the proposed language in this section by updating the road-grade coefficients to reflect additional refinement of the road-grade development process that is described in Section II.A.7 of the preamble.
• Part 1036, appendix B(c)—Adding a new paragraph (c) of 40 CFR part 1036, appendix B, to migrate over the compression-ignition FTP duty cycle from part 86, which includes no changes to the HDDE FTP weighting factors or the duty-cycle torque values from the duty cycle that currently apply to criteria pollutant regulations in paragraph (f)(2) of 40 CFR part 86, appendix I, a change to the speed values that does not influence the ultimate denormalized speed, and migration of the HDDE FTP drive schedule to add vehicle speed and road grade to the duty-cycle to facilitate powertrain testing for compliance with the Phase 2 GHG standards. The change to speed values takes the normalized vehicle speeds over the HDDE FTP duty-cycle and multiplies them by 100/112 to eliminate the need to divide by 112 in the diesel engine denormalization equation in 40 CFR 86.1333(a)(1)(i). This eliminates the need for use of a denormalization equation and allows commonization (between compression- and spark-ignition engines) of the use of the denormalization equation in 40 CFR 1065.610(c)(1) (Equation 1065.610–3), with no effect on stringency. We have further modified the proposed language in this section by updating the road grade coefficients to reflect additional refinement of the road grade development process that is described in Section II.A.7 of the preamble.
EPA proposed several updates to the testing and measurement provisions of 1037 subpart F related to how to measure emissions from heavy-duty vehicles and determine certain GEM inputs and requested comment on general improvements to the vehicle test procedures and compliance provisions (see 85 FR 28142). This section presents
• Section 1037.501(i)—Adding paragraph (i) to note that the declared GEM inputs for fuel maps and aerodynamic drag area typically includes compliance margins to account for testing variability; for other measured GEM inputs, the declared values are typically the measured values without adjustment.
• Section 1037.510(a)(2)—Updating the powertrain testing procedure used to generate GEM inputs to reduce the variability of the emission test results and to improve lab-to-lab measurement variability consistent with the results from the jointly funded EPA–EMA test program at SwRI.
• Section 1037.510 Table 1—Updating footnote format in table.
• Section 1037.510(d)—Clarifying the reference to specifically refer to paragraphs “(b) and (c)” of § 1066.425.
• Section 1037.510(e)—Clarifying to specifically state that the use of cruise control is optional.
• Section 1037.515 Table 2—Correcting a table entry to include the proper mathematical symbols in response to a comment by the California Air Resources Board (CARB).
• Section 1037.515 Table 3—Updating footnote format in table.
• Section 1037.520—Updating a reference to reflect the updated version of the GEM model released in conjunction with this rulemaking.
• Section 1037.520(b)(3)(i)—Adding a reference to § 1037.525 to clarify how to determine a high-roof tractor's aerodynamic test results in response to a comment request from EMA.
• Section 1037.520 Table 4—Correcting a typographical error in a tractor aerodynamic test result
• Section 1037.520 Table 5—Correcting a typographical error in a tractor input
• Section 1037.520(c)—Adding a clarification to § 1037.520(c)(6) and updating the GEM user guide to clarify that a time- and load-weighted average be applied to calculate the rolling resistance of tires installed on liftable axles, given that tires on liftable axles are only in contact with the ground when the axle is in a deployed state in response to a comment from EMA.
• Section 1037.520 Table 6—Updating footnote format in table.
• Section 1037.520 Table 7—Clarifying that the nonwheel-related weight reductions from alternative materials applied to tractors for non-suspension crossmembers is for a set of three.
• Section 1037.520 Table 8—Adding two footnotes to address how weight reduction values apply and what values to use for medium heavy-duty vehicles (Medium HDV) with 6x4 or 6x2 axle configurations. Also see Section II.C.3.
• Section 1037.520(f)—Updating a cross-reference.
• Section 1037.520(g)—Adding and clarifying which vehicle characteristics need to be reported, including providing a better description in paragraph (g)(2)(iv) of the 6x4D drive axle configuration as well as qualifying conditions for use of this configuration. After considering comments received by Allison and Ford, we are further modifying this paragraph by noting in paragraph (g)(1), and similarly in § 1037.231(b)(7), that available forward gear means the vehicle has the hardware and software to allow operation in those gears and providing in paragraph (g)(2)(i) that the 4x2 drive axle configuration is available to vehicles with two drive axles where one of them is disconnectable and designed to be connected only when used in off road or slippery road conditions and based on a qualifying condition.
• Section 1037.520(h)—Adding provisions to determine appropriate vehicle idle speed based on vehicle service class and applicable engine standard, including in the final rule a clarification that the 750 rpm value applies to Light HDV and Medium HDV
• Section 1037.520(i)—Adding that a manufacturer can characterize a torque converter, in addition to an axle and transmission, which will improve the accuracy of GEM by replacing default GEM values with more representative values.
• Section 1037.520(j)(2)—Removing a superfluous reference to tractors in paragraph (j)(2)(i); clarifying paragraph (j)(2)(iii) in response to a comment from EMA to indicate how to demonstrate the performance of high-efficiency air conditioning compressors.
• Section 1037.520(j)(4) Table 9—Including additional combinations of idle reduction technologies and their corresponding GEM input values.
• Section 1037.520(j)(5)—Correcting typographical error that transposed school and coach bus GEM inputs.
• Section 1037.525—See Section II.A.6 for a description of comments and final revisions to this section.
• Section 1037.528—Replacing the phrase “primary procedures” with “reference method” for tractors and “alternate procedures” with “an alternate method” for trailers to maintain consistency with terminology used throughout subpart F.
• Section 1037.528(c)—Clarifying that the conditions listed in paragraph (c) apply to each run separately.
• Section 1037.528(e)—Removing requirement that the anemometer be “electro-mechanical” to rely instead on the specifications outlined in the existing reference to SAE J1263.
• Section 1037.528(g)(3)—Clarifying that the measured air direction correction is “from all the high-speed segments.”
• Section 1037.528(h)(3)(i)—Clarifying how to account for measurement noise near the 2 mile/hour boundary.
• Section 1037.528(h)(6)—Adding a definition of
• Section 1037.528—Updating equation 11 and the corresponding example to include the appropriate variable to represent inflation pressure variable with a lowercase “
• Section 1037.528—Updating equation 13 to include appropriate units for the ambient temperature variable.
• Section 1037.528—Updating equation 14 to replace a “+” with a “−” to correct a typographical error.
• Section 1037.528(h)(12)—Updating a variable name to provide consistency with updates made to § 1037.525.
• Section 1037.532—See Section II.A.6 for a description of comments and final revisions to this section.
• Section 1037.534—Updating equation 6 and the corresponding example to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1037.540—Updating equations 1, 2, and 3 to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1037.540 Table 1—Updating footnote format in table; updating a parameter name.
• Section 1037.540(e) and (f)—Removing incorrect cross-reference to § 1036.540(d)(5); adding reference to definition of standard payload.
• Section 1037.550—Updating the powertrain testing procedure to reduce the variability of the emission test results and improve lab-to-lab variability consistent with the results from the jointly funded EPA–EMA test program at SwRI. We further modified this section to include an introduction paragraph and reorganized paragraphs with new paragraph headings to improve navigation. Additional modifications to this section in the final rule include clarifying in paragraph (a)(3) options available to create the models for powertrain testing, adding clarifications in several paragraphs to address where the torque and speed are measured based on powertrain setup, adding a new paragraph (f)(2) to address testing of hybrid engines using the transmission model in GEM, modifying paragraph (b) to give additional clarification on how to set the engine idle speed, adding a new paragraph (f)(2) for testing with torque measurement at the engine's crankshaft and how to calculate the transmission output rotational speed, updating paragraph (j)(2) to describe how to transition between duty cycles if the preceding cycle ends at 0 mi/hr, adding a new paragraph (j)(5) to describe how to warm up the powertrain, adding a new paragraph (o)(2) to describe how EPA will determine the official fuel consumption rate during a confirmatory test, based on carbon balance results, and updating paragraphs (o)(3) through (5) to better define when a vehicle is not moving, moving the text from paragraph (p) into paragraph (o)(1), moving the text of paragraph (q) to the general provisions as a new paragraph (a)(5). The final rule includes additional revisions regulatory text to provide greater clarity and more carefully describe the procedures.
• Section 1037.551(b)—Updating a reference.
• Section 1037.555—Updating equations 1 and 3 to include the appropriate variable to represent increments by italicizing the “i”; updating a parameter name in Table 1 for consistency in this part.
• Section 1037.560—Clarifying that it is optional to drain gear oil after the break in period is complete, providing the option of an alternative temperature range to provide international harmonization of testing, editing the
• Section 1037.565—Providing an option to map additional test points to provide international harmonization of testing, including edits to improve the readability of the
• Section 1037.570—Adding new section to characterize torque converters to allow a manufacturer to determine their own torque converter capacity factor instead of using the default value provided in GEM. The option to use the default value remains. The final rule includes updated regulatory text to provide greater clarity and more carefully describe the procedures. Final revisions do not change the proposed procedure; instead, they include updates to revise the section heading, reorganize paragraphs, ensure consistent terminology, and clarify measurement points.
EPA proposed several updates to the testing and measurement provisions of 40 CFR part 1065 related to how to measure emissions from heavy-duty highway and nonroad engines and requested comment on general improvements to the engine test procedures and compliance provisions (see 85 FR 28142). This section presents the changes we are adopting primarily to reduce variability associated with engine test procedures after consideration of comments received. Chapter 2 of our Response to Comments includes additional details on some of these amendments, as well as other testing and measurement amendments or clarifications requested by commenters and our responses.
The regulations in part 1065 rely heavily on acronyms and abbreviations (see 40 CFR 1065.1005 for a complete list). Acronyms used here are summarized in Table II–1:
We are generally finalizing revisions as proposed; however, some revisions include further changes and clarifications after consideration of public comments to better ensure clarity, accuracy and consistency with the intent of the proposed rule.
• Section 1065.1(g)—Updating the test procedure Uniform Resource Locator (URL).
• Section 1065.2(c)—Correcting a typographical error by replacing “engines” with “engine”.
• Section 1065.130(e)—Revising to denote that a carbon balance procedure should be performed to verify exhaust system integrity in place of a chemical balance procedure.
• Section 1065.140(c)(6)(i)—Correcting a typographical error by replacing “dew point” with “dewpoint”.
• Section 1065.140(e)(2)—Clarifying how to determine the minimum dilution ratio for discrete mode testing.
• Section 1065.145(e)(3)(i)—Removing the requirement to heat a sample pump if it is located upstream of a NO
• Section 1065.170—Updating to allow you to stop sampling during hybrid tests when the engine is off and allow exclusion of the sampling off portions of the test from the proportional sampling verification, and adding a provision for hybrid testing to allow supplemental dilution air to be added to the bag in the event that sampled volumes are too low for emission analysis.
• Section 1065.205 introductory and Table 1—Revising and adding recommended performance specifications for fuel and DEF mass scales and flow meters to reduce fuel flow measurement error.
• Section 1065.220(a) introductory and (a)(3)—Updating the application of fuel flow meters to more correctly reflect how and what they are used for in part 1065.
• Section 1065.225(a) introductory and (a)(3)—Updating the application of intake flow meters to more correctly reflect how and what they are used for in part 1065.
• Section 1065.247—Revising to add acronym for DEF throughout in place of “diesel exhaust fluid” and in paragraph (c)(2) account for any fluid that bypasses or returns from the dosing unit to the fluid storage tank.
• Section 1065.260(e)—Adding the word “some” as a qualifier for gaseous fueled engines with respect to using the additive method for NMHC determination.
• Section 1065.266(a) and (b)—Adding flexible fuel engines under the allowance to use Fourier transform infrared (FTIR) and updating the URL for EPA method 320.
• Section 1065.275—Deleting the URL and replacing with a reference to § 1065.266(b).
• Section 1065.280(a)—Updating to reflect that there is no method in § 1065.650 for determining oxygen balance and that you may develop a method using good engineering judgment.
• Section 1065.303 Table 1—Updating the formatting and entries in the summary table to reflect revised requirements, including adding fuel mass scale and DEF mass scale to the linearity verifications in § 1065.307, updating the verification in § 1065.341 to replace “batch sampler” with “PFD” as partial-flow dilution (PFD) is the preferred language, updating one footnote to include the PFD flow verification (propane check) as not being required for measurement systems that are verified by a carbon balance error verification as described in § 1065.341(h) and adding two footnotes excluding linearity verification for DEF flow if the ECM is used and for intake air, dilution air, diluted exhaust, batch sampler, and raw exhaust flow rates flow if propane checks or carbon balance is performed. These are not new exemptions; they are simply relocated to the footnotes.
• Section 1065.307(c)(13)—Adding a clarification that the calculation used for arithmetic mean determination in § 1065.602 uses a floating intercept.
• Section 1065.307(d)(4)—Revising to include DEF mass flow rate and to correct or account for buoyancy effects and flow disturbances to improve the flow measurement.
• Section 1065.307(d)(6)(i)—Revising to state that the span gas can only contain one single constituent in balance air (or N
• Section 1065.307(d)(7)—Revising to state that the span gas can only contain one single constituent in balance air (or N
• Section 1065.307(d)(9)—Expanding the paragraph to include fuel and DEF mass scales and requirements for performing the linearity verification on these scales.
• Section 1065.307(e)(3)(i) and (ii)—Editing to clarify the intent of the requirements.
• Section 1065.307(e)(3)(iii) through (xi)—Defining maximum flowrate for fuel and DEF mass scales and flow meters as well as maximum molar flowrate for intake air and exhaust flow meters and defining maximum for electrical power, current, and voltage measurement.
• Section 1065.307(e)(5)—Providing additional information surrounding requirements for using a propane check or carbon balance verification in place of a flow meter linearity verification.
• Section 1065.307(e)(7)(i)(F) and (G)—Adding transmission oil and axle gear oil to temperature measurements that require linearity verification.
• Section 1065.307(f)—Adding new paragraph (f) to denote that table 1 follows.
• Section 1065.307 Table 1—Adding DEF flow rate, fuel mass scale, and DEF mass scale to measurement systems and updating the footnote format.
• Section 1065.307(g)—Adding a new paragraph (g) to denote that table 2 follows.
• Section 1065.307 Table 2—Adding a new Table 2 to provided additional guidance on when optional verifications to the flow meter linearity verifications can be used.
• Section 1065.309(d)(2)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments from EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.320(b)—Deleting existing paragraph (b) and marking it
• Section 1065.341—Revising section heading, adding introductory text, revising paragraph (a) to clarify which subparagraphs apply to CVS and which apply to PFD, relocating some of existing paragraph (a) to paragraph (f) and reordering existing paragraphs (b) through (f) as paragraphs (a) through (e).
• Section 1065.341(g)—Revising to replace “batch sampler” with “PFD” throughout and editing to provide further clarification on the procedure.
• Section 1065.341(h)—Adding a new paragraph to reference Table 2 of § 1065.307 regarding when alternate verifications can be used.
• Section 1065.342(d)(2)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments by EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.350(d)(2)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments by EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.355(d)(2)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments by EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.360(a)(4)—Adding a new option to determine methane and ethane THC FID response factors as a function of exhaust molar water content when measuring emissions from a gaseous fueled engine. This is to account for the effect water has on non-methane cutters. We received a comment regarding whether the new regulatory text for the allowance is optional. The intent is that if you decide to use the option to determine the methane and ethane THC FID response factors as a function of exhaust molar water content, you must generate and verify the humidity as described in § 1065.365(d)(12). Paragraph (a)(4) has been modified to make this clear.
• Section 1065.360(d)(12)—Adding a process to determine methane and ethane THC FID response factors as a function of exhaust molar water content when measuring emissions from a gaseous fueled engine. This is to account for the effect water has on non-methane cutters.
• Section 1065.365(a)—Removing chemical symbol for methane in parenthetical.
• Section 1065.365(d)—Adding a requirement to determine NMC FID methane penetration fraction and ethane response factor as a function of exhaust molar water content when measuring emissions from a gaseous fueled engine. This is to account for the effect water has on non-methane cutters.
• Section 1065.365(d)(9)—Adding C
• Section 1065.365(d)(10), (11), and (12)—Adding a process to determine NMC FID methane penetration fraction and ethane response factors as a function of exhaust molar water content when measuring emissions from a gaseous fueled engine. This is to account for the effect water has on non-methane cutters.
• Section 1065.365(f)(9) and (14)—Adding C
• Section 1065.370(e)(5)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments by EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.375(d)(2)—Updating to allow the use of water vapor injection for humidification of gases. After considering comments by EMA and Auto Innovators, we further modified this section to make language consistent where water vapor injection was added as an alternative.
• Section 1065.410(c)—Replacing “bad engine” with “malfunctioning” in relation to engine components after considering a comment by Auto Innovators.
• Section 1065.410(d)—Updating to state that you may repair a test engine if the parts are unrelated to emissions without prior approval. If the part may affect emissions, prior approval is required.
• Section 1065.510(a), (b)(5)(i), (c)(5), and (f)(4)(i)—Moving provision for engine stabilization during mapping from § 1065.510(a) to § 1065.510(b)(5)(i), which lays out the mapping procedure, adding allowance in § 1065.510(f)(4)(i) to specify curb idle transmission torque (CITT) as a function of idle speed in cases where an engine has an adjustable warm idle or enhanced idle. We further modified this section in the final rule by adding a provision in § 1065.510(c)(5) for hybrid powertrain testing to map negative torque required to motor the engine with the RESS fully charged.
• Section 1065.512(b)(1) and (2)—Updating procedures on how to operate the engine and validate the duty-cycle when an engine utilizes enhanced-idle speed. This also addresses denormalization of the reference torque when enhanced-idle speed is active.
• Section 1065.514(e)—Clarifying that a floating intercept as described in § 1065.602 is used to calculate the regression statistics to harmonize with changes made to § 1065.602 and further modifying paragraph (e)(3) in the final rule to change “standard estimates of errors” to “standard error of the estimate” for consistency with other parts.
• Section 1065.514 Table 1—Updating a parameter name in the final rule for consistency with other parts.
• Section 1065.530(a)(2)(iii)—Adding instructions on how to determine that the engine temperature has stabilized for air cooled engines.
• Section 1065.530(g)(5)—Adding a new paragraph on carbon balance error verification if it is performed as part of the test sequence.
• Section 1065.543—Adding a new section on carbon balance error verification procedure to further reduce measurement variability for the fuel mapping test procedure in part 1036. We have further modified this section in the final rule to make it optional to account for the flow of other non-fuel carbon-carrying fluids into the system as the overall contribution from any such fluids to the total carbon in the system is negligible.
• Section 1065.545—Revising to clarify that a forcing the intercept through zero as described in § 1065.602 is used to calculate the standard error of the estimate (SEE) to harmonize with changes to § 1065.602.
• Section 1065.602(b), (c), (d), (e), (f), (g), (h), (j), (k)—Updating to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1065.602 Table 1—Updating footnote format in table.
• Section 1065.602 Table 2—Correcting a typographical error where the
• Section 1065.602(h)—Defining the existing Equation 1065.602–9 as a least squares regression slope calculation where the intercept floats,
• Section 1065.602(i)—Editing to state that the intercept calculation Equation 1065.602–11 is for a floating intercept.
• Section 1065.602(j)—Defining the existing Equation 1065.602–12 (renumbered from 1065.602–11) as a
• Section 1065.610(a)(1)(iv)—Updating to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1065.610(a)(2)—Clarifying that the alternate maximum test speed determined is for all duty-cycles.
• Section 1065.610(d)(3)—Adding provision to use good engineering judgment to develop an alternate procedure for adjusting CITT as a function of speed.
• Section 1065.640(a), (b)(3), and (d)(1)—Deleting a comma in paragraph (a), specifying that the least square regression calculation in paragraph (b)(3) is with a floating intercept, providing a conversion to kg/mol for
• Section 1065.640(d)(3)—Providing additional guidance on how to calculate
• Section 1065.642(b)—Correcting a cross-reference.
• Section 1065.642(c)(1)—Defining
• Section 1065.643—Adding a new section on carbon balance error verification calculations to support the new § 1065.543.
• Section 1065.650(b)(3)—Adding DEF to clarify what is needed for chemical balance calculations.
• Section 1065.650(c)(1)—Relocating transformation time requirement from § 1065.650(c)(2)(i) to § 1065.650(c)(1).
• Section 1065.650(c)(3)—Updating the equation to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1065.650(d)—Correcting cross-references.
• Section 1065.650(d)(7)—Updating to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1065.650(f)(2)—Adding DEF to clarify what is needed for chemical balance calculations.
• Section 1065.650(g)—Updating the equations to include the appropriate variable to represent increments by italicizing the “i” and correcting variable name from
• Section 1065.655—Adding “DEF” to the section heading.
• Section 1065.655(a) and (c) introductory text—After considering comments by EMA, we modified this section to clarify that the inclusion of diesel exhaust fluid in the chemical balance is optional.
• Section 1065.655(c)(3)—Updating the
• Section 1065.655(d)—After considering comments by EMA, we modified this section to clarify that the inclusion of diesel exhaust fluid in the wC determination is optional.
• Section 1065.655(e)(1)(i)—Clarifying the determination of carbon and hydrogen mass fraction of fuel, specifically to S and N content.
• Section 1065.655(e)(3)—Clarifying that nonconstant fuel mixtures also applies to flexible fueled engines.
• Section 1065.655(e)(4)—Updating to include the appropriate variable to represent increments by italicizing the “i”.
• Section 1065.655(e)(5)—Adding new paragraph (e)(5) to denote that table 1 follows.
• Section 1065.655 Table 1—Updating cross-reference.
• Section 1065.655(f)(3)—Restricting the use of Equation 1065.655–25 if the standard setting part requires carbon balance verification and including the appropriate variable to represent increments by italicizing the “j”; adding in the final rule a description of the variable for carbon mass fraction, as it was missing.
• Section 1065.655(g)(1)—Updating cross-reference.
• Section 1065.659(c)(2) and (3)—Adding DEF to clarify what is needed for chemical balance chemical balance calculations.
• Section 1065.660(a)(5) and (6)—Adding new paragraphs to those proposed codifying existing practice to calculate THC based on measurements made with FTIR for gaseous fueled engines. EPA intended in previous updates to part 1065 to allow the determination of NMNEHC and NMHC using FTIR from gaseous fueled engines, but the HD Phase 2 rulemaking inadvertently omitted instructional text in paragraph (a) on calculating THC using the two FTIR additive methods.
• Section 1065.660(b)(2) and (3)—Correcting typographical errors, including adding missing commas.
• Section 1065.660(b)(4)—Correcting a typographical error for the chemical formula of acetaldehyde in a variable.
• Section 1065.660(c)(2)—Including NMC FID as allowable option in NMNEHC calculation and further modifying § 1065.660(c) in the final rule adding additional information on performing the NMNEHC calculation and to correct typos in variables.
• Section 1065.660(d)—Adding missing parentheses.
• Section 1065.665(a)—Deleting the variable and description for C# as it is not used in any calculation in this section.
• Section 1065.667(d)—Adding DEF to clarify what is needed for chemical balance description.
• Section 1065.675(d)—Editing variable descriptions to refer to a humidity generator rather than a bubbler (accommodates both a bubbler and humidity generator).
• Section 1065.695(c)(8)(v)—Adding carbon balance verification.
• Section 1065.701(b)—Updating name of California gasoline type.
• Section 1065.701 Table 1—Updating footnote format in table.
• Section 1065.703 Table 1—Updating to correct units for kinematic viscosity and updating footnote format in table.
• Section 1065.705 Table 1—Updating to correct units for kinematic viscosity and updating footnote format in table.
• Section 1065.710 Table 1—Editing format for consistency and updating footnote format in table.
• Section 1065.710 Table 2—Editing format for consistency, adding allowance to use ASTM D1319 or D5769 for total aromatic content determination and ASTM D1319 or D6550 for olefin determination because the dye used in ASTM D1319 is becoming scarce and an alternate method is needed, and updating a footnote format in table.
• Section 1065.715 Table 1—Updating footnote format in table.
• Section 1065.720 Table 1—Updating footnote format in table and revising Table 1 after considering a comment by EMA to specify ASTM D6667 instead of ASTM D2784 as the reference procedure for measuring sulfur in liquefied petroleum gas. We requested comment on amending the
• Section 1065.750 Table 1—Updating footnote format in table.
• Section 1065.790(b)—Adding a NIST traceability requirement for calibration weights for dynamometer, fuel mass scale, and DEF mass scale.
• Section 1065.905 Table 1—Updating footnote format in table.
• Section 1065.910(a)(2)—Adding a revision in the final rule to change the requirement to use 300 series stainless steel tubing to connect the PEMS exhaust and/or intake air flow meters into a recommendation because there are other materials that are equally suitable for in-use testing other than stainless steel tubing.
• Section 1065.915 Table 1—Updating footnote format in table.
• Section 1065.1001—Adding a definition for enhanced-idle.
• Section 1065.1001—Clarifying definition of test interval as duration of time over which the mass of emissions is determined.
• Section 1065.1005(a)—Updating footnote format in table and parameter names for consistency with other parts.
• Section 1065.1005(c), (d), and (e)—Updating to ensure column headings use terminology consistent with NIST SP–811.
• Section 1065.1005(a) and (e)—Updating tables of symbols and subscripts to reflect revisions to part 1065.
• Section 1065.1005(f)(2)—Adding molar mass of ethane and updating footnote format in table.
• Section 1065.1005(g)—Updating acronyms and abbreviations for ASTM,
• Section 1065.1010(b)(23) and (43)—Incorporating by reference ASTM D6667 into the regulations instead of ASTM D2784, consistent with replacing ASTM D2784 with ASTM D6667 as the reference procedure for measuring sulfur in liquefied petroleum gas in § 1065.720, as explained above in this section. EPA is similarly specifying ASTM D6667 as the reference procedure for fuel manufacturers measuring sulfur in butane.
EPA proposed several updates to the testing and measurement provisions of 40 CFR part 1066 related to how to measure emissions from light- and heavy-duty vehicles and requested comment on general improvements to the vehicle test procedures and compliance provisions (see 85 FR 28144). This section presents the changes we are adopting to vehicle test procedures after consideration of comments received. Chapter 2 of our Response to Comments includes additional details on some of these amendments, as well as other testing and measurement amendments or clarifications requested by commenters and our responses.
We are generally finalizing revisions as proposed; however, some revisions include further changes and clarifications after consideration of public comments to better ensure clarity, accuracy and consistency with the intent of the proposed rule.
• Section 1066.1(g)—Updating the URL.
• Section 1066.135(a)(1)—Revising to widen the range for verifications of a gas divider derived analyzer calibration curve to 10 to 60% to ease lab burden with respect to the number of gas cylinders they must have on hand and revising to make the midspan check optional as the part 1066 requirement for yearly linearity verification of the gas divider has provided more certainty of the accuracy of the gas blending device.
• Section 1066.210(d)(3)—Changing the value for acceleration of Earth's gravity from a calculation under 40 CFR 1065.630 to a default value of 9.80665 m/s
• Section 1066.255(c)—Clarifying that the torque transducer zero and span are mathematically done prior to the start of the procedure.
• Section 1066.260(c)(4)—Correcting an error in the example problem result.
• Section 1066.265(d)(1)—Correcting example equation to replace a subtraction sign that was a typographical error with a multiplication sign.
• Section 1066.270(c)(4)—Correcting units for force in mean force variable description and correcting example problem solution.
• Section 1066.270(d)(2)—Adding corrections in the final rule of typographical errors on maximum allowable error where error tolerances were indicated as “±”, but paragraph is clear that the allowable error is a maximum value as Equation 1066.270–2 determines error as an absolute value. Therefore, the error values are positive and not a positive and negative range.
• Section 1066.275—Extending the dynamometer readiness verification interval from within 1 day before testing to an optional 7 days prior to testing if historic data from the test site supports an interval of more than 1 day. Adding corrections in the final rule of typographical errors in paragraphs (d)(1) and (2) on allowable error where error tolerances were indicated as “±”, but paragraph is clear that the allowable error is a maximum value as Equation 1066.270–2 determines error as an absolute value. Therefore, the error values are positive and not a positive and negative range.
• Section 1066.405—Updating heading to include “maintenance”.
• Section 1066.405(a) through (c)—Designating existing text as paragraph (a), adding new paragraphs (b) and (c) to address test vehicle inspection, maintenance and repair, consistent with § 1065.410, and, after considering a comment by Auto Innovators, replacing “bad engine” with “malfunctioning” in relation to engine components in paragraph (b).
• Section 1066.420 Table 1—Updating footnote format in table and, after considering comments from Auto Innovators and VW, clarifying that SC03 humidity tolerance is an “average” value consistent with 40 CFR 86.161–00(b)(1) and inadvertently not carried over in part 1066. All SC03 capable test cells have been designed to meet the humidity requirement in § 86.161–00 which is on an average basis.
• Section 1066.605—Correcting a typographical error in paragraph (c)(4) where NMHC should read NMHCE and editing Equation 1066.605–10 adding italics for format consistency.
• Section 1066.610—Editing Equation 1066.610–4 adding italics for format consistency.
• Section 1066.710(c)—Clarifying to reflect how heating, ventilating, and air conditioning (HVAC) control systems operate in vehicles and how they should be operated for the test. Further modifying paragraph (c)(1)(i)(A) in the final rule to state that for automatic temperature control systems that allow the operator to select a specific temperature, set the air temperature at 72 °F or higher, which the vehicle then maintains by providing air at that selected constant temperature. Further modifying paragraph (c)(2) in the final rule to state that for full automatic temperature control systems that allow the operator to select a specific temperature, set the air temperature at 72 °F, which the vehicle then maintains by varying temperature, direction and
• Section 1066.801 Figure 1—Updating to reflect that the initial vehicle soak, as outlined in the regulations, is a 6-hour minimum and not a range of 6 to 36 hours.
• Section 1066.835(a)—Clarifying that the last drain and fill operation is after the most recent FTP or highway fuel economy test (HFET) measurement (with or without evaporative emission measurements).
• Section 1066.835(f)(2)—Deleting the word “instantaneous” to reflect that the SC03 temperature and humidity tolerances in paragraph (f)(1) are not all instantaneous in response to comments received from Auto Innovators and Volkswagen. This was an inadvertent error in part 1066.
• Section 1066.930—Adding a period to the end of the sentence.
• Section 1066.1005(a)—Updating a parameter name to be consistent with use in other parts.
• Section 1066.1005(c) and (d)—Updating to ensure column headings use terminology consistent with NIST SP–811.
• Section 1066.1005(f)—Updating footnote format in table.
EPA proposed several updates to the GEM model related to how to measure emissions from heavy-duty engines and requested comment on whether the differences in GEM would impact the effective stringency of the standards and, if so, whether either GEM or the regulations need to be revised to address the changes (see 85 FR 28145, May 12, 21020). This section presents the changes we are adopting to GEM after consideration of comments received. Additional details on these and other amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments.
GEM is a computer application that estimates the greenhouse gas (GHG) emissions and fuel efficiency performance of specific aspects of heavy-duty (HD) vehicles. GEM is used to determine compliance with the Phase 2 standards from several vehicle-specific inputs, such as engine fuel maps, aerodynamic drag coefficients, and vehicle weight rating. GEM simulates engine operation over two cruise cycles, one transient cycle, and for vocational vehicles, idle operation. These results are weighted by GEM to provide a composite GEM score that is compared to the standard.
EPA proposed to update GEM, in a revised version 3.5 to replace the current version 3.0, and requested comment on whether the differences in GEM would impact the effective stringency of the standards and, if so, whether either GEM or the regulations need to be revised to address the changes. We received one comment on the proposal on this topic from the California Air Resources Board (CARB), stating the importance of GEM results being consistent with the current program standards to ensure stringency is maintained and recommending that EPA revise GEM to maintain this consistency.
After considering the comment and further evaluating the performance of GEM 3.5 with the input files used to set the Phase 2 vehicle standards, EPA is finalizing GEM version 3.5.1 applicable for MY 2021 vehicles that includes the changes proposed in version 3.5 as well as changes that correct three errors in the GEM 3.5 code. The following changes were proposed in version 3.5 and are finalized in version 3.5.1 to allow additional compliance flexibilities and improve the vehicle simulation:
• Corrected how idle emission rates are used in the model.
• Increased the allowable weight reduction range to 25,000 pounds.
• For powertrain input, added an input for powertrain rated power to scale default engine power.
• Recalibrated driver over speed allowance on cruise cycles from 3 mph to 2.5 mph.
• Revised engine cycle generation outputs with corrected engine cycle generation torque output from model based on simulated inertia and rate limited speed target.
• Added scaling of powertrain simulation default engine and transmission maps based on new rated power input.
• Changed interpolation of fuel map used in post processing to be consistent with one used in simulation.
• Corrected accessory load value on powertrain test when coasting or decelerating.
• Added torque converter k-factor input option.
• Cycle average cycles: added flag for points that are to be considered “idle.”
• Improved handling of large input tables.
• Allow hybrid engine input.
The three additional changes in GEM 3.5.1 correct the following errors in GEM 3.5 code: (1) A typographical error, where GEM used a weighting factor of 0.25 instead of 0.23 for the Heavy Heavy-Duty (HHD) Multipurpose vehicle subcategory; (2) an idle map error when the cycle average fuel mapping procedure is used for all three drive cycles; and (3) a functional error that unnecessarily required transmission power loss data when using the option to enter a unique (instead of default) k-factor for the torque converter. The GEM version we are releasing with and incorporating by reference in this final rule is identified as “3.5.1.”
EPA is also issuing a supplemental proposal published in the Proposed Rules section of this issue of the
EPA is finalizing GEM 3.5.1 after considering comments, further evaluating the performance of GEM 3.5.1 with the input files used to set the Phase 2 vehicle standards, considering the corrections and improvements made in GEM 3.5.1, and identifying potential additional corrections and improvements for GEM. Evaluation of GEM 3.5.1 indicated that there was some difference in output 96results for both tractor and vocational vehicles when compared to GEM 3.0. To assess the magnitude of any differences between using GEM 3.0 and GEM 3.5.1, we repeated the process used in 2016 to calculate the numerical level of the vehicle standards, replacing GEM 3.0 with GEM 3.5.1. On average, the differences in the resulting standards
We are finalizing GEM 3.5.1 without adopting adjustment factors in the related test procedures.
EPA proposed several updates to the testing and modeling provisions of 1037 subpart F related to aerodynamic testing and requested comment on general improvements to the aerodynamic test procedures and compliance provisions (see 85 FR 28147). This section presents the changes we are adopting to aerodynamic test procedures after consideration of comments received. Additional details on these and other aerodynamic amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments.
The aerodynamic drag of a vehicle is determined by the vehicle's coefficient of drag (
In the proposed rule, we proposed to separate § 1037.525(b)(1) into a paragraph (b)(1) defining
We proposed and received no adverse comments on two additional changes in § 1037.525(b). In paragraph (b)(3), we proposed and are finalizing removal of the sentence “Where you have test results from multiple vehicles expected to have the same
EPA proposed a change to § 1037.525(b)(7), to clarify that the use of good engineering judgment with respect to the specified tractor-trailer gap dimension “applies for all testing, including confirmatory and SEA testing”. Both EMA and Volvo requested further clarification through use of an example. We are finalizing three clarifying changes to § 1037.525(b)(7). First, we are adding a reference to the tractor-trailer gap specifications in § 1037.501(g)(1)(ii), as requested. Second, we provide an example of good engineering judgment that could be applied to correct a difference between the specified and tested tractor-trailer gaps. Lastly, we clarify that the allowance applies “for certification, confirmatory testing, SEA, and all other testing to demonstrate compliance with standards.”
We also proposed a provision to our regulations at § 1037.525(b)(8) to encourage manufacturers to proactively coordinate with EPA to have compliance staff present when a manufacturer conducts its coastdown testing to establish
EMA's comment requested additional modifications to the yaw sweep correction provisions in § 1037.525(c), suggesting that coastdown results do not need to be corrected to wind-averaged and that all of paragraph (c)(2) was “unnecessary” because another regulatory provision “serves that function”. Their request appears to be a misunderstanding of the existing regulations. Wind-averaged drag area (
• Clarifying the use of the yaw correction provisions by revising paragraph (c) introductory text to add “as specified in § 1037.520” and to remove the phrase “differences from coastdown testing” that only applies to paragraph (c)(1).
• Updating the text of paragraphs (c)(1) and (2) to more clearly communicate that they are two separate options that apply based on which testing method is chosen.
• Adopting the updated drag area variable names from § 1037.525(b).
We did not specifically propose changes to or request comment on our procedures for measuring aerodynamic performance of vocational vehicles in § 1037.527. EMA commented that the existing provisions of § 1037.527 to determine a
The current § 1037.527(a) states that
We acknowledge that the reference to a “standard trailer” in § 1037.526(a)(1) may cause confusion to vocational vehicle manufacturers, since it would be a challenge to identify a single “standard” vehicle to represent the range of vocational applications. However, the baseline trailer description in that paragraph equates to a trailer without aerodynamic components, which is the key aspect of that baseline description the regulatory cross-reference in § 1037.527(a) applies to vocational vehicles. The trailer provision of § 1037.526(a)(2) states that the general intent of the A to B test is to “demonstrate the reduction in aerodynamic drag associated with the improved design”, which can be directly applied to vocational vehicles. The general process of calculating
Similar to the trailer provision, a vocational vehicle's aerodynamic performance is based on a
We proposed one correction to our computational fluid dynamics (CFD) provisions of § 1037.532 that replaced the incorrect “or” in paragraph (a)(1) with “and” to include yaw angles of +4.5°
EMA's third request was that we remove the requirement to set the “free stream turbulence intensity to 0.0 percent” in § 1037.532(a)(5), and instead recommended we replace that requirement with a “uniform inlet velocity profile.” EPA is not taking any final action on revision to that paragraph at this time. Furthermore, EPA disagrees with the requested change to paragraph (a)(5). Turbulence intensity is a common parameter in CFD packages and, as described in Chapter
CARB requested EPA add provisions that set a requirement for a maximum limit of computational elements to perform Computational Fluid Dynamics (CFD) simulation, define a specific transient averaging methodology, quantify the uncertainty in using CFD simulation, and assess CFD simulation credibility. We are not taking any final action on these requests, but may consider the changes suggested by the commenter in an appropriate future rulemaking with notice and comment. See our complete response in Chapter 2 of our Response to Comments.
As explained above in Sections II.A.1 and II.A.2, EPA proposed several updates to the hybrid powertrain test procedures that apply to engine and vehicle standards provisions in 40 CFR 1036.503, 1036.505, 1036.510, and 1036.527, 40 CFR part 1036, appendix B, and 40 CFR 1037.550 related to how to perform hybrid powertrain testing and requested comment on general improvements to the hybrid powertrain test procedure provisions (see 85 FR 28152). This section further explains, in addition to the specific descriptions in Sections II.A.1. and II.A.2. above, the changes we are adopting to hybrid powertrain test procedures after consideration of comments received. Additional details on these and other hybrid powertrain testing and measurement amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments.
EPA worked with industry prior to proposal and also considered input provided during this rulemaking to develop a powertrain test procedure that includes the addition of a transmission model to GEM and options in GEM to test without the transmission present, using the model in its place to be used to certify a hybrid powertrain to the FTP and SET HD GHG Phase 2 greenhouse gas engine standards. The two primary goals of this development process were to make sure that the powertrain version of each test cycle was equivalent to the respective engine cycle in terms of positive power demand versus time and that the powertrain cycle had appropriate levels of negative power demand.
Our current regulations do not have a certification procedure for powertrain certification of heavy-duty hybrid vehicles to any engine standards. The powertrain certification test for certification to both the FTP and SET is carried out by following 40 CFR 1037.550 as described in 40 CFR 1036.505 and 1036.510 and is applicable for powertrain systems located in the P0, P1, P2, and P3 positions.
For this test procedure, EPA is finalizing addition of a vehicle speed and road grade profile to the existing FTP duty cycles for compression-ignition and spark-ignition engines in 40 CFR part 1036, appendix B, and to the SET duty cycle in 40 CFR 1036.505. EPA also is finalizing vehicle parameters to be used in place of those in 40 CFR 1037.550; namely vehicle test mass, vehicle frontal area, vehicle drag area, coefficient of rolling resistance, drive axle ratio, tire radius, vehicle curb mass, and linear equivalent mass of rotational moment of inertias. Under the final test procedure, determination of system and continuous rated power along with the maximum vehicle speed (C speed) is also required using 40 CFR 1036.527. Under the final test procedure, the combination of the generic vehicle parameters, the engine duty-cycle vehicle speed profile, and road grade profile fully defines the system load and this is designed to match up the powertrain load with the compression-ignition engine vFTP, spark ignition engine vFTP, and vSET load for an equally powered engine.
The development of this test procedure was based on the process contained in Global Technical Regulation No. 4.
The engine operational profile for engines installed in vehicles depends on the entire vehicle setup, including the use of hybrid systems if applicable, thus the entire vehicle must be considered when certifying a powertrain. Given that heavy duty vehicles can vary quite a bit even though the powertrain configuration remains unchanged, testing of every conceivable configuration is not possible; therefore, a representative average vehicle, consisting of generic vehicle parameters, is used to provide a representative configuration for certification testing. Generic vehicle parameters were developed with the intent of maintaining the same system load for engines installed in conventional vehicles and hybrid systems with the same power rating to maintain comparability in terms of emissions.
EPA is finalizing vehicle parameters for hybrid powertrain testing in place of those in 40 CFR 1037.550 to be used in the vehicle model in 40 CFR 1037.550(f). These final parameters can be found in 40 CFR 1036.505 (via reference from 40 CFR 1036.510 for FTP testing) and included vehicle test mass,
Under the final test procedure, to align the system demands for conventional and hybrid engines, the generic vehicle parameters are defined as a function of the system's power
Under the final test procedure, the powertrain system rated power determination in 40 CFR 1036.527 includes the determination of both peak and continuous rated power. The peak rated power (
The final compression-ignition vFTP duty cycle vehicle speed profile was derived from the compression-ignition FTP vehicle duty-cycle developed in SAE 2012–01–0878. In this work, a vehicle FTP cycle and a vehicle SET cycle were created based on the transient diesel engine FTP and engine SET duty cycles. The vehicle cycles are the same duration and have similar power requirements and performance when compared to the engine cycles. The alignment of the engine and vehicle cycles maintain a consistency within vehicle and engine emissions evaluations. The compression-ignition FTP vehicle speed profile is not applicable to the spark-ignition FTP vehicle speed profile due to differences in the engine duty-cycle lengths, speed profiles, and torque profiles. Thus, a separate vehicle speed profile had to be developed for the spark-ignition FTP duty cycle. Using the methodology in SAE 2012–01–0878, a vehicle speed profile was developed for the spark-ignition FTP duty cycle and a comparison between the two cycles can be found in Table II–2. The vehicle speed profiles can be found in Figure II–1 and Figure II–2.
The road gradient profile is designed to further align the powertrain system load for engines installed in conventional vehicles and hybrid systems to eliminate the deviations in cumulative work done between the engine and powertrain test. The grade profiles were developed to align the power versus time and cycle work of the vehicle profiles (compression-ignition vFTP, spark-ignition vFTP, and vSET) to the compression-ignition and spark-ignition FTPs, and SET. The general process was based on the development of the grade profile for the World Harmonized Vehicle Cycle (WHVC).
Where
During additional review of the development of the road grade profile for vSET included in the proposal, it became apparent that the powertrain might not be able to achieve the default vehicle C speed of 75.0 mph. To provide a representative maximum vehicle speed and vehicle A and B speeds that are scaled to the C speed in the final test procedure, the determination of vehicle C speed was added as an additional revision to 40 CFR 1036.527. This maximum achievable vehicle speed is used as the vehicle C speed in Table 1 of § 1036.505 and A and B speed are calculated as described in 40 CFR 1036.505. The final test procedure replaces the proposed maximum vehicle C speed and the default vehicle A and B speeds in the proposed additions to Table 1 of § 1036.505 with these calculated speeds. Adding the allowance to scale the vSET test speeds based on the vehicle maximum achievable speed required an accounting of the effect of these lower speeds on the road grade determination. This resulted in an expansion of the proposed second order polynomial equation for the vFTP to include vehicle speed in the final test procedure. The expanded equation and coefficient descriptions follow:
Where a is error compensation in %/kW3, b is error compensation in %/kW2·mi/hr, c is error compensation in %/kW2, d is error compensation in %/(mi/hr)2, e is error compensation in %/kW·mi/hr, f is error compensation in %/kW, g is error compensation in %/mi/hr, and h is the average fixed slope pattern. Negative road grade is included in the profile to ensure that a representative amount of recuperation energy is provided by the test cycle for hybrid applications. This enables accurate cycle power/work alignment for all vehicles with the engine SET duty-cycle.
The final test procedure also includes updates to the road grade coefficients for the compression-ignition and spark-ignition vFTP duty cycles from those proposed. EPA further reviewed the GTR No. 4 process and noted that the work in mini cycles number 4 and 6 was set to zero. This was a policy decision made during the GTR No. 4 process but is not appropriate for the generation of EPA's duty-cycles, which should include the actual work for these two mini cycles. While this improvement results in only a marginal difference from that proposed, it provides a more aligned comparison of work between the engine and vehicle duty-cycles. The result of this was included in the final test procedure in updated coefficients for the compression-ignition vFTP, spark-ignition vFTP, and vSET duty cycles (vSET improvements are in addition to the road grade coefficient updates already discussed). Figure II–5 and Figure II–6 show a comparison of the effect on work matching from changing the mini cycle work in mini cycles number 4 and 6 from zero to the actual work for a 300 kW engine. Note, this final test procedure is limited to hybrid powertrains to avoid having two different testing pathways for non-hybrid engines for the same standards.
We are finalizing an option, after consideration of comments received, to generate fuel maps for engine hybrids using the powertrain test procedure in 40 CFR 1037.550. This was done by updating the hybrid engine test procedures finalized in 40 CFR 1036.503, 1036.505, 1036.527, and 1037.550 and include the addition of a transmission model to GEM and options in GEM to test without the transmission present, using the model in its place.
Under the Phase 2 regulations, manufacturers must conduct powertrain testing if they wish to take credit for hybrid systems, including mild hybrid systems. However, manufacturers have expressed concerns about the cost of powertrain testing and that the existing procedure may not measure improvements from certain mild hybrid systems. EPA requested comment on alternative means of evaluating mild hybrids noting that manufacturers have asked EPA to consider the following options:
• Allow manufacturers to test a powertrain and apply analytically derived scaling factors to others (e.g., scale by fraction of battery capacity or motor capacity) under 40 CFR 1037.235(h).
• Allow manufacturers to use international test procedures for battery capacity, motor power, and motor efficiency.
• Provide smaller credit (potentially with a volume limit and/or only for limited time) in exchange for less testing (e.g., reduced benefit when using the simplified model spreadsheet that is available under docket no. EPA–HQ–OAR–2014–0827–2109).
Commenters generally responded with support for EPA addressing mild hybrid certification but did not provide any concrete means to address concerns surrounding the cost of powertrain testing. In addition, commenters stated that the existing procedures in the proposal may not measure improvements from certain mild hybrid systems. This section presents the changes we are adopting to hybrid test procedures after consideration of comments received. Additional details on these and other hybrid test procedure amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments.
After further consideration, including the lack of additional input on these mild-hybrid certification options, we have concluded that the engine hybrid test procedure proposed in this rule, is the best pathway for these hybrids. This will allow a manufacturer to test a mild hybrid engine without having to certify the hybrid with a transmission under the powertrain testing option. Finalizing these changes allows the test results to better reflect the performance of mild hybrid's that are not integrated into the transmission, without requiring that the transmission be part of the certified configuration. Finalizing this procedure also allows the test results to be used for additional appropriate vehicles, since the test results will not be limited to the transmission that was included during the test, as is required for non-hybrid powertrains utilizing 40 CFR 1037.550. This mild hybrid engine test procedure was finalize via additions to the hybrid powertrain test procedure revisions in 40 CFR 1036.503, 1036.505, 1036.510, 1036.527, and 1037.550 and includes the addition of a transmission model to GEM and options in GEM to test without the transmission present, using the model in its place.
EPA proposed several updates to the credit provisions related to credit provisions for vocational engines and requested comment on these credit provisions (see 85 FR 28145). This section presents the changes we are adopting to vocational engine credit provisions after consideration of comment received. Additional details on comment on these credit provisions and our response are available in Chapter 2.4 of our Response to Comments.
In developing the baseline emission rates for vocational engines in the final Phase 2 rulemaking, we considered MY 2016 FTP certification data for diesel engines, which showed an unexpected step-change improvement in engine fuel consumption and CO
As background, the FTP includes a cold-start, a hot-start and significant time spent at engine idle. During these portions of the FTP, the NO
For the Phase 2 final rule, EPA revised the baseline emission rate for vocational engines to reflect the actual certified emission levels. The Phase 2 vocational engine final CO
EPA did not allow the carryover of Phase 1 vocational engine credits into the Phase 2 program, consistent with these adjustments to the baselines. Since this issue does not apply for RMC emissions, the restriction was applied only for engines certified exclusively to the FTP standards (rather than both FTP and RMC standards). We believed that allowing engine credits generated against the Phase 1 diesel FTP standards to be carried over into the Phase 2 program would have inappropriately diluted the Phase 2 engine program. However, this was in the context of unadjusted credits.
After further consideration, we now believe that it would not dilute the program if the credits were appropriately adjusted to more accurately reflect improvement over the true baseline levels.
Allowing the portion of the credits that represent actual emission improvements to be carried forward is consistent with our rationale from Phase 2. Thus, we are allowing in § 1036.701(j), for the purpose of carrying Phase 1 credits into the Phase 2 program, and not compliance with Phase 1 standards, that manufacturers may recalculate the credits in their initial Phase 1 averaging, banking, and trading (ABT) vocational engine averaging set relative to the Phase 2 baseline engine values. The recalculated vocational engine credits for an ABT averaging set will be allowed into the Phase 2 engine program to the same extent as tractor engine credits. Cummins submitted a late comment (see Docket ID EPA–HQ–OAR–2019–0307–0066) requesting clarification of whether manufacturers would have the option of applying these vocational carryover provisions to one ABT averaging set but not another (
As noted in the Phase 2 final rule, allowing additional flexibility for compliance with engine standards does not cause any increase in emissions because the manufacturers must still comply with the vehicle standards (See 81 FR 73499, October 25, 2016). However, this flexibility could allow some manufacturers to find a less expensive compliance path.
EPA requested comment on several updates to the special flexibility provisions for vocational engines (see 85 FR 28145). This section presents the regulatory changes we are adopting after consideration of comments received. Additional details on comments received on these provisions and our responses are available in Chapter 2.4 of our Response to Comments.
In the existing regulations at 40 CFR 1036.150(p), EPA provided special flexibility for engine manufacturers that certify all their model year 2020 engines within an averaging set to the model year 2021 FTP and SET standards and requirements. Where 40 CFR 1036.150(p) applies, paragraph (p)(1) specifies that GHG emission credits that manufacturers generate with model year 2018 through 2024 engines may be used through model year 2030, instead of being limited to a five-year credit life as specified in 40 CFR 1036.740(d). Note that under the Phase 2 final rule this provision in effect only applies to manufacturers of tractor engines, as under 40 CFR 1036.701(j) EPA did not allow the carryover of Phase 1 vocational engine credits into the Phase 2 program (81 FR 73499, October 25, 2016). Where 40 CFR 1036.150(p) applies, paragraph (p)(2) specifies that manufacturers are also allowed to certify model year 2024 through 2026 tractor engines to alternative standards that are slightly higher than the otherwise applicable standards. Note that in the table of alternative standards in the Phase 2 final rule EPA included values for medium and heavy heavy-duty vocational engines, but these values are identical to the Phase 2 standards and not slightly higher due to our concerns about windfall credits if carryover of Phase 1 credits were allowed.
The applicability of 40 CFR 1036.150(p) is based on the choices manufacturers made when certifying their MY 2020 engines. Instead of certifying engines to the final year of the Phase 1 engine standards, manufacturers electing the alternative instead certified to the MY 2021 Phase 2 engine standards. Because these engine manufacturers reduced emissions of engines that would otherwise have been subject to the more lenient MY 2020 Phase 1 engine standards, there can be a net benefit to the environment. These engines do not generate credits relative to the Phase 1 standards but instead generate credits relative to the pulled ahead MY 2021 Phase 2 engine standards. Because the vehicle standards themselves are unaffected, the alternative MY 2024–2026 engine standards will not dilute or diminish the overall GHG reductions or fuel savings of the program. Vehicle manufacturers using engines subject to the alternative MY 2024–2026 standards would need to adopt additional vehicle technology (
The proposed rule included an amendment to address the concern regarding Phase 1 windfall credits and requested comment on the possibility of a similar set of alternative standards for vocational engines. CARB and Volvo commented that they support these changes and flexibilities. Cummins commented opposing both the alternative MY 2024 through 2026 vocational engine standards and extending the life of credits generated from early compliance with Phase 2 vocational standards. The American Council for an Energy-Efficient Economy commented opposing extending the life of vocational engine credits generated in Phase 1, stating that doing so does not result in emission reductions but would increase emissions and reduce the rule's overall stringency. Cummins also commented that manufacturers had already developed and certified MY 2020 products without consideration of these changes, and even if post hoc recertification was possible, allowing them now would potentially be an advantage or disadvantage to individual manufacturers.
As discussed in section II.B.1, we are finalizing provisions on calculating credits relative to a baseline that addresses these windfall credit concerns, which also results in the extended credit life flexibility under 40 CFR 1036.150(p)(1) now being available to vocational vehicles that qualify under 40 CFR 1036.150(p). We are also finalizing a set of alternative standards for vocational engines, as shown in Table II–4.
The Phase 2 standards are implemented in three MY steps: 2021, 2024, and 2027. The largest step change in stringency occurs in MY 2024, where approximately two-thirds of the total numeric reduction in the MY 2021 through MY 2027 standards is achieved, with the remaining one-third occurring in MY 2027. For the alternative tractor engine standards, EPA reversed the magnitude of the MY 2024 and MY 2027 step changes, where the MY 2024 alternative standard represents one-third of the total numeric reduction and is slightly higher than the Phase 2 standard. The standards at the beginning (MY 2021) and ending (MY 2027) steps of the Phase 2 program remain the same in either case, and only the level of decrease in standard for MY 2024 changes with the alternative standards. EPA determined the alternative standards for vocational engines by adjusting the magnitude of the MY 2024 standard in the same manner as used to determine the alternative tractor engine standards in the Phase 2. The Phase 2 vocational engine standards decrease by 10 g/hp–hr between MY 2021 and MY 2027, with a 7 g/hp–hr step change in the MY 2024 standard (approximately two-thirds of the total numeric reduction) and a 3 g/hp–hr step change in MY 2027. For the alternative vocational engine standards in MY 2024–2026, we are adopting a 3 g/hp–hr reduction from the MY 2021 standard (from 545 to 542 g/hp–hr for
Regarding the adverse comments received, including whether or not manufacturers had the opportunity to consider these changes prior to MY 2020, these changes correspond to the corrected approach to Phase 1 credit calculations explained in Section II.B.1 above. At the time of the Phase 2 final rule, we believed that allowing Phase 1 vocational engine credits, without adjustment, to be carried over to the Phase 2 program would result in “windfall” credits, or dilution of the benefits of the Phase 2 program, and we adopted restrictions to limit their use. However, after the Phase 2 final rule we recognized that an alternative to restricting Phase 1 vocational engine credits because of windfall concerns would be to adjust credits earned in Phase 1 downward, relative to a baseline of the lower Phase 2 emissions standards, and in doing so, we would be extending to vocational engine manufactures the same flexibilities that were provided to tractor engine manufacturers. In this final rule we are allowing the vocational engine credits generated in Phase 1 to be adjusted downward and used in Phase 2 program through MY 2030, just as they were for tractors. In setting lower baseline emission values for Phase 1 vocational engine credits and providing the corresponding program flexibilities, EPA does not intend to advantage or disadvantage any manufacturer. Rather, we are removing restrictions that were applied only to vocational engines but no longer should be applied now that we are finalizing provisions that provide a proper accounting of the emission improvements realized by manufacturers who chose to certify their MY 2020 engines to the MY 2021 Phase 2 standards, so vocational and tractor engines are treated the same. In addition, the revised MY 2024–2026 alternative standards for vocational engines, while slightly higher than those in the Phase 2 final rule by 0.7 to 0.8%, do not reduce the overall stringency of the Phase 2 program, but instead reflect the alternative standards we would have adopted in the Phase 2 final rule alongside the similar tractor provisions, and for the same reasons we finalized those tractor provisions, had we considered adjusting baseline emission rates used for calculating Phase 1 credits. Manufacturers that qualify to use the alternative MYs 2024–2026 engine standards accelerated their compliance with the more stringent MY 2021 Phase 2 standards by one model year. As we explained in the Phase 2 final rule, because the vehicle standards themselves are unaffected, these alternative engine standards will not dilute or diminish the overall GHG reductions or fuel savings of the program. Vehicle manufacturers using engines subject to the alternative MYs 2024–2026 standards will need to adopt additional vehicle technology (
EPA proposed updates to the procedure for confirmatory testing of the fuel mapping test procedure related to providing an interim 2% allowance during confirmatory testing of the fuel mapping test procedure finalized in the Phase 2 final rule and requested comment on “. . . whether it appropriately balances the impacts of testing variability for fuel maps” (see 85 FR 28146, May 12, 2020). This section presents the changes we are adopting to the confirmatory testing portion of the fuel mapping test procedure after consideration of comments received. Additional details on these comments and our responses are available in Chapter 2 of our Response to Comments.
During the Phase 2 rulemaking, manufacturers raised concern about measurement variability impacting the stringency of the engine GHG standards and fuel map requirements. As noted in the Phase 2 final rule, the final standards were developed to account for this. (81 FR 73571, October 25, 2016). Manufacturers raised particular concern about variability of fuel map measurements because neither they nor EPA had sufficient experience measuring fuel maps (in a regulatory context) to fully understand the potential impacts of measurement variability. We estimated the fuel map uncertainty to be equivalent to the uncertainty associated with measuring CO
In conjunction with this intention, EPA has worked with engine manufacturers to better understand the variability of measuring fuel maps using the test procedures and cycles specified by EPA in the Phase 2 final rule. Through that work, we identified several sources of variability that can be reduced by making small changes to the test procedures. EPA is adopting these changes, as explained in Sections II.A.1 through II.A.3 of this final rule.
SwRI performed emission measurements in multiple test cells and identified distributions of error for other test inputs such as measured fuel properties and calibration gas concentrations. SwRI then used a Monte Carlo simulation to estimate a distribution of errors in measured fuel maps.
1. The variability of measuring CO
2. The variability of measuring CO
3. Measuring CO
4. The data obtained during the test program at SwRI did not include all the test procedure changes being adopted in 40 CFR parts 1036 and 1037 that will further reduce fuel mapping test variability and therefore the variability is likely to be lower than reported by the SwRI.
Manufacturers have indicated they are concerned about the possibility of EPA changing an official fuel map result as a consequence of EPA confirmatory testing where the measured maps were within an expected range of variability. In the context of the SwRI test program, EPA observed similarity between the range of variability of measuring fuel maps and the range of variability of measuring CO
After considering the comments received, we are adopting the limited transitional approach aimed at addressing the manufacturers' variability concerns. As manufacturers implement this rule's revised test procedures to reduce variability, we will analyze and compare a manufacturer's declared and measured fuel maps to those that result from our confirmatory testing, with the goal of ensuring the long-term integrity of the Phase 2 program. We are codifying the interim provision for model years 2021 and later in 40 CFR 1036.150, under which EPA will not replace a manufacturer's fuel maps during confirmatory testing if the difference between the EPA-measured fuel maps and the manufacturer's declared maps is less than or equal to 2.0 percent. We may revisit the interim 2% allowance in a future rulemaking.
EPA also intends to further review data and developments in this area. We intend to review this provision as we learn more about the impact of measurement variability on measured and declared fuel maps submitted during the certification process for future model years (including the full impact of the test procedure improvements that are intended to reduce measurement variability), which may inform whether we determine additional action is warranted in the future with respect to fuel mapping variability. We also intend to enter into a round robin study of criteria and GHG pollutant engine testing variability with interested engine manufacturers, with the involvement of the Truck and Engine Manufacturer's Emission Measurement and Testing Committee. This data will add to the existing knowledge regarding the variability of the FTP, SET and fuel mapping test procedures and may help inform if future action is needed to further improve the test procedures.
We are also finalizing an algorithm for comparing fuel maps. Because fuel maps are multi-point surfaces instead of single values, it would be a common occurrence that some of EPA's points would be higher than the manufacturer's while others would be lower. This algorithm was inadvertently proposed as an interim provision in 40 CFR 1036.150(q) along with the 2.0 percent variability allowance. The algorithm and fuel map comparison process during a confirmatory test is needed for confirmatory testing regardless of an allowance. Therefore, in this final rule the algorithm and all supporting text are located at 40 CFR 1036.235(c)(5). The limited interim 2.0 percent variability allowance is located at 40 CFR 1036.150(q).
EPA's measured fuel maps will be used with GEM according to 40 CFR 1036.540 to generate emission duty cycles which simulate several different vehicle configurations, generating emission results for each of the vehicles for each of the duty cycles. Each individual duty cycle result will be weighted using the appropriate vehicle category weighting factors in Table 1 of 40 CFR 1037.510 to determine a composite CO
EPA proposed three additional updates to the testing and measurement provisions of 40 CFR part 1036, related to measuring emissions from heavy-duty
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Except as noted above, we received no adverse comments on these proposed amendments and are adopting them without modification.
In addition to the aerodynamic test procedure amendments described in Section II.A.6, we proposed several updates to § 1037.150(s) as it relates to EPA's confirmatory testing of aerodynamic parameters and § 1037.305 as it relates to our selective enforcement audit (SEA) procedures. We also requested comment on general improvements to the aerodynamic compliance provisions (see 85 FR 28147). This section presents the changes we are adopting to our confirmatory testing and SEA procedures after consideration of comments received. Additional details on these and other aerodynamic amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments.
As described in 40 CFR 1037.235(c), EPA may perform confirmatory testing on a manufacturer's vehicles, including a vehicle tested to establish the
CARB commented in support of increasing the number of runs from SEA to 100 to limit false failures, but requested in comment to know the origin of the proposed minimum 100 valid runs for confirmatory testing. Our intent with the finalized requirement for 100 valid confirmatory runs is to maintain consistency with the existing regulatory language adopted in the Phase 2 final rulemaking for SEA testing. The existing § 1037.305(a)(7)(iii) states: “The vehicle passes if you perform 100 coastdown runs and
EMA requested additional modifications to § 1037.150(s) regarding EPA's approach to calculating a new
Additionally, as noted in the proposal regarding § 1037.150(s), we recognize that test conditions for coastdown testing are an important consideration. For our confirmatory testing, EPA intends to minimize the differences between our test conditions and those of the manufacturer and we proposed a note in § 1037.150(s) stating our intent to test at similar times of the year. EMA requested additional regulatory language regarding our intent to test at the same location as well as time of year. We are expanding our proposed note in § 1037.150(s) to include our intent to test at both the same time of year and the same location, subject to
We proposed and received no adverse comments to three typographical edits to our aerodynamic testing audit procedures for tractors in § 1037.305. We are finalizing those three edits as proposed and additional editorial edits as follows:
• Section 1037.305—Replaced reference to 40 CFR 1068.420 with the range “40 CFR 1068.415 through 1068.425” as proposed.
• Section 1037.305(a)—Rephrased “whether or not a tractor fails to meet” to the more concise “whether a tractor meets”.
• Section 1037.305(a)(2)—Corrected “coastdown effective” to “coastdown effective yaw angle” as proposed.
• Section 1037.305(a)(7)—Added a missing “m2” following the bin value of 5.95 in the example as proposed. Editorial revisions to remove passive voice.
In comment, EMA suggested additional revisions to § 1037.305(a) allowing manufacturers to apply good engineering judgment in their selective enforcement audit (SEA) testing if a production vehicle could not be configured to meet the trailer height specified in § 1037.501(g)(1)(i). We accept that a future production vehicle may be designed such that it cannot be configured to match a trailer that meets our current definition of standard trailer. We are finalizing a broader revision to address all such scenarios where a production vehicle cannot be configured to match a trailer that meets our current definition of standard trailer, including but not limited to height, that will address EMA's specific concern with meeting the standard trailer's height requirements. We are adding language to clarify that a manufacturer may seek EPA approval to use an alternate or modified vehicle configuration, consistent with good engineering judgment, if EPA chooses to audit a production vehicle configuration that cannot meet any of the standard trailer requirements specified in § 1037.501(g)(1).
As noted in Section II.C.1.a, we proposed and are finalizing a provision in § 1037.150(s) to require EPA to perform a minimum of 100 valid runs before replacing a manufacturer's
EPA proposed several provisions related to idle reduction technologies. This section presents the changes we are adopting after consideration of the comments received. See Chapter 2 of our Response to Comments for further details, including additional idle reduction amendments or clarifications requested by commenters and our responses.
The Phase 1 version of GEM gives credit for extended idle emission reduction technologies that include a tamper-proof automatic engine shutoff system (AESS), with few override provisions. Phase 2 GEM gives credit for a wider variety of idle reduction strategies, recognizing technologies that are available on the market today, such as auxiliary power units (APUs), diesel fired heaters, and battery powered units. For example, a tamper-proof AESS with a diesel APU would be credited with a 4 percent reduction in emissions, while an adjustable AESS with a diesel fired heater would be credited with a 2 percent reduction in emissions (81 FR 73601, October 25, 2016).
Our proposal to revise § 1037.520(j)(4) to include GEM input values for combinations of these technologies received support from CARB, EMA, and Volvo and we are finalizing our proposed combinations of idle reduction technologies as shown in Table II–5. Adding these values to GEM reduces the compliance burden for manufacturers who would otherwise need to apply for off-cycle credits for these technology combinations. The values of these technology benefits were determined using the same methodology used in the Phase 2 final rule.
In 40 CFR 1037.660, we identify three idle reduction technologies (
While we did not specifically propose or request comment on AES overrides, New Flyer (a bus manufacturer) commented that the override condition for AES systems during servicing in § 1037.660(b)(1)(ii) (cross-referenced under the existing regulations for vocational vehicles in § 1037.660(b)(2)(i)) could pose a safety risk to maintenance personnel. They stated that maintenance personnel may not have a diagnostic scan tool required to deactivate the system and some maintenance may require longer than the current 60-minute limit before reactivation. New Flyer suggested an “open engine compartment” would be a more appropriate override condition.
After consideration of New Flyer's safety concern for vocational vehicles, we are revising § 1037.660(b)(2) to allow a vocational vehicle's AES system to delay shutdown if necessary while servicing the vehicle without the scan tool requirement and time limit. Our final revision removes the cross-reference in § 1037.660(b)(2)(i) to that particular provision in § 1037.660(b)(1) and replaces it with a new provision in § 1037.660(b)(2)(ii). Our new provision allows a delay in shutdown for vocational vehicles if the engine compartment is open and replaces the
We are finalizing editorial revisions to § 1037.660(b) so the paragraphs consistently begin with “When”. Additionally, we reordered the paragraphs of § 1037.660(b)(1) to move the servicing provision previously located at paragraph (b)(1)(ii) to paragraph (b)(1)(vi) such that the vocational vehicle AES provisions can continue to reference the range of relevant (b)(1) paragraphs in paragraph (b)(2)(i).
EPA proposed and is finalizing a provision in § 1037.660(b)(3)(ii) that would allow the neutral idle system to delay shifting the transmission into neutral if the transmission is in reverse gear (85 FR 28271, May 12, 2020). New Flyer requested an additional override when the vehicles is on a road grade of 6.0 percent or more to prevent the safety concern of vehicle rollback. EPA agrees with this safety concern and is finalizing a provision in § 1037.660(b)(3)(iii) to allow a delay in neutral idle when the vehicle is on a grade greater than or equal to 6.0 percent. EMA requested additional overrides for “safety; thermal protection of the emissions aftertreatment; and maintenance of aftertreatment temperature within a range for adequate emissions control”. EPA is not adopting EMA's suggested override conditions as we do not think that they would likely be appropriate without more specific criteria. Manufacturers continue to have the option to justify the need for additional overrides for their individual systems and seek EPA approval through § 1037.660(b).
We requested comment on a specific list of override conditions for stop-start systems (85 FR 28151, May 12, 2020). CARB expressed concern that additional overrides may compromise emissions and requested a requirement that manufacturers bring their proposed overrides to EPA for approval. We are not requiring a “case-by-case” approval process for these overrides, as suggested by CARB, but we note that, in the certification application provisions of § 1037.205(b)(5), manufacturers are required to include a description of their idle reduction technology, including the override conditions of § 1037.660. We believe this continues to be an appropriate level of oversight for these idle technologies and their associated override conditions.
EMA and New Flyer supported the inclusion of all override conditions listed in the proposed rule for comment, but their comments did not expand on the need for any of the individual conditions to be adopted. Each commenter requested additional override conditions and included the rationale for those requests. Our final revisions to § 1037.660(b)(4) cross-reference the provisions for vocational vehicle AES (paragraph (b)(2)) and neutral idle (paragraphs (b)(3)(ii) and (iii)) such that the new open engine compartment, reverse gear, and road grade provisions for those systems also apply for stop-start systems. EPA considered the original list and the commenters' additional suggested override conditions and we are adopting the following additional override criteria specific to stop-start systems to ensure safety and/or effective system operation as noted in § 1037.660(b)(4):
• When the steering angle is at or near the limit of travel to avoid steering wheel kickback during engine start.
• When a wheel speed sensor failure may prevent the anti-lock braking system from detecting vehicle speed.
• When an automatic transmission is in “park” or in “neutral” with the parking brake engaged because the feature is intended to be used during driving operation.
• When a component failure protection mode is active, such as starter motor overheating, which may prevent the engine from restarting.
• When a fault is active on a system component needed to start the engine, which may prevent the engine from restarting.
• When the flow of diesel exhaust fluid is limited due to freezing, because an engine-off condition may further delay thawing and SCR operation.
It was not clear that the remaining override conditions suggested by commenters or presented for comment in the proposed rule pose a widespread concern for safety, vehicle operation, or serviceability, or could not be easily overridden by the driver, and we are not adopting those overrides in our final revisions. However, manufacturers continue to have the option to seek EPA approval for these or additional criteria they believe are needed to protect the engine and vehicle from damage and to ensure safe vehicle operation (see § 1037.660(b)).
EPA proposed minor revisions to the weight reduction provisions (see 85 FR 28150). This section presents the changes we are adopting after consideration of comments received. See Chapter 2 of our Response to Comments for additional details on some of these amendments, including other amendments or clarifications requested by commenters and our responses.
The regulations in 40 CFR 1037.520 include tables to calculate weight reduction values for using certain lightweight components. The sum of the weight reductions is used as an input to GEM. As noted in Section II.A.2, EPA proposed two changes to Table 8 of that section allowing manufacturers to use the heavy heavy-duty (HHD) values for medium heavy-duty (MHD) vehicles with three axles (
We received comment from EMA requesting “a process for adding in other weight-savings technologies”. As described in § 1037.520(e)(5), this process is available in the existing off-cycle provisions of § 1037.610 and no further action is needed or being finalized in this rule. EMA also requested clarification on the origin of certain weight reduction values for tires and recommended use of a “base” value for comparison. We note that all the values in Table 6 through Table 8 of § 1037.520 were developed through notice and comment in the HD Greenhouse Gas Emissions Phase 1 and Phase 2 rulemakings based on information as described in the Regulatory Impact Analysis for the rules. We did not propose changes to the weight reduction tables and are not taking any final action at this time to
We proposed a revision to § 1037.115(e) to clarify that it is “intended to address air conditioning systems for which the primary purpose is to cool the driver compartment (85 FR 28151). This would generally include all complete pickups and vans, but not self-contained air conditioning or refrigeration units on vocational vehicles.” CARB and New Flyer requested additional clarification on the phrase “self-contained”. After consideration of submitted comments, we are finalizing a modified version of the proposed changes to § 1037.115(e)(1) that incorporates some of the feedback from commenters. We are maintaining the proposed statement that this provision is intended for A/C systems that cool the driver compartment. We're clarifying that it generally applies to “cab-complete” pickups and vans (see definition at § 86.1803–01) which is more appropriate for heavy-duty than “complete pickups and vans” as proposed. We are expanding the existing statement that the paragraph does not apply for self-contained A/C or refrigeration units by adding the phrases “used to cool passengers” and “used to cool cargo”. Finally, we further clarify that a self-contained system for purposes of this provision is an “enclosed unit with its own evaporator and condenser even if it draws power from the engine.”
The regulations require tractor manufacturers to annually chassis test five production vehicles over the GEM cycles to verify that relative reductions simulated in GEM are being achieved in actual production. See 40 CFR 1037.665. We do not expect absolute correlation between GEM results and chassis testing. GEM makes many simplifying assumptions that do not compromise its usefulness for certification but do cause it to produce emission rates different from what would be measured during a chassis dynamometer test. Given the limits of correlation possible between GEM and chassis testing, we would not expect such testing to accurately reflect whether a vehicle was compliant with the GEM standards. Therefore, § 1037.665 does not apply compliance liability to such testing.
The regulation also allows manufacturers to request approval of alternative testing “that will provide equivalent or better information.” Manufacturers have asked us to clarify this allowance and we proposed to revise § 1037.665 to provide an example that the EPA may allow manufacturers to provide CO
For Phase 2 tractors and vocational vehicles, the vehicle's regulatory model year is usually the calendar year corresponding to the vehicle's date of manufacture. However, the Phase 2 regulations allow the vehicle's model year to be designated as the year before the calendar year corresponding to the vehicle's date of manufacture if the engine's model year is from an earlier year. We are amending as proposed the definition of model year in § 1037.801 to allow vehicle manufacturers to extend the period during which a vehicle's certification is valid to account for this flexibility. This clarification more explicitly explains how vehicle manufacturers utilize this existing flexibility.
After promulgation of the Phase 2 final rule, it became apparent that the Phase 2 vehicle model year definition does not allow starting vehicle production before the start of the named year if the engine model year also begins in the earlier year. For example, if a manufacturer would start its 2024 engine model year in December 2023, the definition would not allow vehicles produced in 2023 to be model year 2024.
To address this issue, EPA is allowing the option for the vehicle's model year to be designated as the year after the calendar year corresponding to the vehicle's date of manufacture. This has the effect of allowing manufacturers to meet standards earlier with aligned engine and vehicle model years. Model years would still be constrained to reflect annual (rather than multi-year) production periods and include January 1 of the named year.
We did not receive comments on these proposed change to the definition of model year for vehicles. We are accordingly adopting the revised definition for model year in 40 CFR 1037.801 for tractors and vocational vehicles with a date of manufacture on or after January 1, 2021, as proposed, except that the final rule includes additional text to make explicit the requirement for the model year to be based on the manufacturer's annual production period for new models. This is consistent with the definition of model year for vehicles subject to Phase 1 standards in the same section.
The regulations at 40 CFR 1037.620(d) allow component manufacturers to conduct testing for vehicle manufacturers, but they do not specify restrictions for the format of the data. Vehicle manufacturers have raised concerns about component manufacturers including compliance margins in GEM inputs—in other words, inputting a value that is significantly worse than the tested result. They state that many component suppliers are providing GEM inputs with compliance margins, rather than raw test results. However, when stacked together, the compliance margins would result in inappropriately high GEM results that would not represent the vehicles being produced.
We proposed to note in 40 CFR 1037.501(i) that declared GEM inputs for fuel maps and aerodynamic drag area will typically include compliance margins to account for testing variability and that, for other measured GEM inputs, the declared values will typically be the measured values, and received comment requesting additional clarification and providing additional suggested revisions as described in Chapter 2 of the Response to Comments document. One commenter suggested that EPA finalize default allowance values at this time, however we lack adequate data to make a thorough determination on what these values should be. In addressing manufacturers' concern, it is important to distinguish between engine fuel maps (which are certified separately) and other GEM inputs that are not certified. As is discussed in Section II.B.3, certified engine fuel maps are expected to include compliance margins to account for manufacturing and test variability. However, EPA did not expect each of the other GEM input to have a
For vehicle GHG standards, the primary role for FEL compliance margins is to protect against SEA failures. Without a compliance margin under the Phase 2 regulations, normal production variability would cause some vehicles to fail, which would require the testing of additional vehicles. Even if the family ultimately passed the SEA, it would probably require the manufacturer to test a large number of vehicles. However, because SEAs and confirmatory tests for particular components would not target GEM inputs for other components, a modest vehicle FEL compliance margin determined by the vehicle manufacturer, that accounts for the component input with the highest uncertainty used to determine the vehicle FEL, would be sufficient to cover the full range of uncertainty for all components.
While we are not adopting explicit changes with respect to compliance margins that were requested in comments, we are finalizing the revision in § 1037.501(i) as with clarifying edits that, for other measured GEM inputs, the declared values are typically the measured values without adjustment, and finalizing a related provision after consideration of comments on this proposed revision and on conducting a confirmatory test and SEA for an axle or transmission apart from a specific vehicle. Specifically, the additional change clarifies this intent for confirmatory testing in 40 CFR 1037.235(c)(2) by stating that the results will only affect your vehicle FEL if the results of our confirmatory testing result in a GEM vehicle emission value that is higher than the vehicle FEL declared by the manufacturer.
These revisions further obviate a need for component-specific compliance margins and should thus further clarify that component-specific suppliers should be providing GEM inputs with raw test results, rather than values that include an associated compliance margin. While we do not believe that suppliers should normally include compliance margins when providing test data to OEMs for GEM inputs, we do believe they should provide to OEMs some characterization of the statistical confidence they have in their data. This allows the OEM to apply an appropriate overall compliance margin for their vehicle FEL. During a confirmatory test, EPA would compare the GEM results using our measured inputs with the declared FEL for the vehicles, which means that the compliance margin for measurement variability should be built into the FEL of the vehicle. Again, EPA notes that the certified engine fuel maps are expected to include small compliance margins to account for manufacturing and test variability.
Finally, none of this is intended to discourage suppliers and OEMs from entering into commercial agreements related to the accuracy of test results or SEA performance.
Under 40 CFR 1037.320, a selective enforcement audit (SEA) for axles or transmissions would consist of performing measurements with a production axle or transmission to determine mean power loss values as declared for GEM simulations, and running GEM over one or more applicable duty cycles based on those measured values. The axle or transmission is considered passing for a given configuration if the new modeled emission result for every applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs. As described below, EPA is revising the provision regarding where an axle or transmission does not pass.
We believe special provisions are needed for axles and transmissions given their importance as compliance technologies and a market structure in which a single axle or transmission could be used by multiple certifying OEMs. Under the existing SEA regulations, if an axle or transmission family from an independent supplier fails a SEA, vehicle production could be disrupted for multiple OEMs and have serious economic impacts on them. We are finalizing a revision that will minimize the disruption to vehicle production.
Under the revised provision, if the initial axle or transmission passes, then the family would pass, and no further testing would be required. This is the same as under the existing regulations. However, if the initial axle or transmission does not pass, two additional production axles or transmissions, as applicable, would need to be tested. We are finalizing this revision as proposed, except we are finalizing additional changes to § 1037.320(c) after consideration of comments received to the proposal in a couple respects. We further clarified that these additional production axels or transmissions to be tested could be different axle and transmission configurations within the family to cover the range of product included in the family. We also are finalizing an additional clarification in 40 CFR 1037.320(c) that further address how the results from the SEA will be used to determine if the manufacturer declared map should be replaced, by stating that if you fail the audit test for any of the axles or transmissions tested, the audit result becomes the declared map, also requiring revision of any analytically derived maps if applicable, and that these would become official test results for the family. In other words, this approach would correct the data used by the OEM for their end-of-year report.
After consideration of comments, we are also finalizing changes to 40 CFR 1037.320(b) to clarify that the test transmission's gear ratios and not the default ratios in 40 CFR 1036.540 should be used in GEM. After consideration of comment regarding the lack of an engine defined for use as a GEM input when a component-level SEA is being performed, we have specified the use of the default engine map in 40 CFR part 1036, appendix C, and a default torque curve that we have added as Table 1 to 40 CFR 1037.520. The axle and transmission GEM inputs can now be determined based on the default map and torque curve. See Chapter 2 of the Response to Comments for further details on comments received and our responses.
Prior to the proposal, manufacturers expressed concern that the Phase 2 regulations are not specific enough regarding how to classify hybrid vocational vehicles (see § 1037.140). This is not an issue for tractors, which are classified based on gross vehicle weight rating (GVWR). However, vocational vehicles are generally classified by the class of the engines. Obviously, this approach does not work for electric vehicle without engines. This approach could also misrepresent a hybrid vehicle that is able to use an undersized engine. To address these problems, we proposed changes to § 1037.140(g)(1) to clarify that the classification for tractors where provisions are the same as vocational vehicles applies for hybrid and non-hybrid vehicles, and paragraph (g)(4) to clarify that Class 8 hybrid and electric vehicles are Heavy HDVs and all other vehicles are classified by GVWR classes. CARB and Tesla supported the regulation changes proposed in § 1037.140(g). We did not receive any
CARB suggested tying certification provisions such as warranty and useful life to the vehicle GVWR to avoid allowing a downsized hybrid powertrain installed in a heavier vehicle weight class to have shorter useful life and emission warranty obligations. We note that useful life (§ 1037.105(e)) and warranty (§ 1037.120(b)) for vocational vehicles are defined by vehicle service class (
We also requested comment on alternative approaches, such as specifying the useful life in hours rather than miles for these vocational vehicles or allowing electric vehicles to step down one weight class, with justification from the manufacturer. With respect to the potential alternative approaches we requested comment on, Ford supported specifying useful life in hours rather than miles for vocational vehicles. However, CARB raised questions on how the useful life in miles correlates to engine hours. Tesla encouraged EPA to continue to use a single, miles-based criteria for useful life. In addition, Ford expressed support for allowing electric vehicles to step down one weight class. We are not taking final action on any of the potential alternative approaches at this time. Regarding adopting useful life criteria based on engine hours, we currently lack the data required to link engine hours to miles for the range of vocational vehicles. Regarding potentially allowing electric vehicles to step down one weight class, we currently have concerns that this may allow for inappropriate useful life and warranty requirements.
Section 1037.140(g)(5) references § 1037.106(f) in specifying that, in certain circumstances, you may certify vehicles to standards that apply for a different vehicle service class. We received comments from EMA and Volvo and agree with the commenters' suggestion to clarify how our revision to § 1037.140(g)(1) regarding hybrid and electric tractors interacts with the cross-referenced § 1037.106(f). Consistent with our explanation at proposal that the current requirements in § 1037.140(g) applied to all tractors, we are also finalizing a corresponding clarification in § 1037.106(f)(2) regarding Class 7 hybrid and electric tractor's ability to certify to the Class 8 standards, by adding a sentence that “[t]his applies equally for hybrid and electric vehicles.” See Chapter 2 of the Response to Comments for further details on comments received and our responses.
The Phase 2 regulatory structure applies the primary vocational standards by subcategory. Manufacturers are generally allowed to certify vocational vehicles in the particular duty-cycle subcategory they believe to be most appropriate, consistent with good engineering judgment.
Vocational vehicles are classified based upon the gross vehicle weight rating (GVWR) as defined in § 1037.140(g). Once classified, manufacturers identify the intended regulatory subcategory duty cycles (
Prior to the proposal, manufacturers raised concerns about the impact of this structure on their ability to plan for and monitor compliance. They suggested that more objective and quantitative “good engineering judgment” criteria would be helpful. In response to these concerns, EPA proposed an interim “safe harbor” provision in § 1037.150(bb) for vocational vehicle segmentation. Under the proposal, manufacturers meeting the safe harbor criteria would be presumed to have applied good engineering judgment, and we explained that we thought the criteria were consistent with the intent of the Phase 2 program and would not allow manufacturers to reduce the effective stringency the standards.
The first principle of the proposed safe harbor was that any vehicle could be classified as Multi-purpose. The Multi-purpose duty cycle weighting factors include significant weightings for highway operation, lower speed transient operation, and idle. Thus, it would not generally overvalue an individual technology. The second principle of the proposed safe harbor was that vehicles not classified as Multi-purpose should not be exclusively Regional or Urban. We proposed a quantitative measure that evaluates the ratio of Regional vehicles to Urban vehicles within an averaging set. Specifically, we proposed that the ratio of Regional vehicles to Urban vehicles must be between 1:5 and 5:1. EPA requested comment on the proposed approach overall and the range of acceptable ratios.
CARB supported the proposed provision of allowing any vocational vehicle to be classified as Multi-purpose. However, both EMA and CARB questioned the ratios for vocational vehicle categories in the proposed provisions of § 1037.150(bb). EMA commented that the proposed ratios were “arbitrary” and may not be represent a manufacturer's model mix during any specific year. Instead, EMA suggested that more appropriate “good engineering judgment” would be to base the vehicle category on “the duty cycle weighting under which it performs most efficiently in GEM.” CARB commented that the ratio could inadvertently drive manufacturers to certify the vehicles with an inappropriate duty cycle and recommended all vehicles be certified as Multi-purpose unless the manufacturer could provide “good justification” for a Regional or Urban categorization.
We are finalizing a revision in § 1037.140(h) and throughout § 1037.150(z) to replace “duty cycle” with the term “regulatory subcategory” that more appropriately reflects the intent of classifying a vehicle and its connection to a standard. Additionally, after considering the comments, EPA is finalizing one principle of the safe harbor provision proposed as § 1037.150(bb); specifically, the paragraph that allows manufacturers to select the Multi-purpose subcategory for any vocational vehicle, unless otherwise
Section 1037.150(z) outlines the constraints manufacturers apply when determining the appropriate vocational subcategory for their vehicles as described in § 1037.140. Instead of adding a new paragraph (bb) as proposed, we are reordering § 1037.150(z) and incorporating a new paragraph to allow the Multi-purpose classification. The modified § 1037.150(z)(1) through (3) now include the current provisions that identify the vehicle configurations (designed for higher-speed cruise operation) for which manufacturers must select the Regional subcategory, specifically if certified based solely on testing with the high-speed Supplemental Emission Test, if certified as a coach bus or motor home, or if equipped with a manual transmission after MY 2024. Except where one of those existing three criteria for the Regional subcategory apply, a new paragraph (z)(4) allows manufacturers to select the Multi-purpose subcategory for any vocational vehicle. The remaining renumbered paragraphs (z)(5) through (7) describe the current regulation's existing allowances for and limitations on selecting the Urban subcategory that are based on the most appropriate transmission configurations for lower speed, stop-and-go driving.
We continue to believe market forces will induce manufacturers to design their vocational vehicles such that their GHG emission performance (and fuel efficiency) is optimized for their customers' specific applications and, in most cases, it will be clear which subcategory and associated duty cycle is appropriate for a given vocational vehicle configuration. Consequently, the vehicles and their associated technology packages will also be relatively optimized for one of the vocational duty cycles available for compliance using GEM, as shown in Table 1 of § 1037.510. Where it is unclear, we would evaluate whether a manufacturer has applied the good engineering judgment required under § 1037.140(h) taking into consideration whether the subcategory selected is best suited for the vehicle as indicated by the totality of its powertrain options, vehicle features, and duty cycle performance under which it demonstrates the most favorable emissions result relative to the emission standard. We note that in our review of a manufacturer's good engineering judgment request, we reserve the right to require the use of a more appropriate duty cycle and subcategory. We will continue to monitor use of the good engineering judgment provision of § 1037.140(h) and the constraints listed in § 1037.150(z) and may re-evaluate our approach in the future if we determine it is necessary.
Thus, the final regulations include consideration of both EMA and CARB's suggestions. As noted previously, we would consider the duty cycle weighting under which the vehicle performs most efficiently in GEM in considering whether good engineering judgment was used, and have provided manufacturers of vehicles not subject to the constraints listed in § 1037.150(z) with a clear pathway to certify those vehicles as Multi-purpose if they are otherwise unable to justify Regional or Urban duty cycle when exercising good engineering judgment.
In the proposed rule, we also requested comment on the need for the subcategory on the label. EMA commented that it is unnecessary and a complication and burden for manufacturers to identify whether the vehicle is in the Urban, Multi-Purpose or Regional subcategory on the label and requested that we “remove the requirements in § 1037.135(c)(3) and (4)”. CARB commented and encouraged EPA to require the subcategory be on the label because it would help consumers choose the appropriate certified vehicles for their intended vehicle operation cycles. After consideration of EMA's and CARB's comments, we are removing the requirement to explicitly state the regulatory subcategory on the emission label as specified in § 1037.135(c)(4). In the Phase 2 final rulemaking, we concluded that it was unnecessary for the emission label to contain a comprehensive list of all emission components and that it is important to balance the manufacturers' “need to limit label content with the [the agencies'] interest in providing the most useful information for inspectors” (81 FR 73636, October 25, 2016). Since stating the regulatory subcategory on the label provides limited additional information inspectors could use to quickly determine if the vehicle is in its certified condition and the subcategory can be identified from the vehicle family name required by paragraph (c)(3), we believe it is appropriate to remove it as a requirement on the emission label. We are not revising the current requirement to print the standardized designation for the vehicle family name as required by § 1037.135(c)(3), which ensures consistency between the label and other compliance provisions that require the vehicle family name. As such, the regulatory subfamily can continue to be identified from the family name, which should help address CARB's concern if a consumer chooses to use the emissions label when deciding to purchase a vehicle.
Vehicle manufacturers that qualify as small businesses are exempt from the Phase 1 standards, but must meet the Phase 2 standards beginning January 1, 2022.
The provision we proposed also allows the Phase 1 vehicle credits that small manufacturers generate from model year 2018 through 2022 vocational vehicles to be used through model year 2027. Under the existing regulations, all manufacturers that generate credits under the Phase 1 program are allowed to use such Phase 1 vehicle credits in the Phase 2 vehicle averaging, banking, and trading program, but the credits are subject to the five-year credit life. As noted in the proposed rule, we believe the limit on credit life can be problematic for small manufacturers with limited product lines which allow them less flexibility in averaging, and the longer credit life will provide them additional flexibility to ensure all their products are fully compliant by the time the Phase 2 standards are fully phased in for model year 2027. We note that these Phase 1 emission credits are based on the degree to which the Family Emission Limit is below the Phase 1 standard.
We received no adverse comment to either proposal for small manufacturers in § 1037.150(y)(4). Our final revisions include minor edits to the proposed credit-related provision in § 1037.150(y)(4) to create a standalone sentence and moving the proposed provision that describes the certification flexibility for these small manufacturers to a new § 1037.150(c)(4) where the applicable standards and implementation dates for qualifying small businesses are introduced.
In 40 CFR 1037.621, EPA specifies provisions to allow manufacturers to ship incomplete vehicles and delegate the final assembly to another entity. Manufacturers previously expressed the concern that these “delegated assembly” requirements are too burdensome in some cases, particularly in cases such as auxiliary power units and natural gas fuel tanks. EPA requested comment on this issue and proposed a single clarifying edit in § 1037.621(g). CARB encouraged EPA to maintain the existing delegated assembly provisions. We received no comments adverse these existing provisions or providing suggestions for updated text. The final rule adopts only the single clarifying edit in § 1037.621(g), as proposed.
During the Phase 2 rulemaking, Environment and Climate Change Canada (ECCC) emphasized that the highway weight limitations in Canada are much greater than those in the U.S. Where the U.S. Federal highways have limits of 80,000 pounds gross combined weight, Canadian provinces have weight limits up to 140,000 pounds. This difference could potentially limit emission reductions that could be achieved if ECCC were to fully harmonize with the U.S.'s HD Phase 2 standards because a significant portion of the tractors sold in Canada have GCWR (Gross Combined Weight Rating) greater than EPA's 120,000-pound weight criterion for “heavy-haul” tractors.
EPA addressed this in Phase 2 by adopting provisions that allow the manufacturers the option for vehicles above 120,000 pounds GCWR to meet the more stringent standards that reflect the ECCC views on appropriate technology improvements, along with the powertrain requirements that go along with higher GCWR (see 81 FR 73582, October 25, 2016). Vehicles in the 120,000 to 140,000 pound GCWR range would normally be treated as simple “heavy haul” tractors in GEM, which eliminates the GEM input for aerodynamics. However, vehicles certified to the optional standards would be classified as “heavy Class 8” tractors in GEM, which then requires an aerodynamic input. Nevertheless, they both use the heavier payload for heavy haul.
ECCC has since adopted final standards for these 120,000 to 140,000 pound GCWR tractors, which differ from the optional standards finalized in Phase 2.
ECCC has also adopted new standards for tractors in the 97,000 to 120,000 pound GCWR category. In general, EPA would classify a tractor in the 97,000 to 120,000 lb GCWR range in one of its Class 8 tractor subcategories. EPA's Class 8 tractor standards, which cover up to 120,000 lb GCWR, have standards that are
Manufacturers with advanced transmission calibrations may use the powertrain test option in § 1037.550 to demonstrate the performance of their transmissions. We adopted this option to provide an incentive for the development of advanced transmissions with sophisticated calibrations.
Transmission manufacturers have developed some new efficient calibrations, but must also maintain less efficient calibrations to address special types of operation. Due to concerns about resale value, most customers want to retain the ability to select the correct calibration for their operation. For transmissions with such selectable calibrations, § 1037.235(a) requires that they test using the worst-case calibration, which can undermine the incentive to continue improving the calibrations. We received comment requesting that we allow averaging of the worst-case and best-case performance, however this request would be a significant departure from how engine families are certified and what 40 CFR part 1037 currently requires for transmissions. We also received comment on weighting the
We received no adverse comments to the following proposed amendments. EPA is finalizing the following amendments to part 1037 as proposed:
• Section 1037.103(c)—Adding phrase “throughout the useful life”.
• Section 1037.105 Table 5—Updating footnote format in table.
• Section 1037.106 Table 1—Updating footnote format in table.
• Section 1037.120(b)—Correcting the text with respect to tires and Heavy Heavy-Duty vehicles.
• Section 1037.150(c)—Adding a sentence pointing to additional interim provisions for small manufacturers.
• Section 1037.150(aa)—Clarifying the production limit for drayage tractors under the custom chassis allowance.
• Section 1037.201(h)—Correcting phrase “except that § 1037.245 describes . . .” to refer to § 1037.243.
• Section 1037.205(e)—Correcting parenthetical “(see 40 CFR 1036.510)” to refer to 40 CFR 1036.503.
• Section 1037.225(e)—Reorganizing paragraph with the introduction noting starting data, paragraph (e)(1) with existing text, and a new paragraph (e)(2) regarding the requirement that the amended application be “correct and complete”.
• Section 1037.230(a)(2)—Adding two clarifying paragraphs for optional tractor subcategories.
• Section 1037.243(c)—Rephrasing for consistency with other paragraphs in the section.
• Section 1037.255—Replacing the possessive “your” with articles a/an/the throughout this section and added clarifying statements related to the information submitted in an application for a certificate of conformity.
• Section 1037.301(b)—Removing phrase “matches or exceeds the efficiency improvement”.
• Section 1037.635(c)(1)—Editorial, adding a missing “the”.
• Section 1037.701(h)—Editorial, fixing reference.
• Section 1037.705(c)(2)—Adding a clarification for exported vehicles.
• Section 1037.801—Correcting punctuation in Compression-ignition and Low rolling resistance tires definitions; adding the word “motor” to definition of Electric vehicle; adding definition of electronic control module; clarifying Heavy-duty vehicle definition with respect to incomplete vehicles; adding definition of High-strength steel; clarifying Light-duty truck definition; adding Tonne definition.
• Section 1037.805(c) and (d)—Editorial; updating to be consistent with format in other parts.
EPA is also finalizing the following additional amendments, that include revisions we are finalizing as proposed but with additional clarifications, editorial improvements, or to fix typographical errors, after consideration of comments, as noted. Chapter 2 of our Response to Comments includes additional details on some of these amendments, as well as other amendments or clarifications requested by commenters and our responses.
• Section 1037.150(c)—Reorganizing the section into subparagraphs; removing “qualifying” throughout; moving reference to NAICS codes into definition of “small manufacturer” in § 1037.801; and combining the statements regarding the MY 2022 implementation date for tractor and vocational vehicles and the additional delays in later years for alternatively-fueled tractors and vocational vehicles into the new paragraph (c)(2) to provide further clarification in response to CARB's seeming misinterpretation of the regulations in a submitted comment related to our proposed § 1037.150(y)(4) provision. Also moving the certification-focused portion of the early certification provision proposed as part of § 1037.150(y)(4) to a new paragraph (c)(4) as discussed in Section II.C.11.
• Section 1037.231(b)(7)—Adding an additional revision to provide clarification on forward gear availability, noting that available forward gear means the vehicle has the hardware and software to allow operation in those gears, consistent with our final revision to § 1037.520(g) as noted in Section II.A.2.
• Section 1037.235(h)—Providing an example of an “untested configuration” in response to EMA's request for clarification.
• Section 1037.601(a)(2)—Removing limit of “up to 50” and added a more general statement that we will limit the number of engines.
• Section 1037.615—Clarifying that fuel cells powered by hydrogen should have a Family Emission Limit of 0 g/ton-mile for calculating CO
• Section 1037.660(a)(2)—Revising to specify the permissible delay before engaging neutral idle when the vehicle is stopped; updating from proposed value of two seconds to the final value of five seconds after consideration of a request from Ford that suggested “two seconds is too short to account for normal stops and restarts in real on-road driving”. This request was posed in an email to EPA following the proposed rule.
• Section 1037.740(b)—Updated naming convention to match vehicle service classes Our revised delay of five seconds for neutral idle accommodates Ford's request and is consistent with the permissible § 1037.740(b)—Updating the naming convention to match vehicle service classes.
• Section 1037.801—Updating the proposed definitions for “hybrid engine or powertrain” and “hybrid vehicle” to be consistent with the proposed and further developed hybrid powertrain test procedure revisions to part 1036, subpart F, and the definitions of “hybrid powertrain” and “mild hybrid” added to 40 CFR part 1036. These revisions add examples of systems that qualify as hybrid engines or powertrains, specifically systems that recover kinetic energy and use it to power an electric heater in the aftertreatment. Updating model year definition as discussed in Section II.C.6 and small manufacturer definition as discussed in II.C.11.
• Section 1037.805(b)—Updating quantity and quantity descriptions including additional revisions to those proposed to ensure that these descriptions were consistent throughout the part.
• Section 1037.805(f)—Adding an additional revision to those proposed to update gravitational constant after consideration of comments received on the proposal.
• Appendix III to part 1037—Updating the definition of the emission control identifier “DWSW” to clarify
EPA proposed several updates to the onboard diagnostic (OBD) provisions of 40 CFR part 86, subpart A, related to onboard diagnostic requirements for heavy-duty engines and requested comment on general improvements and efforts to harmonize EPA and CARB OBD requirements (see 85 FR 28152). This section presents the changes we are adopting to OBD requirements after consideration of comments received. Additional details on these and other OBD amendments or clarifications requested by commenters and our responses are available in Chapter 2 of our Response to Comments document.
EPA's OBD regulations for heavy-duty engines are contained in 40 CFR 86.010–18, and were promulgated February 24, 2009 (74 FR 8310). Although these regulations were originally harmonized with CARB's OBD program, CARB has since updated and made changes to their regulations which EPA has not adopted. Most recently, in October 2019, CARB approved revisions to the onboard diagnostics requirements that include implementation of real emissions assessment logging (REAL) for heavy-duty engines and other vehicles.
The proposed rule requested comment on differences between existing EPA and CARB OBD regulations and included specific proposed revisions intended to reduce these differences. EPA proposed six specific revisions to update existing OBD regulations and harmonize with CARB requirements. We received comments supportive of these proposals, as well as comments indicating that EPA should reconsider certain proposals to ensure the regulations are clear and have the desired effect. After further evaluation and consideration of comments, EPA is finalizing four of these six proposed revisions:
(1) Adopting as proposed the CARB 5% threshold for misfire in § 86.010–18(g)(2). This would allow manufacturers to not detect misfires under certain conditions, such as during aftertreatment regeneration and some low temperature operation.
(2) Adopting as proposed CARB's misfire flexibilities in 1971.1(e)(2.3.3) which include identifying when it is reasonable for a manufacturer to seek approval for systems that cannot detect all misfire under all required speed and load conditions and where they seek approval to disable misfire detections.
(3) Adopting with a clarification the proposed revision to our in-use compliance standards in § 86.010–18(p) to reflect the CARB approach for minimum ratios for representative samples where a system would be considered noncompliant if the representative test sample (or performance group) indicates that the in-use ratio is below 0.088. A clarification was added to specify that the in-use ratio is based on the “average” value for the test sample group.
(4) Adopting as proposed the allowance to use CARB OBD reporting templates for EPA OBD requirements.
EPA received comments on the 5% threshold for misfire indicating concern that the provision as proposed does not reflect CARB's most recent requirements. EPA's proposal in § 86.010–18(g)(2)(iii)(C) was to require misfire detection on those engines equipped with sensors that can detect misfire occurrences. Existing CARB requirements state that all diesel engines are required to continuously monitor for misfire, not just those engines equipped to detect for misfire. EPA is finalizing the misfire provision as proposed but may further review this provision and may consider harmonizing with existing CARB requirements that require misfire detection for all diesel engines as a part of a future rulemaking. For example, the Cleaner Trucks Initiative (“CTI”) rulemaking intends to consider updating existing EPA OBD regulations and harmonizing further with CARB OBD requirements as noted in the advance notice of proposed rulemaking (ANPR) (85 FR 3306, January 21, 2020). EPA received comment on the proposal to revise our in-use compliance standards that recommended adding a clarification to the proposed language to indicate that the in-use ratio is based on the average in-use ratio of the engines in the test sample group. The comment pointed out that the regulations as proposed were not clear as to how the in-use ratio would be determined. Existing EPA regulations in § 86.010–18(j)(3)(i) and (ii) specify that manufacturers must collect and report in-use monitoring performance data representative of production vehicles, separate production vehicles into monitoring performance groups and submit data that represents each of these groups. The purpose of this requirement is to analyze in-use data from more than one vehicle to ensure that the OBD system is functioning properly. The frequency that some OBD monitors run can vary depending on the duty cycle of a particular vehicle, therefore, using the average in-use ratio from to evaluate performance is most appropriate. Adding this clarification also increases the alignment of EPA and CARB OBD requirements. After consideration of these factors we have added the word “average” to § 86.010–18(p)(4)(ii) to provide this clarity. Comments were also received on the in-use requirements stating that an additional provision should be included to § 86.010–18(p)(4)(ii) to ensure that compliance with the in-use ratio requirement is not influenced by engines with very high ratios which could lower the average value. We are not finalizing this change at this time but intend to review whether or not revisions to this provision should be considered as a part of the CTI rulemaking effort. EPA received no adverse comments on the proposal to allow the use of CARB's OBD reporting template. Using the CARB template will help streamline certification processes and reduce the time manufacturers may spend entering duplicative information on different forms. EPA is finalizing this provision as proposed to help harmonize requirements and streamline the certification process.
EPA is not taking final action at this time on two proposed revisions: (1) To allow CARB certified configurations to not count as separate engines families for the purposes of determining OEM test requirements, and (2) to allow a simplified carryover OBD certification path intended for special engine families. We received comments indicating concern that these proposals were not clear. For example, CARB noted that the proposed regulatory requirements for both carryover certification and for determining required OBD demonstration testing requirements relied on the term “special engine family” which is not defined in EPA regulations. EPA intends to review these two issues and other comments received on existing OBD requirements as part of a more comprehensive effort to consider updating our existing OBD regulations in the intended CTI rulemaking.
EPA adopted exhaust and evaporative emission standards for gasoline-fueled nonroad engines, vehicles, and equipment before there was a Federal gasoline test fuel with 10 percent
California ARB adopted its own specification for an E10 test fuel for testing motor vehicles, referred to as “LEV III E10.” California ARB revised its nonroad emission control programs to require manufacturers to start using LEV III E10 test fuel for certification starting in model year 2020, without allowing for carryover of previous data from testing with neat gasoline. California ARB's move to require use of LEV III E10 test fuel for certification has led manufacturers to express a concern about the test burden associated with separate testing to demonstrate compliance with EPA and California ARB emission standards.
The concern for aligning test requirements related to test fuel applies for marine spark-ignition engines (40 CFR part 1045), nonroad spark-ignition engines above 19 kW (40 CFR part 1048), and recreational vehicles (40 CFR part 1051).
We have issued guidance for marine spark-ignition engines (40 CFR part 1045)
We are also allowing the same approach for certification based on emission measurements with EPA's E10 test fuel for highway motorcycles (including EPA confirmatory testing with either E0 or E10).
We expect this approach of allowing E10 as an alternative test fuel to adequately address concerns for the identified sectors. Many of these engines have closed-loop fuel controls that reduce the effect of fuel variables on exhaust emissions. Many also have relatively large compliance margins relative to the standards that apply. These factors help manufacturers confidently test with E10 as an alternative fuel, knowing that they continue to be liable for meeting emission standards on the specified E0 test fuel.
In the proposed rule we described a process for approving the use of California ARB's LEV III E10 test fuel instead of EPA's E10 test fuel as the alternative test fuel. That process is detailed in the existing regulations at 40 CFR 1065.701(b). The National Marine Manufacturers Association, the Motorcycle Industry Council, and Polaris requested that we revise the regulation to include California ARB's LEV III E10 as an alternative test fuel. The two sets of fuel specifications are nearly identical, with the notable difference being that California ARB's LEV III E10 test fuel has a lower volatility, which corresponds to the fuel regulations that apply in California. For testing hot-stabilized engines, volatility has a very small effect on exhaust emissions.
We are not revising the regulation to specify California ARB's LEV III E10 test fuel as an alternative test fuel. We expect the approval process described in 40 CFR 1065.701(b) to allow for review that will typically result in approval to use the California test fuel. However, we remain concerned that there may be some limited circumstances in which testing with the California fuel may not be appropriate for EPA certification. For example, engine manufacturers might name a Family Emission Limit to earn emission credits with a very narrow compliance margin. In that case, we would want to be able to explore with the manufacturer whether its testing adequately supports the proposed application for certification. As another example, some nonroad sectors include standards and testing requirements for controlling off-cycle emissions. It may be appropriate for the manufacturer to perform some of this off-cycle testing for certification using EPA's E0 or E10 test fuel in addition to testing over specified duty cycles with California ARB's LEV III E10 test fuel. To illustrate this point, we observed from a recent experience exploring potential noncompliance that an engine that has electronic feedback control can have a sensitivity to fuel parameters that is much greater than we would expect based on a simple assessment of combustion chemistry. We also note that the experience of implementing these changes in test fuel requirements will inform our ongoing approach for approving requests. Data supporting the equivalence of EPA and California test fuels would lead us to reduce our concerns for approving requests. In contrast, if we learn that fuel effects are greater than expected, we would review requests more carefully. This more careful review could be limited to a single manufacturer or a single type of engine (or engine technology), or it may apply more broadly.
We specify evaporative emission standards and test procedures for portable fuel containers and nonroad spark-ignition equipment in 40 CFR part 59, subpart F, and 40 CFR part 1060, respectively. The gasoline test fuel is splash-blended E10. California ARB specifies their LEV III gasoline test fuel for the analogous procedures in California, but they allow manufacturers to submit data instead using EPA's specified test fuel. Accordingly, we believe manufacturers do not face the same burden of needing to perform duplicate measurements for the two agencies. We are therefore not changing the EPA test fuel for portable fuel containers.
Commenters largely affirmed the proposed approach for increased flexibility for using E10 test fuels.
EPA first adopted emission standards for light-duty motor vehicles and heavy-duty highway engines in the 1970s. Emission standards for the first categories of nonroad engines started to apply in the 1990s. Each of these programs include emission standards that apply by model year. For most of these programs over time, engines and vehicles were subject to increasingly stringent standards and improved certification and testing requirements. All these standards and regulatory provisions are codified in the Code of Federal Regulations. As time passes, the regulations for past model years become obsolete, but it remains in print until there is a rulemaking change to remove it from print. We are removing large portions of this regulatory content that no longer applies. The following sections describe these changes for different sectors.
Note that Section III.D describes several amendments to emission control programs for motor vehicles in 40 CFR parts 85 and 86. These amendments include several provisions that also remove obsolete regulatory content.
The Clean Air Act Amendments of 1990 included numerical standards for the Clean Fuel Fleet program that were intended to encourage innovation and reduce emissions for fleets of motor vehicles in certain nonattainment areas as compared to conventionally fueled vehicles available at the time. As originally adopted, those Clean Fuel Fleet standards were substantially more stringent than the standards that applied to vehicles and engines generally.
Now that we have begun implementing Tier 3 standards in 40 CFR part 86, subpart S, the Clean Fuel Fleet standards are either less stringent than or equivalent to the standards that apply to vehicles and engines generally. Because the statute continues to require Clean Fuel Fleet standards for state clean-fuel vehicle programs, we cannot simply remove the Clean Fuel Fleet program from the regulations. Rather, we are implementing the Clean Fuel Fleet standards in 40 CFR part 88 with a compliance option where vehicles and engines certified to current standards under 40 CFR parts 86 and 1036 would be deemed to comply with the Clean Fuel Fleet standards as Ultra Low-Emission Vehicles. Further, the Clean Fuel Fleet program as adopted included labeling requirements for engine and vehicle manufacturers to identify compliant engines and vehicles, and a restriction against including such engines or vehicles when calculating emission credits. Both provisions would also no longer be applicable because of the earlier mentioned increased stringency of standards for engines and vehicles, and under the compliance option we are establishing. Therefore, we are also removing these regulations. This will give clear instructions to vehicle and engine manufacturers as well as states that continue to have Clean Fuel Fleet provisions in their State Implementation Plans or become subject to these requirements in the future under the Clean Air Act (CAA) sections 182(c)(4)(A) and 246(a).
For states with areas that become subject to the clean-fuel vehicle program requirements in the future based on a new designation as an ozone nonattainment area, the required state implementation plan submission for the program or for a substitute measure is due within 42 months after the effective date of an area's nonattainment designation. The clean-fuel vehicle program requirements apply for ozone nonattainment areas with an initial designation as Serious, Severe, or Extreme. For marginal and moderate ozone nonattainment areas that are reclassified as Serious, Severe, or Extreme, the required state implementation plan submission for the program or for a substitute measure is due on the date specified in the EPA rulemaking finalizing the area's reclassification.
The Clean Fuel Fleet program also depends on vehicle classifications that include Zero Emission Vehicles and Inherently Low-Emission Vehicles. We are therefore preserving these defined terms in 40 CFR part 88. Under the new provisions, we will consider as Zero Emission Vehicles all electric vehicles and any vehicle that does not emit NO
The 1990 amendments to the Clean Air Act authorized EPA to set emission standards for nonroad engines. This led to a series of rulemakings to adopt emission control programs for different nonroad sectors. From 1994 through 1999, EPA adopted these emission control programs in 40 CFR parts 89, 90, 91, 92, and 94 (all part of subchapter C).
Starting in 2002, EPA adopted emission standards for additional nonroad emission control programs in a new subchapter, which allowed for improved organization and harmonization across sectors. We codified these new standards and related provisions in 40 CFR parts 1048, 1051, 1065, and 1068 (all part of subchapter U). Since then, we have migrated the “legacy” emission control programs from subchapter C to subchapter U. In each case, the migration corresponded to new emission standards and substantially updated compliance and testing provisions. This applies for the following sectors:
As a result of this migration, engine manufacturers have not certified engines under the legacy parts for the last 5–10 years. Removing these legacy parts reduces the cost to the Agency and prevents confusion for readers who think that the old provisions still apply.
While EPA's engine certification programs don't rely on these obsolete provisions, the new programs refer to the legacy parts for some specific provisions. For example, the new standard-setting part for each type of engine/equipment allows manufacturers to continue to certify carryover engine families based on test data from procedures specified in the legacy parts.
Another example of relying on the legacy parts in the new regulations is emission credits generated under the legacy parts. In most cases, current programs either disallow using those credits for certification, or they allow it without keeping separate accounts for credits generated under the legacy parts. We are making no changes where credits from legacy parts are either unavailable or indistinguishable from currently generated credits. One exception is for land-based nonroad diesel engines certified under 40 CFR parts 89 and 1039. Current provisions in § 1039.740 allow for limited use of Tier 2 and Tier 3 credits from part 89 for certifying Tier 4 engines. We are revising § 1039.740, as proposed, to continue to allow manufacturers to use credits generated from Tier 2 and Tier 3 engines by simply changing the relevant references 40 CFR part 89 to 40 CFR part 1039, appendix I.
We are also aware that other Federal and state regulations and compliance programs include numerous references to 40 CFR parts 89 through 94. To address this, we are replacing the full text of regulations in the legacy parts with a paragraph describing the historical scope and purpose for each part. The remaining paragraph also directs readers to the new regulations that apply in subchapter U and clarifies how the regulatory requirements transition to the new content. As an example, the statute and regulations prohibit tampering with certified engines throughout an engine's lifetime, even if the original text describing that prohibition no longer resides in its original location in the Code of Federal Regulations.
We are also including the emission standards from the legacy parts as reference material in an appendix in the appropriate CFR parts. This allows for readily citing the historical standards in our own emission control programs, and in any other Federal or state regulations or compliance materials that depend on citing emission standards that are no longer current for purposes of gaining EPA certification as part of our nonroad emission control program.
In addition to removing references to the legacy parts, we are taking the opportunity to remove additional obsolete content from the newer regulations. Most of these changes were adopted to address temporary concerns as part of transitioning to new standards or other new requirements. We adopted these changes in isolated regulatory sections as “interim provisions.” Most of these interim provisions have been obsolete for several years.
References to the legacy parts are especially common for stationary engines EPA regulates under 40 CFR part 60, subparts IIII and JJJJ. The emission standards for stationary engines in many cases rely on current or past nonroad emission standards in 40 CFR parts 89, 90, and 94. Including all the iterations of these emission standards as reference material allows us to preserve the existing set of standards and requirements for stationary engines. This rule includes numerous amendments to 40 CFR part 60 to change regulatory cites from the legacy parts to the new regulatory parts in subchapter U, or to copy referenced text directly into 40 CFR part 60.
Most of the changes for stationary engines in 40 CFR part 60 are intended to update references without changing standards or other provisions. We are making three more substantive changes. First, we are allowing all manufacturers of emergency stationary compression-ignition internal combustion engines and stationary emergency spark-ignition engines to certify using assigned deterioration factors. Since these emergency engines generally serve in standby status in anticipation of emergency situations, they often have lifetime operation that is much less extensive than non-emergency engines. Assigned deterioration factors would allow manufacturers to demonstrate the durability of emission controls without performing testing that might otherwise exceed the operating life of the engines being certified. We are prepared to publish assigned deterioration factors based on currently available information. We may need to revise those values in the future as additional information becomes available, so we are not including specific values for assigned deterioration factors in this rulemaking. We are adopting these provisions as proposed, except that we are referencing the relevant nonroad regulations that apply and we are clarifying that assigned deterioration factors for stationary engines are not limited to small-volume manufacturers.
Second, stationary spark-ignition engines are currently subject to emission standards and certification procedures adopted under 40 CFR part 90 for Phase 1 engines. Revising the requirements for these engines to instead rely on the certification procedures in 40 CFR part 1054 requires that we identify the Phase 1 standards as not including the following provisions that apply for Phase 3 engines (as noted in the amended regulatory text for appendix I of part 1054):
• The useful life and corresponding deterioration factors.
• Evaporative emission standards.
• Altitude adjustments.
• Warranty assurance provisions in § 1054.120(f).
• Emission-related installation instructions.
• Bonding.
Third, in response to a comment from the EMA, we are revising the instruction regarding VOC measurement methods to allow manufacturers to use any method that is specified for highway or nonroad engines in 40 CFR part 1065, subpart C. The current regulation at 40 CFR 60.4241(i) identifies specific measurement procedures. When we revised 40 CFR part 1065 to include fourier transform infrared analyzers as an additional measurement method, it would have been appropriate to modify 40 CFR 60.4241(i) to identify this additional measurement method. We are addressing that in this rule by broadly referencing test methods in 40 CFR part 1065, subpart C, which includes fourier transform infrared analyzers.
In addition, following the proposed rule, we realized that 40 CFR part 89 includes content that is, in fact, not obsolete. Specifically, there is an interpretation of the Clean Air Act regarding the preemption of state regulations related to nonroad engines in 40 CFR part 89, subpart A, appendix A (62 FR 67736, December 30, 1997). This interpretation describes EPA's belief that states may regulate the use and operation of nonroad engines within certain parameters. This final rule preserves appendix A by copying it into 40 CFR part 1074, where we more broadly describe a range of issues related to preemption of state regulation of nonroad engines.
EPA is making several minor changes in 40 CFR part 1027 to update the procedures and align the instructions with current practices. None of these changes involve change or reconsideration of fee policies. We are finalizing the following changes:
• Correcting the name of the compliance program.
• Replacing the schedule of fees from 2005 with the fees that apply for applications submitted in 2020.
• Revising the timeline for announcing adjusted fees for the upcoming year from a January 31
• Correcting the equation for non-evaporative certificates to no longer apply the inflation adjustment to operating costs. This corrects a publishing error that mistakenly introduced parentheses in the equation.
• Correcting the internet address for the consumer price index used for inflation adjustments.
• Removing the sample calculation for determining fees for 2006.
• Revising submission and payment instructions to refer only to electronic forms and transactions through
• Clarifying that deficient filings must be resolved before the end of the model year, and that the time limit for requesting refunds applies equally to deficient filings.
We received no comments on the proposed amendments to 40 CFR part 1027 and are adopting these amendments without modification.
Motor vehicles and motor vehicle engines are subject to emission standards and certification requirements under 40 CFR part 86. This applies for light-duty vehicles, light-duty trucks, heavy-duty vehicles and engines, and highway motorcycles. There are additional compliance provisions in 40 CFR part 85. We are adopting the following amendments to these provisions:
EPA is updating 40 CFR part 1033 to remove references to specific content in 40 CFR part 92, as described in Section III.B.2. In addition, we are adopting the following minor corrections and changes:
EPA's emission standards and certification requirements for land-based nonroad compression-ignition (CI) engines are identified in 40 CFR part 1039. We refer to these as Nonroad CI engines. Several changes to 40 CFR part 1039 that apply broadly are described above. Specifically, Section III.B.2 describes how we are removing regulatory content related to the Tier 1, Tier 2, and Tier 3 standards originally adopted in 40 CFR part 89. We are accordingly amending 40 CFR part 1039 to remove references to 40 CFR part 89 that no longer apply.
This section describes additional amendments for EPA's Nonroad CI program:
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EPA's emission standards and certification requirements for marine diesel engines under the Clean Air Act are set out in 40 CFR part 1042. Emission standards and related fuel requirements that apply internationally are set out in 40 CFR part 1043.
Several changes to 40 CFR part 1042 that apply more broadly are described above. Specifically, Section III.B.2 describes how we are removing regulatory content related to the Tier 1 and Tier 2 standards originally adopted in 40 CFR part 94. We are accordingly amending 40 CFR part 1042 to remove references to 40 CFR part 94 that no longer apply.
This section describes additional amendments for our marine diesel engine program.
We are adopting several adjustments to the replacement engine exemption in § 1042.615.
The proposed rule described that we were intending to clarify the regulatory determination that applies for cases involving new replacement engines that are normally subject to Tier 4 standards (see § 1042.615(a)(1)). In the 2008 final rule to adopt the Tier 4 standards, we finalized a determination “that Tier 4 engines equipped with aftertreatment technology to control either NO
EMA and the California Air Resources Board (CARB) both commented on the proposed change to the replacement engine exemption in § 1042.615(a)(1). EMA's comment suggested that we should leave the regulatory text in § 1042.615(a)(1) unchanged from what we adopted in 2008. CARB suggested that we entirely abandon the advance determination that Tier 4 engines are not suitable as replacements for earlier engines, regardless of aftertreatment, which would require a case-by-case engineering analysis in all cases to demonstrate that an exemption is appropriate.
As we explained in the 2008 rulemaking, an engine manufacturer is generally prohibited from selling a marine engine that does not meet the standards that are in effect when that engine is produced. However, we recognized that there may be situations in which a vessel owner may require an engine certified to an earlier tier of standards, including (1) when a vessel has been designed to use a particular engine such that it cannot physically accommodate a different engine due to size or weight constraints (
At that time, we made an advance determination that Tier 4 engines would not be required as replacement engines for previous tier engines. As we explained in Section IV.C.2 of the final rule preamble, we expected that installing such a Tier 4 engine in a vessel that was originally designed and built with a previous tier engine could require extensive vessel modifications (
We were also not intending to prevent states or local entities from including Tier 4 engines in incentive programs that encourage vessel owners to replace existing previous tier engines with new Tier 4 engines or to retrofit control technologies on existing engines, since those incentive programs often are designed to offset some of the costs of installing or using advanced emission control technology solutions. However, on a national basis, we continue to believe our original approach described in the 2008 final rule is appropriate. The characteristics of the national fleet are likely different from the fleet of vessels affected in California; taking away the Tier 4 determination should not be made lightly or without a thorough understanding of the impact on existing boats. It would therefore be appropriate for us to include the advance determination that Tier 4 engines with aftertreatment are not suitable as replacement for earlier engines. In particular, we stand by our 2008 assessment that it is appropriate to automatically consider SCR-equipped engines to not have “the appropriate physical or performance characteristics to repower” pre-Tier 4 vessels, which in turn qualifies the repower for an exempt replacement engine.
EMA objected to the proposed clarification to apply the advance determination only for engines that meet Tier 4 standards with aftertreatment. The EMA comment suggests that the same presumption and regulatory burden should apply for EGR-equipped engines because compliant engines with EGR instead of aftertreatment also necessarily involve significant costs and vessel redesigns. EGR-equipped engines use exhaust gas recirculation (EGR) instead of SCR to control NO
Revising the regulation to make clear that the advance determination was not intended to include EGR-equipped engines from the advance determination is in fact a very minor change in policy. Engine manufacturers may still qualify for the replacement engine exemption based on a showing that an EGR-equipped engine does not have “the appropriate physical or performance characteristics to repower the vessel.” However, there are two reasons to believe that EGR-equipped engines may be suitable for repower. First, all EGR-equipped Tier 4 engines are locomotive-sized Category 2 engines. Vessels with Category 2 engines generally have engine compartments that have room for additional hardware and other componentry. Second, the additional hardware for EGR-equipped engines would generally involve a greater design effort than upgrading to a Tier 3 engine, but this kind of change would often fit within the scope of vessel repower projects. Vessel owners would also need to follow new protocols for maintaining the engines and dealing with wastewater and other technical issues. None of these challenges create any inherent conflict with installing the Tier 4 engines to replace earlier engines.
These factors together support a policy in which an EGR-equipped engine can be considered unsuitable for repower based on its physical or performance characteristics, but this conclusion should not be presumed. We would accomplish that policy objective by revising § 1042.615(a)(1) as proposed.
We are modifying the requirement that engine manufacturers notify EPA after shipping exempt replacement engines. As originally adopted, § 1042.615(a) requires an engine manufacturer to send EPA notification 30 days after shipping an exempt engine to demonstrate that the selected engine was the cleanest available for the given installation. We indicated that “[t]hese records will be used by EPA to evaluate whether engine manufacturers are properly making the feasibility determination and applying the replacement engine provisions.” We also indicated that we expected engine manufacturers to examine “not just engine dimensions and weight but other pertinent vessel characteristics such as drive shafts, reduction gears, cooling systems, exhaust and ventilation systems, and propeller shafts; electrical systems; . . . and such other ancillary systems and vessel equipment that would affect the choice of an engine.” While engine manufacturers have submitted these reports, the information provided has not supported our original objective. Specifically, the reports vary widely in information provided but in many instances are too case-specific. Therefore, we are requiring manufacturers to submit a single annual report that is due at the same time as the general requirement for reporting on replacement engines under 40 CFR 1068.240. The annual report would include the information described in our 2008 rule for all the affected engines and vessels. This change would provide a predictable schedule for EPA to review the submitted information. This would also allow EPA to standardize the format and substance of the reported information. Manufacturers would benefit from submitting a consistent set of information in an annual submission for all their replacement engine information.
We are revising the regulatory instructions for submitting replacement engine reports under § 1042.615. The replacement engine exemption applies only for engines that are shipped to boat owners or are otherwise designated for a specific vessel. Engine manufacturers may produce and ship exempt replacement engines (with per-cylinder displacement up to 7 liters) without making the specified demonstrations, as allowed under 40 CFR 1068.240(c), but manufacturers may produce only a limited number of those “untracked” engines in a given year. Those untracked replacement engines are covered by the reporting requirements that apply under § 1068.240 since the tracked exemption under §§ 1042.615 and 1068.240(b) does not allow for shipping engines to distributors without identifying a specific installation and making the necessary demonstrations for that installation. We are taking a streamlined approach for reporting related to Tier 3 engines since the demonstration for those engines consists of affirming EPA's regulatory determination that no suitable Tier 4 engines (without aftertreatment) are available for replacement. We do not expect engines with per-cylinder engine displacement below 7 liters to be able to meet Tier 4 standards without aftertreatment devices. As a result, Tier 3 replacement engines are limited only in that they may not be used to replace engines that were certified to Tier 4 standards.
Finally, we are clarifying that the determination related to Tier 4 replacement engines applies differently for engines that become new based on vessel modifications. Under the
EPA adopted the current set of emissions standards for Category 3 marine diesel engines in 2010 (75 FR 22932; April 30, 2010). The Tier 3 standards include provisions allowing engine manufacturers to design their engines with control systems that allow an engine to meet the Tier 3 standards while operating in U.S. waters, including the North American Emission Control Area and the U.S. Caribbean Sea Emission Control Area (ECAs), and the less stringent Tier 2 standards while operating outside of U.S. waters. We refer to this design strategy as “on-off control.” These provisions reflect the geographic nature of the NO
Engine manufacturers have raised questions about the meaning of the regulatory provision at § 1042.101 that requires Category 3 engines to “comply fully with the Tier 2 standards when the Tier 3 emission controls are disabled.” This was intended to incorporate the “on-off controls” allowed under MARPOL Annex VI for the IMO Tier III NO
The regulation also allows for on-off controls for NO
EPA is making several additional changes across 40 CFR part 1042 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. Specifically, the final rule includes the following amendments:
EPA's emission standards and certification requirements for portable fuel containers are described in 40 CFR part 59. Section III.A describes an amendment related to test fuel specifications. In addition, we are adopting the following amendments:
We received no adverse comments on the proposed amendments to 40 CFR part 59 and are adopting these amendments without modification.
EPA adopted evaporative emission standards and test procedures in 40 CFR part 1060. Section III.A describes amendments related to test fuel specifications. EPA is also adopting numerous changes across 40 CFR part 1060 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes:
EPA's emission standards and certification requirements for nonroad spark-ignition engines at or below 19 kW are described in 40 CFR part 1054. EPA is adopting numerous changes across 40 CFR part 1054 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes:
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We are amending the replacement engine exemption in § 1068.240 to adjust the criteria by which manufacturers qualify exempted engines under the tracked option in § 1068.240(b). Engine manufacturers may produce any number of exempt replacement engines if they meet all the specified requirements and conditions. To account for the timing of making the necessary demonstrations, the regulation specifies that engines must be designated as either tracked or untracked by September 30 following each production year, which coincides with the reporting requirement to document the number of exempt replacement engines each manufacturer produces. The regulation as adopted specifies that manufacturers must meet “all the requirements and conditions that apply under paragraph (b). . . .”
We proposed to amend the regulation to clarify that the requirement for the engine manufacturer to retrieve the replaced engine (or confirm that it had been destroyed) was not subject to the reporting deadline of September 30 following the production year. The Truck and EMA commented to suggest that it would be better to apply a later deadline rather than removing the deadline entirely. The specific suggestion was to require converting a replacement engine from tracked to untracked if the replaced engine was not recovered within five years. We agree that the suggested approach would be beneficial for ensuring that replaced engines are accounted for and believe that the reported information would fit within the scope of current compliance responsibilities for both manufacturers and EPA. We are therefore including this adjustment in the final rule.
We also requested comment on several possible adjustments to the replacement engine exemption to
EMA commented with a suggestion that the manufacturers should be allowed to produce up to five exempt replacement engines under the untracked option, in addition to the 0.5 percent. This was intended to account for the fact that 0.5 percent of a couple hundred engines does not allow for any substantial flexibility to supply distributors with these exempt replacement engines. We recognize the limit of the percentage-based approach and agree that allowing five engines per year to meet demand for these engines is appropriate. We are leaving the 0.5 percent limit in place in this rulemaking, but we are including an adjustment to address the engine manufacturers' concerns about low-volume production. Rather than adding an allowance for these five engines for all companies and all sectors/categories, we are amending the regulation to allow for the greater of five engines or 0.5 percent of production. This focuses the amendment on the companies and product line where the percentage-based approach provides no substantial ability to participate in the untracked option for replacement engines. Allowing five engines makes a difference for engine models with annual production volumes below 900 for a given type and displacement category.
EMA had additional comments related to the limits and oversight provisions for the untracked option of the replacement engine exemption. As noted in the Response to Comments, we are deferring action on those broader comments until a future rulemaking.
The proposed rule described several areas where we were interested in comments to gather information, perspectives, and feedback on possible future rulemaking amendments. These comments are included in Chapter 4 of the Response to Comments. The other chapters of the Response to Comments also include several issues with similar input regarding potential future rulemaking amendments.
Additional information about these statutes and Executive orders can be found at
This action is not a significant regulatory action and was therefore not submitted to the Office of Management and Budget (OMB) for review.
This action does not impose any new information collection burden under the PRA. OMB has previously approved the information collection activities contained in the existing regulations and has assigned OMB control numbers 2060–0104, 2060–0287, 2060–0338, 2060–0545, 2060–0641. This rule clarifies and simplifies procedures without affecting information collection requirements.
I certify that this action will not have a significant economic impact on a substantial number of small entities under the RFA. In making this determination, the impact of concern is any significant adverse economic impact on small entities. An agency may certify that a rule will not have a significant economic impact on a substantial number of small entities if the rule relieves regulatory burden, has no net burden or otherwise has a positive economic effect on the small entities subject to the rule. This action is designed to reduce testing burdens, increase compliance flexibility, and make various corrections and adjustments to compliance provisions; as a result, we anticipate no costs associated with this rule. We have therefore concluded that this action will have no net regulatory burden for directly regulated small entities.
This action does not contain any unfunded mandate as described in UMRA, 2 U.S.C. 1531–1538, and does not significantly or uniquely affect small governments. This action imposes no enforceable duty on any state, local or tribal governments. Requirements for the private sector do not exceed $100 million in any one year.
This action does not have federalism implications. It will not have substantial direct effects on the states, on the relationship between the National Government and the states, or on the distribution of power and responsibilities among the various levels of government.
This action does not have tribal implications as specified in Executive Order 13175. This rule will be implemented at the Federal level and affects engine and vehicle manufacturers. Thus, Executive Order 13175 does not apply to this action.
This action is not subject to Executive Order 13045 because it is not economically significant as defined in Executive Order 12866, and because the EPA does not believe the environmental health or safety risks addressed by this action present a disproportionate risk to children.
This action is not subject to Executive Order 13211, because it is not a significant regulatory action under Executive Order 12866.
Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (“NTTAA”), Public Law 104–113, 12(d) (15 U.S.C. 272 note) directs EPA to use voluntary consensus standards in its regulatory activities unless to do so would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (
Except for the standards discussed below, the standards included in the regulatory text as incorporated by reference (in parts 60, 86, 1036, 1037, 1060, and 1065) were all previously approved for IBR and no change is included in this action.
In accordance with the requirements of 1 CFR 51.5, we are incorporating by reference the use of test methods and standards from ASTM International. This includes the following standards and test methods:
The referenced standards and test methods may be obtained through the ASTM International website (
As described in Section II.A.5, EPA is publishing a new version of the Greenhouse Gas emissions Model (GEM), which manufacturers will use for certifying heavy-duty highway vehicles to the Phase 2 GHG emission standards in 40 CFR part 1037. The model calculates GHG emission rates for heavy-duty highway vehicles based on input values defined by the manufacturer. GEM Version 3.5.1 applies for all Phase 2 vehicles. GEM also includes a Hardware-in-Loop submodel to simulate vehicle engines, transmissions, and other powertrain components. These models are referenced in §§ 1037.520, 1037.550, and 1037.801. The models are available as noted in the amended regulations at 40 CFR 1037.810.
We are removing numerous referenced documents as part of the effort to remove obsolete provisions in 40 CFR parts 85 through 94 and elsewhere.
The EPA believes this action does not have disproportionately high and adverse human health or environmental effects on minority populations, low-income populations or indigenous peoples, as specified in Executive Order 12898 (59 FR 7629, February 16, 1994). Due to the small environmental impact, this regulatory action will not have a disproportionate adverse effect on minority populations, low-income populations, or indigenous peoples.
This action is subject to the CRA, and EPA will submit a rule report to each House of the Congress and to the Comptroller General of the United States. This action is not a “major rule” as defined by 5 U.S.C. 804(2).
Under CAA section 307(b)(1), judicial review of this final rule is available only by filing a petition for review in the U.S. Court of Appeals for the District of Columbia Circuit by August 30, 2021. Under CAA section 307(d)(7)(B), only an objection to this final rule that was raised with reasonable specificity during the period for public comment can be raised during judicial review. Section 307(d)(7)(B) of the Clean Air Act also provides a mechanism for EPA to convene a proceeding for reconsideration, “[i]f the person raising an objection can demonstrate to EPA that it was impracticable to raise such objection within [the period for public comment] or if the grounds for such objection arose after the period for public comment (but within the time specified for judicial review) and if such objection is of central relevance to the outcome of the rule.” Any person seeking to make such a demonstration should submit a Petition for Reconsideration to the Office of the Administrator, Environmental Protection Agency, Room 3000, William Jefferson Clinton Building, 1200 Pennsylvania Ave. NW, Washington, DC 20460, with an electronic copy to the person listed in
Reporting and recordkeeping requirements.
Air pollution control, Confidential business information, Labeling, Ozone, Reporting and recordkeeping requirements, Volatile organic compounds.
Administrative practice and procedure, Air pollution control, Aluminum, Beverages, Carbon monoxide, Chemicals, Coal, Electric power plants, Fluoride, Gasoline, Glass and glass products, Grains, Greenhouse gases, Household appliances, Incorporation by reference, Industrial facilities, Insulation, Intergovernmental relations, Iron, Labeling, Lead, Lime, Metals, Motor vehicles, Natural gas, Nitrogen dioxide, Petroleum, Phosphate, Plastics materials and synthetics, Polymers, Reporting and recordkeeping requirements, Rubber and rubber products, Sewage disposal, Steel, Sulfur oxides, Vinyl, Volatile organic compounds, Waste treatment and disposal, Zinc.
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Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements.
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Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Penalties, Reporting and recordkeeping requirements, Vessels, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Reporting and recordkeeping requirements.
Administrative practice and procedure, Confidential business information, Environmental protection, Labeling, Penalties, Railroads, Reporting and recordkeeping requirements.
Administrative practice and procedure, Air pollution control, Confidential business information, Environmental protection, Greenhouse gases, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Environmental protection, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Environmental protection, Imports, Incorporation by reference, Labeling, Penalties, Reporting and recordkeeping requirements, Vessels, Warranties.
Administrative practice and procedure, Air pollution control, Imports, Incorporation by reference, Reporting and recordkeeping requirements, Vessels.
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Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Research, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Incorporation by reference, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control, Incorporation by reference, Reporting and recordkeeping requirements, Research.
Air pollution control, Incorporation by reference, Reporting and recordkeeping requirements.
Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Motor vehicle pollution, Penalties, Reporting and recordkeeping requirements, Warranties.
Administrative practice and procedure, Air pollution control.
For the reasons set out in the preamble, we are amending title 40, chapter I of the Code of Federal Regulations as set forth below.
7 U.S.C. 135
The revisions and additions read as follows:
42 U.S.C. 7414 and 7511b(e).
(e) We may require you to test units of the same or different configuration in addition to the units tested under paragraph (b) of this section.
(b) Keep required data from emission tests and all other information specified in this subpart for five years after we issue the associated certificate of conformity. If you use the same emission data or other information for a later production period, the five-year period restarts with each new production period if you continue to rely on the information.
(c) The specification for gasoline to be used for testing is given in 40 CFR 1065.710(c). Use the grade of gasoline specified for general testing. Blend this grade of gasoline with reagent grade ethanol in a volumetric ratio of 90.0 percent gasoline to 10.0 percent ethanol to achieve a blended fuel that has 10.0 ±1.0 percent ethanol by volume. You may use ethanol that is less pure if you can demonstrate that it will not affect your ability to demonstrate compliance with the applicable emission standards.
(a) * * *
(1)
(3)
(4) * * *
(ii) * * *
(C) Actuate the spout by fully opening and closing without dispensing fuel. The spout must return to the closed position without the aid of the operator (
(b) Manufacturers and other persons subject to the prohibitions in § 59.602 may ask us to exempt portable fuel containers to purchase, sell, or distribute them for the sole purpose of testing them.
(c) You may meet the bond requirements of this section by obtaining a bond from a third-party surety that is cited in the U.S. Department of Treasury Circular 570, “Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies” (
42 U.S.C. 7401
(d) Stationary CI ICE may be eligible for exemption from the requirements of this subpart as described in 40 CFR part 1068, subpart C, except that owners and operators, as well as manufacturers, may be eligible to request an exemption for national security.
(a) Stationary CI internal combustion engine manufacturers must certify their 2007 model year and later non-emergency stationary CI ICE with a maximum engine power less than or equal to 2,237 kilowatt (KW) (3,000 horsepower (HP)) and a displacement of less than 10 liters per cylinder to the certification emission standards for new nonroad CI engines in 40 CFR 1039.101, 1039.102, 1039.104, 1039.105, 1039.107, and 1039.115 and 40 CFR part 1039, appendix I, as applicable, for all pollutants, for the same model year and maximum engine power.
(d) Stationary CI internal combustion engine manufacturers must certify the following non-emergency stationary CI ICE to the appropriate Tier 2 emission standards for new marine CI engines as described in 40 CFR part 1042, appendix I, for all pollutants, for the same displacement and rated power:
(f) Notwithstanding the requirements in paragraphs (a) through (c) of this section, stationary non-emergency CI ICE identified in paragraphs (a) and (c) of this section may be certified to the provisions of 40 CFR part 1042 for commercial engines that are applicable for the engine's model year, displacement, power density, and maximum engine power if the engines will be used solely in either or both of the following locations:
(h) Stationary CI ICE certified to the standards in 40 CFR part 1039 and equipped with auxiliary emission control devices (AECDs) as specified in 40 CFR 1039.665 must meet the Tier 1 certification emission standards for new nonroad CI engines in 40 CFR part 1039, appendix I, while the AECD is activated during a qualified emergency situation. A qualified emergency situation is defined in 40 CFR 1039.665. When the qualified emergency situation has ended and the AECD is deactivated, the engine must resume meeting the otherwise applicable emission standard specified in this section.
(a) * * *
(1) * * *
(i) The Tier 2 emission standards for new nonroad CI engines for the appropriate rated power as described in 40 CFR part 1039, appendix I, for all pollutants and the smoke standards as specified in 40 CFR 1039.105 for model year 2007 engines; and
(2) For engines with a rated power greater than or equal to 37 KW (50 HP), the Tier 2 or Tier 3 emission standards for new nonroad CI engines for the same rated power as described in 40 CFR part 1039, appendix I, for all pollutants and the smoke standards as specified in 40 CFR 1039.105 beginning in model year 2007.
(b) * * *
(2) For 2011 model year and later, the Tier 2 emission standards as described in 40 CFR part 1039, appendix I, for all pollutants and the smoke standards as specified in 40 CFR 1039.105.
(e) Stationary CI internal combustion engine manufacturers must certify the following emergency stationary CI ICE that are not fire pump engines to the appropriate Tier 2 emission standards for new marine CI engines as described in 40 CFR part 1042, appendix I, for all pollutants, for the same displacement and rated power:
(g) Notwithstanding the requirements in paragraphs (a) through (d) of this section, stationary emergency CI ICE identified in paragraphs (a) and (c) of this section may be certified to the provisions of 40 CFR part 1042 for commercial engines that are applicable for the engine's model year, displacement, power density, and maximum engine power if the engines will be used solely in either or both of the locations identified in paragraphs (g)(1) and (2) of this section. Engines that would be subject to the Tier 4 standards in 40 CFR part 1042 that are used solely in either or both of the locations identified in paragraphs (g)(1) and (2) of this section may instead continue to be certified to the appropriate Tier 3 standards in 40 CFR part 1042.
(a) Owners and operators of pre-2007 model year non-emergency stationary CI ICE with a displacement of less than 10 liters per cylinder must comply with the emission standards in table 1 to this subpart. Owners and operators of pre-2007 model year non-emergency stationary CI ICE with a displacement of greater than or equal to 10 liters per cylinder and less than 30 liters per cylinder must comply with the Tier 1 emission standards in 40 CFR part 1042, appendix I.
(f) Owners and operators of stationary CI ICE certified to the standards in 40 CFR part 1039 and equipped with AECDs as specified in 40 CFR 1039.665 must meet the Tier 1 certification emission standards for new nonroad CI engines in 40 CFR part 1039, appendix I, while the AECD is activated during a qualified emergency situation. A qualified emergency situation is defined in 40 CFR 1039.665. When the qualified emergency situation has ended and the AECD is deactivated, the engine must resume meeting the otherwise applicable emission standard specified in this section.
(a) Owners and operators of pre-2007 model year emergency stationary CI ICE with a displacement of less than 10 liters per cylinder that are not fire pump engines must comply with the emission standards in Table 1 to this subpart. Owners and operators of pre-2007 model year emergency stationary CI ICE with a displacement of greater than or equal to 10 liters per cylinder and less than 30 liters per cylinder that are not fire pump engines must comply with the Tier 1 emission standards in 40 CFR part 1042, appendix I.
(a) Stationary CI internal combustion engine manufacturers must certify their stationary CI ICE with a displacement of less than 10 liters per cylinder to the emission standards specified in §§ 60.4201(a) through (c) and 60.4202(a), (b), and (d) using the certification procedures required in 40 CFR part 1039, subpart C, and must test their engines as specified in 40 CFR part 1039. For the purposes of this subpart, engines certified to the standards in Table 1 to this subpart shall be subject to the same certification procedures required for engines certified to the Tier 1 standards in 40 CFR part 1039, appendix I. For the purposes of this subpart, engines certified to the standards in Table 4 to this subpart shall be subject to the same certification procedures required for engines certified to the Tier 1 standards in 40 CFR part 1039, appendix I, except that engines with NFPA nameplate power of less than 37 KW (50 HP) certified to model year 2011 or later standards shall be subject to the same requirements as engines certified to the standards in 40 CFR part 1039.
(b) Stationary CI internal combustion engine manufacturers must certify their stationary CI ICE with a displacement of greater than or equal to 10 liters per cylinder and less than 30 liters per cylinder to the emission standards specified in §§ 60.4201(d) and (e) and 60.4202(e) and (f) using the certification procedures required in 40 CFR part 1042, subpart C, and must test their engines as specified in 40 CFR part 1042.
(c) Stationary CI internal combustion engine manufacturers must meet the requirements of 40 CFR 1039.120, 1039.125, 1039.130, and 1039.135 and 40 CFR part 1068 for engines that are certified to the emission standards in 40 CFR part 1039. Stationary CI internal combustion engine manufacturers must meet the corresponding provisions of 40 CFR part 1042 for engines that would be covered by that part if they were nonroad (including marine) engines. Labels on such engines must refer to stationary engines, rather than or in addition to nonroad or marine engines, as appropriate. Stationary CI internal combustion engine manufacturers must label their engines according to paragraphs (c)(1) through (3) of this section.
(3) Stationary CI internal combustion engines manufactured after January 1, 2007 (for fire pump engines, after January 1 of the year listed in table 3 to this subpart, as applicable) must be labeled according to paragraphs (c)(3)(i) through (iii) of this section.
(i) Stationary CI internal combustion engines that meet the requirements of this subpart and the corresponding requirements for nonroad (including marine) engines of the same model year and HP must be labeled according to the provisions in 40 CFR part 1039 or 1042, as appropriate.
(ii) Stationary CI internal combustion engines that meet the requirements of this subpart, but are not certified to the standards applicable to nonroad (including marine) engines of the same model year and HP must be labeled according to the provisions in 40 CFR part 1039 or 1042, as appropriate, but the words “stationary” must be included instead of “nonroad” or “marine” on the label. In addition, such engines must be labeled according to 40 CFR 1039.20.
(iii) Stationary CI internal combustion engines that do not meet the requirements of this subpart must be labeled according to 40 CFR 1068.230 and must be exported under the provisions of 40 CFR 1068.230.
(d) An engine manufacturer certifying an engine family or families to standards under this subpart that are identical to standards applicable under 40 CFR part 1039 or 1042 for that model year may certify any such family that contains both nonroad (including marine) and stationary engines as a single engine family and/or may include any such family containing stationary engines in the averaging, banking, and trading provisions applicable for such engines under those parts.
(i) The replacement engine provisions of 40 CFR 1068.240 are applicable to stationary CI engines replacing existing equipment that is less than 15 years old.
(j) Stationary CI ICE manufacturers may equip their stationary CI internal combustion engines certified to the emission standards in 40 CFR part 1039 with AECDs for qualified emergency situations according to the requirements of 40 CFR 1039.665. Manufacturers of stationary CI ICE equipped with AECDs as allowed by 40 CFR 1039.665 must meet all the requirements in 40 CFR 1039.665 that apply to manufacturers. Manufacturers must document that the engine complies with the Tier 1 standard in 40 CFR part 1039, appendix I, when the AECD is activated. Manufacturers must provide any relevant testing, engineering analysis, or other information in sufficient detail to support such statement when applying for certification (including amending an existing certificate) of an engine equipped with an AECD as allowed by 40 CFR 1039.665.
(k) Manufacturers of any size may certify their emergency stationary CI internal combustion engines under this section using assigned deterioration factors established by EPA, consistent with 40 CFR 1039.240 and 1042.240.
(a) * * *
(3) Meet the requirements of 40 CFR part 1068, as they apply to you.
(b) * * *
(1) Purchasing an engine certified to emission standards for the same model year and maximum engine power as described in 40 CFR parts 1039 and 1042, as applicable. The engine must be installed and configured according to the manufacturer's specifications.
(a) The performance test must be conducted according to the in-use testing procedures in 40 CFR part 1039, subpart F, for stationary CI ICE with a displacement of less than 10 liters per cylinder, and according to 40 CFR part 1042, subpart F, for stationary CI ICE with a displacement of greater than or equal to 10 liters per cylinder and less than 30 liters per cylinder. Alternatively, stationary CI ICE that are complying with Tier 2 or Tier 3 emission standards as described in 40 CFR part 1039, appendix I, or with Tier 2 emission standards as described in 40 CFR part 1042, appendix I, may follow the testing procedures specified in § 60.4213, as appropriate.
(c) Exhaust emissions from stationary CI ICE subject to Tier 2 or Tier 3 emission standards as described in 40 CFR part 1039, appendix I, or Tier 2 emission standards as described in 40 CFR part 1042, appendix I, must not exceed the NTE numerical requirements, rounded to the same number of decimal places as the applicable standard, determined from the following equation:
(b) Except as indicated in paragraph (c) of this section, manufacturers, owners and operators of stationary CI ICE with a displacement of less than 10 liters per cylinder located in remote areas of Alaska may meet the requirements of this subpart by manufacturing and installing engines meeting the Tier 2 or Tier 3 emission standards described in 40 CFR part 1042 for the same model year, displacement, and maximum engine power, as appropriate, rather than the otherwise
(c) Manufacturers, owners, and operators of stationary CI ICE that are located in remote areas of Alaska may choose to meet the applicable emission standards for emergency engines in §§ 60.4202 and 60.4205, and not those for non-emergency engines in §§ 60.4201 and 60.4204, except that for 2014 model year and later nonemergency CI ICE, the owner or operator of any such engine must have that engine certified as meeting at least the Tier 3 PM standards identified in appendix I of 40 CFR part 1039 or in 40 CFR 1042.101.
(e) Stationary SI ICE may be eligible for exemption from the requirements of this subpart as described in 40 CFR part 1068, subpart C (or the exemptions described in 40 CFR parts 1048 and 1054, for engines that would need to be certified to standards in those parts), except that owners and operators, as well as manufacturers, may be eligible to request an exemption for national security.
(a) Stationary SI internal combustion engine manufacturers must certify their stationary SI ICE with a maximum engine power less than or equal to 19 KW (25 HP) manufactured on or after July 1, 2008 to the certification emission standards and other requirements for new nonroad SI engines in 40 CFR part 1054, as follows:
(b) Stationary SI internal combustion engine manufacturers must certify their stationary SI ICE with a maximum engine power greater than 19 KW (25 HP) (except emergency stationary ICE with a maximum engine power greater than 25 HP and less than 130 HP) that use gasoline and that are manufactured on or after the applicable date in § 60.4230(a)(2), or manufactured on or after the applicable date in § 60.4230(a)(4) for emergency stationary ICE with a maximum engine power greater than or equal to 130 HP, to the certification emission standards and other requirements for new nonroad SI engines in 40 CFR part 1048. Stationary SI internal combustion engine manufacturers must certify their emergency stationary SI ICE with a maximum engine power greater than 25 HP and less than 130 HP that use gasoline and that are manufactured on or after the applicable date in § 60.4230(a)(4) to the Phase 1 emission standards in 40 CFR part 1054, appendix I, applicable to class II engines, and other requirements for new nonroad SI engines in 40 CFR part 1054. Stationary SI internal combustion engine manufacturers may certify their stationary SI ICE with a maximum engine power less than or equal to 30 KW (40 HP) with a total displacement less than or equal to 1,000 cubic centimeters (cc) that use gasoline to the certification emission standards and other requirements as appropriate for new nonroad SI engines in 40 CFR part 1054.
(c) Stationary SI internal combustion engine manufacturers must certify their stationary SI ICE with a maximum engine power greater than 19 KW (25 HP) (except emergency stationary ICE with a maximum engine power greater than 25 HP and less than 130 HP) that are rich burn engines that use LPG and that are manufactured on or after the applicable date in § 60.4230(a)(2), or manufactured on or after the applicable date in § 60.4230(a)(4) for emergency stationary ICE with a maximum engine power greater than or equal to 130 HP, to the certification emission standards and other requirements for new nonroad SI engines in 40 CFR part 1048. Stationary SI internal combustion engine manufacturers must certify their emergency stationary SI ICE greater than 25 HP and less than 130 HP that are rich burn engines that use LPG and that are manufactured on or after the applicable date in § 60.4230(a)(4) to the Phase 1 emission standards in 40 CFR part 1054, appendix I, applicable to class II engines, and other requirements for new nonroad SI engines in 40 CFR part 1054. Stationary SI internal combustion engine manufacturers may certify their stationary SI ICE with a maximum engine power less than or equal to 30 KW (40 HP) with a total displacement less than or equal to 1,000 cc that are rich burn engines that use LPG to the certification emission standards and other requirements as appropriate for new nonroad SI engines in 40 CFR part 1054.
(d) Stationary SI internal combustion engine manufacturers who choose to certify their stationary SI ICE with a maximum engine power greater than 19 KW (25 HP) and less than 75 KW (100 HP) (except gasoline and rich burn engines that use LPG and emergency stationary ICE with a maximum engine power greater than 25 HP and less than 130 HP) under the voluntary manufacturer certification program described in this subpart must certify those engines to the certification emission standards for new nonroad SI engines in 40 CFR part 1048. Stationary SI internal combustion engine manufacturers who choose to certify
Stationary SI internal combustion engine manufacturers who are subject to the emission standards specified in § 60.4231(a) must certify their stationary SI ICE using the certification and testing procedures required in 40 CFR part 1054, subparts C and F. Manufacturers of equipment containing stationary SI internal combustion engines meeting the provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part 1060, subpart C, to the extent they apply to equipment manufacturers.
Stationary SI internal combustion engine manufacturers who are subject to the emission standards specified in § 60.4231(b) must certify their stationary SI ICE using the certification procedures required in 40 CFR part 1048, subpart C, and must test their engines as specified in that part. Stationary SI internal combustion engine manufacturers who certify their stationary SI ICE with a maximum engine power less than or equal to 30 KW (40 HP) with a total displacement less than or equal to 1,000 cc to the certification emission standards and other requirements for new nonroad SI engines in 40 CFR part 1054, and manufacturers of stationary SI emergency engines that are greater than 25 HP and less than 130 HP who meet the Phase 1 emission standards in 40 CFR part 1054, appendix I, applicable to class II engines, must certify their stationary SI ICE using the certification and testing procedures required in 40 CFR part 1054, subparts C and F. Manufacturers of equipment containing stationary SI internal combustion engines meeting the provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part 1060, subpart C, to the extent they apply to equipment manufacturers.
Stationary SI internal combustion engine manufacturers who are subject to the emission standards specified in § 60.4231(c) must certify their stationary SI ICE using the certification procedures required in 40 CFR part 1048, subpart C, and must test their engines as specified in that part. Stationary SI internal combustion engine manufacturers who certify their stationary SI ICE with a maximum engine power less than or equal to 30 KW (40 HP) with a total displacement less than or equal to 1,000 cc to the certification emission standards and other requirements for new nonroad SI engines in 40 CFR part 1054, and manufacturers of stationary SI emergency engines that are greater than 25 HP and less than 130 HP who meet the Phase 1 emission standards in 40 CFR part 1054, appendix I, applicable to class II engines, must certify their stationary SI ICE using the certification and testing procedures required in 40 CFR part 1054, subparts C and F. Manufacturers of equipment containing stationary SI internal combustion engines meeting the provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part 1060, subpart C, to the extent they apply to equipment manufacturers.
(a) Manufacturers of stationary SI internal combustion engines with a maximum engine power greater than 19 KW (25 HP) that do not use gasoline and are not rich burn engines that use LPG can choose to certify their engines to the emission standards in § 60.4231(d) or (e), as applicable, under the voluntary certification program described in this subpart. Manufacturers who certify their engines under the voluntary certification program must meet the requirements as specified in paragraphs (b) through (g) of this section. In addition, manufacturers of stationary SI internal combustion engines who choose to certify their engines under the voluntary certification program, must also meet the requirements as specified in § 60.4247. Manufacturers of stationary SI internal combustion engines who choose not to certify their engines under this section must notify the ultimate purchaser that testing requirements apply as described in § 60.4243(b)(2); manufacturers must keep a copy of this notification for five years after shipping each engine and make those documents available to EPA upon request.
(b) Manufacturers of engines other than those certified to standards in 40 CFR part 1054 must certify their stationary SI ICE using the certification procedures required in 40 CFR part 1048, subpart C, and must follow the same test procedures that apply to Large SI nonroad engines under 40 CFR part 1048, but must use the D–1 cycle of International Organization for Standardization 8178–4: 1996(E) (incorporated by reference, see § 60.17) or the test cycle requirements specified in Table 3 to 40 CFR 1048.505, except that Table 3 of 40 CFR 1048.505 applies to high load engines only. Manufacturers of any size may certify their stationary emergency engines at or above 130 hp using assigned deterioration factors established by EPA, consistent with 40 CFR 1048.240. Stationary SI internal combustion engine manufacturers who certify their stationary SI ICE with a maximum engine power less than or equal to 30 KW (40 HP) with a total displacement less than or equal to 1,000 cc to the certification emission standards and other requirements for new nonroad SI
(i) For engines being certified to the voluntary certification standards in Table 1 of this subpart, the VOC measurement shall be made by following the procedures in 40 CFR part 1065, subpart C, to determine the total NMHC emissions. As an alternative, manufacturers may measure ethane, as well as methane, for excluding such levels from the total VOC measurement.
(a) Stationary SI internal combustion engine manufacturers must meet the provisions of 40 CFR parts 1048, 1054, and 1068, as applicable, except that engines certified pursuant to the voluntary certification procedures in § 60.4241 are subject only to the provisions indicated in § 60.4247 and are permitted to provide instructions to owners and operators allowing for deviations from certified configurations, if such deviations are consistent with the provisions of § 60.4241(c) through (f). Manufacturers of equipment containing stationary SI internal combustion engines meeting the provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part 1060, as applicable. Labels on engines certified to 40 CFR part 1048 must refer to stationary engines, rather than or in addition to nonroad engines, as appropriate.
(b) An engine manufacturer certifying an engine family or families to standards under this subpart that are identical to standards identified in 40 CFR part 1048 or 1054 for that model year may certify any such family that contains both nonroad and stationary engines as a single engine family and/or may include any such family containing stationary engines in the averaging, banking and trading provisions applicable for such engines under those parts. This paragraph (b) also applies to equipment or component manufacturers certifying to standards under 40 CFR part 1060.
(c) Manufacturers of engine families certified to 40 CFR part 1048 may meet the labeling requirements referred to in paragraph (a) of this section for stationary SI ICE by either adding a separate label containing the information required in paragraph (a) of this section or by adding the words “and stationary” after the word “nonroad” to the label.
(d) For all engines manufactured on or after January 1, 2011, and for all engines with a maximum engine power greater than 25 HP and less than 130 HP manufactured on or after July 1, 2008, a stationary SI engine manufacturer that certifies an engine family solely to the standards applicable to emergency engines must add a permanent label stating that the engines in that family are for emergency use only. The label must be added according to the labeling requirements specified in 40 CFR 1048.135(b).
(e) All stationary SI engines subject to mandatory certification that do not meet the requirements of this subpart must be labeled and exported according to 40 CFR 1068.230. Manufacturers of stationary engines with a maximum engine power greater than 25 HP that are not certified to standards and other requirements under 40 CFR part 1048 are subject to the labeling provisions of 40 CFR 1048.20 pertaining to excluded stationary engines.
(f) For manufacturers of gaseous-fueled stationary engines required to meet the warranty provisions in 40 CFR 1054.120, we may establish an hour-based warranty period equal to at least the certified emissions life of the engines (in engine operating hours) if we determine that these engines are likely to operate for a number of hours greater than the applicable useful life within 24 months. We will not approve an alternate warranty under this paragraph (f) for nonroad engines. An alternate warranty period approved under this paragraph (f) will be the specified number of engine operating hours or two years, whichever comes first. The engine manufacturer shall request this alternate warranty period in its application for certification or in an earlier submission. We may approve an alternate warranty period for an engine family subject to the following conditions:
(1) The engines must be equipped with non-resettable hour meters.
(2) The engines must be designed to operate for a number of hours substantially greater than the applicable certified emissions life.
(3) The emission-related warranty for the engines may not be shorter than any published warranty offered by the manufacturer without charge for the engines. Similarly, the emission-related warranty for any component shall not be shorter than any published warranty offered by the manufacturer without charge for that component.
(f) If you are an owner or operator of a stationary SI internal combustion engine that is less than or equal to 500 HP and you purchase a non-certified engine or you do not operate and maintain your certified stationary SI internal combustion engine and control device according to the manufacturer's written emission-related instructions, you are required to perform initial performance testing as indicated in this section, but you are not required to conduct subsequent performance testing unless the stationary engine undergoes rebuild, major repair or maintenance. Engine rebuilding means to overhaul an engine or to otherwise perform extensive service on the engine (or on a portion of the engine or engine system). For the purpose of this paragraph (f), perform extensive service means to disassemble the engine (or portion of the engine or engine system), inspect and/or replace many of the parts, and reassemble the engine (or portion of the engine or engine system) in such a manner that significantly increases the service life of the resultant engine.
(a) * * *
(3) If the stationary SI internal combustion engine is a certified engine, documentation from the manufacturer that the engine is certified to meet the emission standards and information as required in 40 CFR parts 1048, 1054, and 1060, as applicable.
(a) Manufacturers certifying to emission standards in 40 CFR part 1054 must meet the provisions of 40 CFR part 1054. Note that 40 CFR part 1054, appendix I, describes various provisions that do not apply for engines meeting Phase 1 standards in 40 CFR part 1054. Manufacturers of equipment containing stationary SI internal combustion engines meeting the provisions of 40 CFR part 1054 must meet the provisions of 40 CFR part 1060 to the extent they apply to equipment manufacturers.
(1) 1,000 hours of operation.
(2) Your recommended overhaul interval.
(3) Your mechanical warranty for the engine.
42 U.S.C. 7401–7671q.
(a) Except where otherwise indicated, this subpart is applicable to motor vehicles offered for importation or imported into the United States for which the Administrator has promulgated regulations under 40 CFR part 86, subpart D or S, prescribing emission standards, but which are not covered by certificates of conformity issued under section 206(a) of the Clean Air Act (
The exemption provisions of 40 CFR part 1068, subpart D, apply instead of the provisions of this section for heavy-duty motor vehicles and heavy-duty motor vehicle engines regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037. The following provisions apply for other motor vehicles and motor vehicle engines:
(b) * * *
(5)
The provisions of 40 CFR 1068.10 apply for information you consider confidential.
(a) * * *
(1) Beginning January 1, 2014, the exemption provisions of 40 CFR part 1068, subpart C, apply instead of the provisions of this subpart for heavy-duty motor vehicle engines regulated under 40 CFR part 86, subpart A, except that the nonroad competition exemption of 40 CFR 1068.235 and the nonroad hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines. Note that the provisions for emergency vehicle field modifications in § 85.1716 continue to apply for heavy-duty engines.
The provisions of 40 CFR 1068.10 apply for information you consider confidential.
(a) The recall provisions of 40 CFR part 1068, subpart E, apply instead of the provisions of this subpart for heavy-duty motor vehicles and heavy-duty motor vehicle engines regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037. The provisions of this subpart apply for other motor vehicles and motor vehicle engines.
(b) For the purposes of this subpart, except as otherwise provided, words
(1)
(2)
Manufacturers may request a hearing as described in 40 CFR part 1068, subpart G.
The provisions of 40 CFR 1068.10 apply for information you consider confidential.
(b) * * *
(2) A defect in the design, materials, or workmanship in one or more emission-related parts, components, systems, software, or elements of design which must function properly to ensure continued compliance with greenhouse gas emission standards in 40 CFR part 86.
(a) * * *
(18)
(b) [Reserved]
(a) * * *
(4) Two complete and identical copies of the notification and any subsequent industry comments on any such notification shall be submitted by the aftermarket manufacturer to: MOD Director.
The definitions provided by this subpart are effective February 23, 1995 and apply to all motor vehicles regulated under 40 CFR part 86, subpart S, and to highway motorcycles regulated under 40 CFR part 86, subparts E and F. The definitions and related provisions in 40 CFR parts 1036, 1037, and 1068 apply instead of the provisions in this subpart for heavy-duty motor vehicles and heavy-duty motor vehicle engines regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037.
42 U.S.C. 7401–7671q.
The revision and additions read as follows:
(a) * * * For information on the availability of this material at NARA, email
(b) * * *
(19) ASTM D5769–20, Standard Test Method for Determination of Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas Chromatography/Mass Spectrometry, approved June 1, 2020 (“ASTM5769”), IBR approved for §§ 86.113–04(a), 86.213(a), and 86.513(a).
(20) ASTM D6550–20, Standard Test Method for Determination of Olefin Content of Gasolines by Supercritical-Fluid Chromatography, approved July 1, 2020 (“ASTM D6550”), IBR approved for §§ 86.113–04(a), 86.213(a), and 86.513(a).
(a)
The revisions and additions read as follows:
(g) * * *
(2) * * *
(ii) * * *
(B) For model years 2013 and later, on engines equipped with sensors that can detect combustion or combustion quality (
(iii) * * *
(C) For model years 2013 through 2018, on engines equipped with sensors that can detect combustion or combustion quality, the OBD system must monitor continuously for engine misfire when positive torque is between 20 and 75 percent of peak torque, and engine speed is less than 75 percent of maximum engine speed. If a monitoring system cannot detect all misfire patterns under all required engine speed and load conditions, the manufacturer may request that the Administrator approve the monitoring system nonetheless. In evaluating the manufacturer's request, the Administrator will consider the following factors: The magnitude of the region(s) in which misfire detection is limited; the degree to which misfire detection is limited in the region(s) (
(D) For 20 percent of 2019 model year, 50 percent of 2020 model, and 100 percent of 2021 and later model year diesel engines (percentage based on the manufacturer's projected sales volume of all diesel engines subject to this regulation) equipped with sensors that can detect combustion or combustion quality, the OBD system must monitor continuously for engine misfire under all positive torque engine speed conditions except within the following range: The engine operating region bound by the positive torque line (
(p) * * *
(3)
(ii) On the manufacturer's remaining engine ratings, separate in-use emissions thresholds shall apply. These thresholds are determined by doubling the applicable thresholds as shown in Table 1 of paragraph (g) of this section and Table 2 of paragraph (h) of this section. The resultant thresholds apply only in-use and do not apply for certification or selective enforcement auditing.
(iii) For monitors subject to meeting the minimum in-use monitor performance ratio of 0.100 in paragraph (d)(1)(ii) of this section, the OBD system shall not be considered noncompliant unless a representative sample indicates the in-use ratio is below 0.088 except for filtering performance monitors for PM filters (paragraph (g)(8)(ii)(A) of this section) and missing substrate monitors (paragraph (g)(8)(ii)(D) of this section) for which the OBD system shall not be considered noncompliant unless a representative sample indicates the in-use ratio is below 0.050.
(iv) An OBD system shall not be considered noncompliant solely due to a failure or deterioration mode of a monitored component or system that could not have been reasonably foreseen to occur by the manufacturer.
(4)
(ii) For monitors subject to meeting the minimum in-use monitor performance ratio of 0.100 in paragraph (d)(1)(ii) of this section, the OBD system shall not be considered noncompliant unless a representative sample indicates the in-use ratio is below 0.088.
(iii) An OBD system shall not be considered noncompliant solely due to a failure or deterioration mode of a monitored component or system that the manufacturer could not have reasonably foreseen.
(a) * * *
(1) Gasoline meeting the following specifications, or substantially equivalent specifications approved by the Administrator, must be used for exhaust and evaporative testing:
(f)(1) * * *
(ii) * * *
(C) Regardless of other requirements in this section relating to the testing of HLDTs, for Tier 2 and Tier 3 HLDTs, the test weight basis for FTP and SFTP testing (both US06 and SC03), if applicable, is the vehicle curb weight plus 300 pounds. For MDPVs certified to standards in bin 11 in Tables S04–1 and 2 in § 86.1811–04, the test weight basis must be adjusted loaded vehicle weight (ALVW) as defined in this part.
(a)(1)
(2)
(a) * * *
(2) You may use the test fuel specified in this paragraph (a)(2) for vehicles that are not yet subject to exhaust testing with an ethanol-blend test fuel under § 86.113. Manufacturers may certify based on this fuel using carryover data until testing with the ethanol-blend test fuel is required. The following specifications apply for gasoline test fuel without ethanol:
(c) If a new motorcycle is designed to require manual adjustment to compensate for changing altitude, the manufacturer must include the appropriate instructions in the application for certification. EPA will review the instructions to ensure that properly adjusted motorcycles will meet emission standards at both low altitude and high altitude.
(d) An action to install parts, modify engines, or perform other adjustments to compensate for changing altitude is not prohibited under 42 U.S.C. 7522 as long as it is done consistent with the manufacturer's instructions.
(b) Motorcycles will be divided into classes and subclasses based on engine displacement.
(a)(1) Each test vehicle shall be driven with all emission control systems installed and operating for the following total test distances, or for such lesser distances as the Administrator may agree to as meeting the objectives of this procedure. (See § 86.419 for class explanation.)
(b) * * *
(1) If the useful life emissions are at or below the standards, certification will be granted.
(d) To qualify for certification:
(1) The full life emission test results must be at or below the standards in this subpart; and
(2) The deterioration line must be below the standard at the minimum test distance and the useful life, or all points used to generate the line, must be at or below the standard.
(a) * * *
(1) Use gasoline meeting the following specifications for exhaust and evaporative emission testing:
(3) Manufacturers may alternatively use ethanol-blended gasoline meeting the specifications described in 40 CFR 1065.710(b) for general testing without our advance approval. Manufacturers using the ethanol-blended fuel for certifying a given engine family may also use it for any testing for that engine family under this part. If manufacturers use the ethanol-blended fuel for certifying a given engine family, EPA may use the ethanol-blended fuel or the neat gasoline test fuel specified in this section for that engine family. Manufacturers may also request to use fuels meeting alternate specifications as described in 40 CFR 1065.701(b).
(a) The manufacturer shall provide additional fittings and adapters, as required by the Administrator, to accommodate a fuel drain at the lowest point possible in the tank(s) as installed on the vehicle, and to provide for exhaust sample collection.
(b) Connect the motorcycle's exhaust system to the analyzer for all exhaust emission measurements. Seal all known leaks in the exhaust system. Make sure any remaining leaks do not affect the demonstration that the motorcycle complies with standards in subpart E of this part.
(a) This section describes how to test engines under steady-state conditions. Perform ramped-modal testing as described in 40 CFR 1036.505 and 40 CFR part 1065, except as specified in this section.
(b) Measure emissions by testing the engine on a dynamometer with the following ramped-modal duty cycle to determine whether it meets the applicable steady-state emission standards in this part and 40 CFR part 1036:
(1) Designed primarily for purposes of transportation of property or is a derivation of such a vehicle; or
(2) Designed primarily for transportation of persons and has a capacity of more than 12 persons; or
(3) Available with special features enabling off-street or off-highway operation and use.
(b) * * *
(8) * * *
(iii) * * *
(C) Vehicles must comply with the Tier 2 SFTP emission standards for NMHC + NO
Vehicles must meet evaporative and refueling emission standards as specified in this section. These emission standards apply for heavy duty vehicles above 14,000 pounds GVWR as specified in § 86.1801. These emission standards apply for total hydrocarbon equivalent (THCE) measurements using the test procedures specified in subpart B of this part, as appropriate. Note that § 86.1829 allows you to certify without testing in certain circumstances. These evaporative and refueling emission standards do not apply for electric vehicles, fuel cell vehicles, or diesel-fueled vehicles, except as specified in paragraph (b) of this section. Unless otherwise specified, MDPVs are subject to all the same provisions of this section that apply to LDT4.
(a) * * *
(2) * * *
(i) The emission standard for the sum of diurnal and hot soak measurements from the two-diurnal test sequence and the three-diurnal test sequence is based on a fleet average in a given model year. You must specify a family emission limit (FEL) for each evaporative family. The FEL serves as the emission standard for the evaporative family with respect to all required diurnal and hot soak testing. Calculate your fleet-average emission level as described in § 86.1860 based on the FEL that applies for low-altitude testing to show that you meet the specified standard. For multi-fueled vehicles, calculate fleet-average emission levels based only on emission levels for testing with gasoline. You may generate emission credits for banking and trading and you may use banked or traded credits for demonstrating compliance with the diurnal plus hot soak emission standard for vehicles required to meet the Tier 3 standards, other than gaseous-fueled vehicles, as described in § 86.1861 starting in model year 2017. You comply with the emission standard for a given model year if you have enough credits to show that your fleet-average emission level is at or below the applicable standard. You may exchange credits between or among evaporative families within an averaging set as described in § 86.1861. Separate diurnal plus hot soak emission standards apply for each evaporative/refueling emission family as shown for high-altitude conditions. The sum of diurnal and hot soak measurements may not exceed the following Tier 3 standards:
(a) * * *
(1) Complete heavy-duty vehicles eligible for the NO
(d)
(c) * * *
(2) * * *
(iii) The provisions of § 86.1845–04(c)(2) that require one vehicle of each test group during high mileage in-use verification testing to have a minimum odometer mileage of 75 percent of the full useful life mileage do not apply.
(g)
(5) AC17 testing requirements apply as follows for electric vehicles and plug-in hybrid electric vehicles:
(i) Manufacturers may omit AC17 testing for electric vehicles. Electric vehicles may qualify for air conditioning efficiency credits based on identified technologies, without testing. The application for certification must include a detailed description of the vehicle's air conditioning system and identify any technology items eligible for air conditioning efficiency credits. Include additional supporting information to justify the air conditioning credit for each technology.
(ii) The provisions of paragraph (g)(5)(i) of this section also apply for plug-in hybrid electric vehicles if they have an all electric range of at least 60 miles (combined city and highway) after adjustment to reflect actual in-use driving conditions (see 40 CFR 600.311(j)), and they do not rely on the engine to cool the vehicle's cabin for the ambient and driving conditions represented by the AC17 test.
(iii) If AC17 testing is required for plug-in hybrid electric vehicles, perform this testing in charge-sustaining mode.
42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588, 7589, 7601(a).
(a) The Clean Air Act includes provisions intended to promote the development and sale of clean-fuel vehicles (see 42 U.S.C. 7581–7589). This takes the form of credit incentives for State Implementation Plans. The specified clean-fuel vehicle standards to qualify for these credits are now uniformly less stringent than the emission standards that apply for new vehicles and new engines under 40 CFR parts 86 and 1036.
(b) The following provisions apply for purposes of State Implementation Plans that continue to reference the Clean Fuel Fleet Program:
(1) Vehicles and engines certified to current emission standards under 40 CFR part 86 or 1036 are deemed to also meet the Clean Fuel Fleet standards as Ultra Low-Emission Vehicles.
(2) Vehicles and engines meeting requirements as specified in paragraph (a)(1) of this section with a fuel system designed to not vent fuel vapors to the atmosphere are also deemed to meet the Clean Fuel Fleet standards as Inherently Low-Emission Vehicles. This paragraph (b)(2) applies for vehicles using diesel fuel, liquefied petroleum gas, or compressed natural gas. It does not apply for vehicles using gasoline, ethanol, methanol, or liquefied natural gas.
(3) The following types of vehicles qualify as Zero Emission Vehicles:
(i) Electric vehicles (see 40 CFR 86.1803–01).
(ii) Any other vehicle with a fuel that contains no carbon or nitrogen compounds, that has no evaporative emissions, and that burns without forming oxides of nitrogen, carbon monoxide, formaldehyde, particulate matter, or hydrocarbon compounds. This paragraph (b)(3)(i) applies equally for all engines installed on the vehicle.
42 U.S.C. 7401–7671q.
The Environmental Protection Agency adopted emission standards for model year 1996 and later nonroad compression-ignition engines under this part. EPA has migrated regulatory requirements for these engines to 40 CFR part 1039, with additional testing and compliance provisions in 40 CFR parts 1065 and 1068. The Tier 1, Tier 2, and Tier 3 standards originally adopted in this part are identified in 40 CFR part 1039, appendix I. See 40 CFR 1039.1 for information regarding the timing of the transition to 40 CFR part 1039, and for information regarding regulations that continue to apply for engines that manufacturers originally certified or otherwise produced under this part.
42 U.S.C. 7401–7671q.
The Environmental Protection Agency adopted emission standards for model year 1997 and later nonroad spark-ignition engines below 19 kW under this part. EPA has migrated regulatory requirements for these engines to 40 CFR part 1054, with additional testing and compliance provisions in 40 CFR parts 1065 and 1068. The Phase 1 and Phase 2 standards originally adopted in this part are identified in 40 CFR part 1054, appendix I. See 40 CFR 1054.1 for information regarding the timing of the transition to 40 CFR part 1054, and for information regarding regulations that continue to apply for engines that manufacturers originally certified or otherwise produced under this part.
42 U.S.C. 7401–7671q.
The Environmental Protection Agency adopted emission standards for model year 1998 and later marine spark-ignition engines under this part, except that the standards of this part did not apply to sterndrive/inboard engines. EPA has migrated regulatory requirements for these engines to 40 CFR part 1045, with additional testing
42 U.S.C. 7401–7671q.
The Environmental Protection Agency first adopted emission standards for freshly manufactured and remanufactured locomotives under this part in 1998. EPA has migrated regulatory requirements for these engines to 40 CFR part 1033, with additional testing and compliance provisions in 40 CFR parts 1065 and 1068. The Tier 0, Tier 1, and Tier 2 standards originally adopted in this part are identified in 40 CFR part 1033, appendix I. See 40 CFR 1033.1 for information regarding the timing of the transition to 40 CFR part 1033, and for information regarding regulations that continue to apply for engines that manufacturers originally certified or otherwise produced or remanufactured under this part. Emission standards started to apply for locomotive and locomotive engines if they were—
(a) Manufactured on or after January 1, 2000;
(b) Manufactured on or after January 1, 1973 and remanufactured on or after January 1, 2000; or
(c) Manufactured before January 1, 1973 and upgraded on or after January 1, 2000.
42 U.S.C. 7401–7671q.
The Environmental Protection Agency adopted emission standards for model year 2004 and later marine compression-ignition engines under this part. EPA has migrated regulatory requirements for these engines to 40 CFR part 1042, with additional testing and compliance provisions in 40 CFR parts 1065 and 1068. The Tier 1 and Tier 2 standards originally adopted in this part are identified in 40 CFR part 1042, appendix I. See 40 CFR 1042.1 for information regarding the timing of the transition to 40 CFR part 1042, and for information regarding regulations that continue to apply for engines that manufacturers originally certified or otherwise produced under this part.
42 U.S.C. 7401–7671q.
The revision reads as follows:
(a) This part prescribes fees manufacturers must pay for activities related to EPA's motor vehicle and engine compliance program (MVECP). This includes activities related to approving certificates of conformity and performing tests and taking other steps to verify compliance with emission standards in this part. You must pay fees as described in this part if you are a manufacturer of any of the following products:
(1) Motor vehicles and motor vehicle engines we regulate under 40 CFR part 86. This includes light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, highway motorcycles, and heavy-duty highway engines and vehicles.
(2) The following nonroad engines and equipment:
(i) Locomotives and locomotive engines we regulate under 40 CFR part 1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR part 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR part 1042 or 1043.
(iv) Marine spark-ignition engines and vessels we regulate under 40 CFR part 1045 or 1060. We refer to these as Marine SI engines.
(v) Nonroad spark-ignition engines above 19 kW we regulate under 40 CFR part 1048. We refer to these as Large SI engines.
(vi) Recreational vehicles we regulate under 40 CFR part 1051.
(vii) Nonroad spark-ignition engines and equipment at or below 19 kW we regulate under 40 CFR part 1054 or 1060. We refer to these as Small SI engines.
(3) The following stationary internal combustion engines:
(i) Stationary compression-ignition engines we certify under 40 CFR part 60, subpart IIII.
(ii) Stationary spark-ignition engines we certify under 40 CFR part 60, subpart JJJJ.
(4) Portable fuel containers we regulate under 40 CFR part 59, subpart F.
(a) Fees are determined based on the date we receive a complete application for certification. Each reference to a year in this subpart refers to the calendar year, unless otherwise specified. Paragraph (b) of this section specifies baseline fees that apply for certificates received in 2020. See paragraph (c) of this section for provisions describing how we calculate fees for 2021 and later years.
(b) The following baseline fees apply for each application for certification:
(1) Except as specified in paragraph (b)(2) of this section for Independent Commercial Importers, the following fees apply in 2020 for motor vehicles and motor vehicle engines:
(2) A fee of $87,860 applies in 2020 for Independent Commercial Importers with respect to the following motor vehicles:
(i) Light-duty vehicles and light-duty trucks.
(ii) Medium-duty passenger vehicles.
(iii) Complete heavy-duty highway vehicles.
(3) The following fees apply in 2020 for nonroad and stationary engines, vehicles, equipment, and components:
(c) We will calculate adjusted fees for 2021 and later years based on changes in the Consumer Price Index and the number of certificates. We will announce adjusted fees for a given year by March 31 of the preceding year.
(1) We will adjust the values specified in paragraph (b) of this section for years after 2020 as follows:
(i) Use the following equation for certification related to evaporative emissions from nonroad and stationary engines when a separate fee applies for certification to evaporative emission standards:
(ii) Use the following equation for all other certificates:
(2) The fee for any year will remain at the previous year's amount until the value calculated in paragraph (c)(1) of this section differs by at least $50 from the amount specified for the previous year.
(d) Except as specified in § 1027.110(a) for motor vehicles and motor vehicle engines, we will use the following values to determine adjusted fees using the equation in paragraph (c) of this section:
(1) The following values apply for operating costs and labor costs:
(2) The applicable Consumer Price Index is based on the values published by the Bureau of Labor Statistics for All Urban Consumers at
(3) Fee categories for counting the number of certificates issued are based on the grouping shown in paragraph (d)(1) of this section.
(a) We will adjust fees for light-duty, medium-duty passenger, and complete heavy-duty highway vehicles as follows:
(e) Send refund and correction requests online at
(a) Pay fees to the order of the Environmental Protection Agency in U.S. dollars using electronic funds transfer or any method available for payment online at
(b) Submit a completed fee filing form at
(b) We will hold a deficient filing along with any payment until we receive a completed form and full payment. If the filing remains deficient at the end of the model year, we will continue to hold any funds associated with the filing so you can make a timely request for a refund. We will not process an application for certification if the associated filing is deficient.
The following symbols, acronyms, and abbreviations apply to this part:
42 U.S.C. 7401–7671q.
The revision reads as follows:
(e)
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce locomotives for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all locomotives being produced.
(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1033.920).
(c) * * *
(4) The provisions for importing engines and equipment under the identical configuration exemption of 40 CFR 1068.315(h) do not apply for locomotives.
(5) The provisions for importing engines and equipment under the ancient engine exemption of 40 CFR 1068.315(i) do not apply for locomotives.
(k) * * *
(1) You may retire emission credits generated from any number of your locomotives. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1033.730. Locomotives must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (k). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.
Use of emission credits generated under this part is restricted depending on the standards against which they were generated.
(a)
(1) A locomotive or engine is new if its equitable or legal title has never been transferred to an ultimate purchaser. Where the equitable or legal title to a locomotive or engine is not transferred prior to its being placed into service, the locomotive or engine ceases to be new when it is placed into service. A locomotive or engine also becomes new if it is remanufactured or refurbished (as defined in this section). A remanufactured locomotive or engine ceases to be new when placed back into service. With respect to imported locomotives or locomotive engines, the term “new locomotive” or “new locomotive engine” also means a locomotive or locomotive engine that is not covered by a certificate of conformity under this part or 40 CFR part 92 at the time of importation, and that was manufactured or remanufactured after January 1, 2000, which would have been applicable to such locomotive or engine had it been manufactured or remanufactured for importation into the United States. Note that replacing an engine in one locomotive with an unremanufactured used engine from a different locomotive does not make a locomotive new.
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501
42 U.S.C. 7401–7671q.
(b) * * *
(3) The provisions of § 1036.501(h)(1) apply.
(a)
(1) CO
(i) The CO
(ii) The following CO
(iii) The following CO
(iv) You may certify spark-ignition engines to the compression-ignition standards for the appropriate model year under this paragraph (a). If you do this, those engines are treated as compression-ignition engines for all the provisions of this part.
(2) The CH4 emission standard is 0.10 g/hp·hr when measured over the applicable transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for compression-ignition engines and in model year 2016 for spark-ignition engines. Note that this standard applies for all fuel types just like the other standards of this section.
(3) The N
(e)
(g)
(1) You may use an assigned additive DF of 0.0 g/hp-hr for CO
(2) You may use an assigned additive DF of 0.010 g/hphr for N2O emissions from any engine through model year 2021, and 0.020 g/hp-hr for later model years.
(3) You may use an assigned additive DF of 0.020 g/hp-hr for CH4 emissions from any engine.
(p) * * *
(2) You may certify your model year 2024 through 2026 engines to the following alternative standards:
(q)
(e) The amended application applies starting with the date you submit the amended application, as follows:
(1) For engine families already covered by a certificate of conformity, you may start producing a new or modified engine configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements in this part, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements in this part and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified engines.
(2) [Reserved]
(f) * * *
(1) You may ask to raise your FEL for your engine family at any time before the end of the model year. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.
(d) Except as described in paragraph (f) of this section, engine configurations within an engine family must use equivalent greenhouse gas emission controls. Unless we approve it, you may not produce nontested configurations without the same emission control hardware included on the tested configuration. We will only approve it if you demonstrate that the exclusion of the hardware does not increase greenhouse gas emissions.
(f) Engine families may be divided into subfamilies with respect to compliance with CO
This section describes the emission testing you must perform to show compliance with the greenhouse gas emission standards in § 1036.108. When testing hybrid powertrains substitute “hybrid powertrain” for “engine” as it applies to requirements for certification.
(b) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel and flexible-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. (Note: Measurement of criteria emissions from flexible-fuel engines generally involves operation with the fuel mixture that best represents in-use operation, or with the fuel mixture with the highest emissions.) Measure CO
(1) If you are certifying the engine for use in tractors, you must measure CO
(2) If you are certifying the engine for use in vocational applications, you must measure CO
(3) You may certify your engine family for both tractor and vocational use by submitting CO
(4) Some of your engines certified for use in tractors may also be used in vocational vehicles, and some of your engines certified for use in vocational may be used in tractors. However, you may not knowingly circumvent the intent of this part (to reduce in-use emissions of CO
(c) We may perform confirmatory testing by measuring emissions from any of your emission-data engines. If your certification includes powertrain testing as specified in § 1036.630, this paragraph (c) also applies for the powertrain test results.
(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the engine to a test facility we designate. The engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.
(2) If we measure emissions on your engine, the results of that testing become the official emission results for the engine as specified in this paragraph (c). Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements in this part.
(3) Before we test one of your engines, we may set its adjustable parameters to any point within the physically adjustable ranges.
(4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, we may calibrate it within normal production tolerances for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1036.801) because it is permanently sealed. For parameters that relate to a level of performance that is itself subject to a specified range (such as maximum power output), we will generally perform any calibration under this paragraph (c)(4) in a way that keeps performance within the specified range.
(5) We may use our emission test results for steady-state, idle, cycle-average and powertrain fuel maps defined in § 1036.503(b) as the official emission results. We will not replace individual points from your fuel map.
(i) We will determine fuel masses,
(ii) We will perform this comparison using the weighted results from GEM, using vehicles that are appropriate for the engine under test. For example, we may select vehicles that the engine went into for the previous model year.
(iii) If you supply cycle-average engine fuel maps for the highway cruise cycles instead of generating a steady-state fuel map for these cycles, we may perform a confirmatory test of your engine fuel maps for the highway cruise cycles by either of the following methods:
(A) Directly measuring the highway cruise cycle-average fuel maps.
(B) Measuring a steady-state fuel map as described in paragraph (c)(5) of this section and using it in GEM to create our own cycle-average engine fuel maps for the highway cruise cycles.
(iv) We will replace fuel maps as a result of confirmatory testing as follows:
(A) Weight individual duty cycle results using the vehicle categories determined in paragraph (c)(5)(i) of this section and respective weighting factors in Table 1 of 40 CFR 1037.510 to determine a composite CO
(B) The average percent difference between fuel maps is calculated using the following equation:
(C) Where the unrounded average percent difference between our composite weighted fuel map and the manufacturer's is greater than or equal to 0%, we will not replace the manufacturer's maps, and we will consider an individual engine to have passed the fuel map confirmatory test.
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1036.820).
(b) * * *
(2) Evaluate cycle-average fuel maps by running GEM based on simulated vehicle configurations representing the interpolated center of every group of four test points that define a boundary of cycle work and average engine speed divided by average vehicle speed. These simulated vehicle configurations are defined from the four surrounding points based on averaging values for vehicle mass, drag area (if applicable), tire rolling resistance, tire size, and axle ratio. The regulatory subcategory is defined by the regulatory subcategory of the vehicle configuration with the greatest mass from those four test points. Figure 1 of this section illustrates a determination of vehicle configurations for engines used in tractors and Vocational Heavy-Duty Vehicles (HDV) using a fixed tire size (see § 1036.540(c)(3)(iii)). The vehicle configuration from the upper-left quadrant is defined by values for Tests 1, 2, 4, and 5 from Table 3 of § 1036.540. Calculate vehicle mass as the average of the values from the four tests. Determine the weight reduction needed for GEM to simulate this calculated vehicle mass by comparing the average vehicle mass to the default vehicle mass for the vehicle subcategory from the four points that has the greatest mass, with the understanding that two-thirds of weight reduction for tractors is applied to vehicle weight and one-third is understood to represent increased payload. This is expressed mathematically as
(g) The following additional provisions apply for testing to demonstrate compliance with the emission standards in § 1036.108 for model year 2016 through 2020 engines:
(1) Measure CO
(2) For engines subject to SET testing under § 1036.108(a)(1), measure CO
(h) The following additional provisions apply for testing to demonstrate compliance with the emission standards in § 1036.108 for model year 2021 and later engines:
(1) If your engine is intended for installation in a vehicle equipped with stop-start technology, you may turn the engine off during the idle portions of the duty cycle to represent in-use operation, consistent with good engineering judgment. We recommend installing an engine starter motor and allowing the engine's Electronic Control Unit (ECU) to control the engine stop and start events.
(2) For engines subject to SET testing under § 1036.108(a)(1), use one of the following methods to measure CO
(i) Use the SET duty cycle specified in § 1036.505 using either continuous or batch sampling.
(ii) Measure CO
(3) Measure CO
(4) Measure or calculate emissions of criteria pollutants corresponding to your measurements to demonstrate compliance with CO
You must give vehicle manufacturers information as follows so they can certify model year 2021 and later vehicles:
(a) Identify engine make, model, fuel type, combustion type, engine family name, calibration identification, and engine displacement. Also identify which standards the engines meet.
(b) This paragraph (b) describes four different methods to generate engine fuel maps. For engines without hybrid components or mild hybrid where you choose not to include hybrid components in the test, you must generate fuel maps using either paragraph (b)(1) or (2) of this section. For mild hybrid engines where you choose to include the hybrid components in the test and for hybrid engines, you must generate fuel maps using paragraph (b)(4) of this section. For all other hybrids, powertrains, and for vehicles where the transmission is not automatic, automated manual, manual, or dual-clutch you must use paragraph (b)(3) of this section.
(1)
(2)
(3)
(4)
(c) Provide the following information if you generate engine fuel maps using either paragraph (b)(1), (2), or (4) of this section:
(1) Full-load torque curve for installed engines, and the full-load torque curve of the engine (parent engine) with the highest fueling rate that shares the same engine hardware, including the turbocharger, as described in 40 CFR 1065.510. You may use 40 CFR 1065.510(b)(5)(i) for engines subject to spark-ignition standards. Measure the torque curve for hybrid engines that have an RESS as described in 40 CFR 1065.510(g)(2) with the hybrid system active. For hybrid engines that do not include an RESS follow 40 CFR 1065.510(b)(5)(ii).
(2) Motoring torque map as described in 40 CFR 1065.510(c)(2) and (5) for conventional and hybrid engines, respectively. For engines with a low-speed governor, remove data points where the low speed governor is active. If you don't know when the low-speed governor is active, we recommend removing all points below 40 r/min above the low warm idle speed.
(3) Declared engine idle speed. For vehicles with manual transmissions, this is the engine speed with the transmission in neutral. For all other vehicles, this is the engine's idle speed when the transmission is in drive.
(4) The engine idle speed during the transient cycle-average fuel map.
(5) The engine idle torque during the transient cycle-average fuel map.
(d) If you generate powertrain fuel maps using paragraph (b)(3) of this section, determine the system continuous rated power according to § 1036.527.
(a) Starting in model year 2021, you must measure CO
(b) Perform SET testing with one of the following procedures:
(1) For engine testing, the SET duty cycle is based on normalized speed and torque values relative to certain maximum values. Denormalize torque as described in 40 CFR 1065.610(d). Denormalize speed as described in 40 CFR 1065.512.
(2) For hybrid powertrain and hybrid engine testing, follow 40 CFR 1037.550 to carry out the test, but do not compensate the duty cycle for the distance driven as described in 40 CFR 1037.550(g)(4), for hybrid engines select the transmission from Table 1 of § 1036.540 substituting “engine” for “vehicle” and “highway cruise cycle” for “SET”, and cycles do not follow 40 CFR 1037.550(j). For cycles that begin with a set of contiguous idle points, leave the transmission in neutral or park for the full initial idle segment. Place the transmission into drive within 5 seconds of the first nonzero vehicle speed setpoint. Place the transmission into park or neutral when the cycle reaches SET mode 14. Use the following vehicle parameters in place of those in 40 CFR 1037.550 to define the vehicle model in 40 CFR 1037.550(a)(3):
(i) Determine the vehicle test mass,
(ii) Determine the vehicle frontal area,
(A) For
(B) For
(iii) Determine the vehicle drag area,
(iv) Determine the coefficient of rolling resistance,
(vii) Select a drive axle ratio,
(viii) Select a tire radius,
(ix) If you are certifying a hybrid powertrain system without the transmission, use a default transmission efficiency of 0.95. If you certify with this configuration, you must use 40 CFR 1037.550(a)(3)(ii) to create the vehicle model along with its default transmission shift strategy. Use the transmission parameters defined in Table 1 of § 1036.540 to determine transmission type and gear ratio. For Light and Medium HDVs, use the Light and Medium HDV parameters for the FTP and SET. For Tractors and Heavy HDVs, use the Tractor and Heavy HDV transient cycle parameters for the FTP and the Tractor and Heavy HDV highway cruise cycle parameters for the SET.
(x) Select axle efficiency,
(c) Measure emissions using the SET duty cycle shown in Table 1 of this section to determine whether engines and hybrid powertrains meet the steady-state compression-ignition standards specified in subpart B of this part. Table 1 of this section specifies settings for engine and hybrid powertrain testing, as follows:
(1) The duty cycle for testing engines involves a schedule of normalized engine speed and torque values.
(2) The duty cycle for hybrid powertrain testing involves a schedule of vehicle speeds and road grade.
(i) Determine road grade at each point based on the continuous rated power of the hybrid powertrain system,
(ii) Use the vehicle C speed determined in § 1036.527 and determine the vehicle A and B speeds as follows:
(A) Determine vehicle A speed using the following equation:
(a) Measure emissions by testing the engine or hybrid powertrain on a dynamometer with one of the following transient duty cycles to determine whether it meets the transient emission standards in subpart B of this part:
(1) For spark-ignition engines, use the transient duty cycle described in paragraph (a) of appendix B of this part.
(2) For compression-ignition engines, use the transient duty cycle described in paragraph (b) of appendix B of this part.
(3) For spark-ignition hybrid powertrains, use the transient duty cycle described in paragraph (a) of appendix B of this part.
(4) For compression-ignition hybrid powertrains, use the transient duty cycle described in paragraph (b) of appendix B of this part.
(b) Perform the following depending on if you are testing engines or hybrid powertrains:
(1) For engine testing, the transient duty cycles are based on normalized speed and torque values relative to certain maximum values. Denormalize torque as described in 40 CFR 1065.610(d). Denormalize speed as described in 40 CFR 1065.512.
(2) For hybrid powertrain testing, follow § 1036.505(b)(2) to carry out the test except replace
(c) The transient test sequence consists of an initial run through the transient duty cycle from a cold start, 20 minutes with no engine operation, then a final run through of the same transient duty cycle. Emissions from engine starting is part of the both the cold and hot test intervals. Calculate the total emission mass of each constituent,
(d) Calculate cycle statistics and compare with the established criteria as specified in 40 CFR 1065.514 for engines and 40 CFR 1037.550 for hybrid powertrains to confirm that the test is valid.
(a) For model years 2014 through 2020, if your engine system includes features that recover and store energy during engine motoring operation, test the engine as described in paragraph (d) of this section. For purposes of this section, features that recover energy between the engine and transmission are considered related to engine motoring.
(d) Measure emissions using the same procedures that apply for testing non-hybrid engines under this part, except as specified in this part and 40 CFR part 1065. For SET testing, deactivate the hybrid features unless we specify otherwise. The following provisions apply for testing hybrid engines:
(4) Limits on braking energy. Calculate brake energy fraction,
(i) Calculate
(ii) Convert from g/kW-hr to g/hp-hr as the final step in calculating emission results.
This section describes how to determine the peak and continuous rated power of conventional and hybrid powertrain systems and the vehicle speed for carrying out testing according
(a) Set up the powertrain according to 40 CFR 1037.550, but use the vehicle parameters in § 1036.505(b)(2), except replace
(b) Prior to the start of each test interval verify the following:
(1) The state-of-charge of the rechargeable energy storage system (RESS) is ≥90% of the operating range between the minimum and maximum RESS energy levels specified by the manufacturer.
(2) The conditions of all hybrid system components are within their normal operating range as declared by the manufacturer.
(3) RESS restrictions (e.g., power limiting, thermal limits, etc.) are not active.
(c) Carry out the test as follows:
(1) Warm up the powertrain by operating it. We recommend operating the powertrain at any vehicle speed and road grade that achieves approximately 75% of its expected maximum power. Continue the warm-up until the engine coolant, block, or head absolute temperature is within ±2% of its mean value for at least 2 min or until the engine thermostat controls engine temperature.
(2) Start the test by keying on the powertrain and letting it sit at 0 mi/hr for 50 seconds.
(3) Set maximum driver demand for a full load acceleration at 6% road grade starting at an initial vehicle speed of 0 mi/hr.
(4) 268 seconds after the initiation of paragraph (c)(3) of this section, linearly ramp the grade from 6% to 0% over 300 seconds. Stop the test after the vehicle speed has stopped increasing above the maximum value observed during the test.
(d) Record the powertrain system angular speed and torque values measured at the dynamometer at 100 Hz and use these in conjunction with the vehicle model to calculate
(e) Calculate the system power,
(1) For testing with the speed and torque measurements at the transmission input shaft,
(2) For testing with the speed and torque measurements at the axle input shaft or the wheel hubs, determine
(f) The system peak rated power,
(1) Calculate the standard deviation, σ(
(2) The resulting 5 Hz power and covariance signals are used to determine system rated power.
(3) The coefficient of variation COV(
(4) If the determined system peak rated power is not within ±3% of the system peak rated power as declared by the manufacturer, you must repeat the procedure in paragraphs (a) through (f)(3) of this section using the measured system peak rated power determined in paragraph (f) of this section instead of the manufacturer declared value. The result from this repeat is the final determined system peak rated power.
(5) If the determined system peak rated power is within ±3% of the system peak rated power as declared by the manufacturer, the declared system peak rated power shall be used.
(g) Determine continuous rated power as follows:
(1) For conventional powertrains,
(2) For hybrid powertrains, continuous rated power,
(h) Vehicle C speed, ν
(1) For powertrains where
(2) For powertrains where
This section describes how to calculate official emission results for CO
(a) Calculate brake-specific emission rates for each applicable duty cycle as specified in 40 CFR 1065.650. Apply infrequent regeneration adjustment factors to your CO
(b) Adjust CO
(1) Determine your test fuel's mass-specific net energy content,
(i) For liquid fuels, determine
(ii) For gaseous fuels, determine
(2) Determine your test fuel's carbon mass fraction,
(i) For liquid fuels, have the sample analyzed by at least three different labs and determine the final value of your test fuel's
(ii) For gaseous fuels, have the sample analyzed by a single lab and use that result as your test fuel's
(3) If, over a period of time, you receive multiple fuel deliveries from a single stock batch of test fuel, you may use constant values for mass-specific energy content and carbon mass fraction, consistent with good engineering judgment. To use this paragraph (b)(3), you must demonstrate that every subsequent delivery comes from the same stock batch and that the fuel has not been contaminated.
(4) Correct measured CO
(c) Your official emission result for each pollutant equals your calculated brake-specific emission rate multiplied by all applicable adjustment factors, other than the deterioration factor.
This section describes how to determine an engine's steady-state fuel map and fuel consumption at idle for model year 2021 and later vehicles. Vehicle manufacturers may need these values to demonstrate compliance with emission standards under 40 CFR part 1037 as described in § 1036.510.
(a)
(1) Map the engine's torque curve and declare engine idle speed as described in § 1036.503(c)(1) and (3), and perform emission measurements as described in 40 CFR 1065.501 and 1065.530 for discrete-mode steady-state testing. This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(2) Measure NO
(b)
(1) Generate the sequence of steady-state engine operating points as follows:
(i) Determine the required steady-state engine operating points as follows:
(A) For engines with an adjustable warm idle speed setpoint, select the following speed setpoints: Minimum warm idle speed,
(B) Select the following torque setpoints at each of the selected speed setpoints: Zero (
(ii) Select any additional (optional) steady-state engine operating points consistent with good engineering judgment. For example you may select additional points when linear interpolation between the defined points is not a reasonable assumption for determining fuel consumption from the engine. For each additional speed setpoint, increments between torque setpoints must be no larger than one-ninth of
(iii) Set the run order for all of the steady-state engine operating points (both required and optional) as described in this paragraph (b)(1)(iii). Arrange the list of steady-state engine operating points such that the resulting list of paired speed and torque setpoints begins with the highest speed setpoint and highest torque setpoint followed by decreasing torque setpoints at the highest speed setpoint. This will be followed by the next lowest speed setpoint and the highest torque setpoint at that speed setpoint continuing through all the steady-state engine operating points and ending with the lowest speed (
(iv) The steady-state engine operating points that have the highest torque setpoint for a given speed setpoint are optional reentry points into the steady-state-fuel-mapping sequence, should you need to pause or interrupt the sequence during testing.
(v) The steady-state engine operating points that have the lowest torque setpoint for a given speed setpoint are optional exit points from the steady-state-fuel-mapping sequence, should you need to pause or interrupt the sequence during testing.
(2) If the engine has an adjustable warm idle speed setpoint, set it to its minimum value,
(3) During each test interval, control speed within ±1% of
(i) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at minimum; control the dynamometer so it gives priority to follow the torque setpoint and let the engine govern the speed (see 40 CFR 1065.512(b)(1)). In this case, the tolerance on speed control in paragraph (b)(3) of this section does not apply and engine torque is controlled to within ±25 N·m.
(ii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is below 90% of
(iii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is at or above 90% of
(iv) For the steady-state engine operating points at the minimum speed setpoint and maximum torque setpoint, you may select a dynamometer control mode that gives priority to speed and an engine control mode that gives priority to torque. In this case, if the operator demand stabilizes at minimum or maximum, the tolerance on torque control in paragraph (b)(3) of this section does not apply.
(4) You may select the appropriate dynamometer and engine control modes in real-time or at any time prior based on various factors including the operating setpoint location relative to an engine operating boundary. Warm-up the engine as described in 40 CFR 1065.510(b)(2).
(5) Within 60 seconds after concluding the warm-up, linearly ramp the speed and torque setpoints over 5 seconds to the first steady-state engine operating point from paragraph (b)(1) of this section.
(6) Operate the engine at the steady-state engine operating point for (70 ±1) seconds, and then start the test interval and record measurements using one of the following methods. You must also measure and report NO
(i)
(A) If you use batch sampling to measure background emissions, you may sample periodically into the bag over the course of multiple test intervals and read them as allowed in paragraph (b)(7)(i) of this section. If you use this paragraph (b)(6)(i)(A), you must apply the same background readings to correct emissions from each of the applicable test intervals.
(B) You may determine background emissions by sampling from the dilution air during the non-test interval periods in the test sequence, including pauses allowed in paragraph (b)(7)(i) of this section. If you use this paragraph (b)(6)(i)(B), you must allow sufficient time for stabilization of the background measurement; followed by an averaging period of at least 30 seconds. Use the average of the most recent pre-test interval and the next post-test interval background readings to correct each test interval. The most recent pre-test interval background reading must be taken no greater than 30 minutes prior to the start of the first applicable test interval and the next post-test interval background reading must be taken no later than 30 minutes after the end of the last applicable test interval. Background readings must be taken prior to the test interval for each reentry point and after the test interval for each exit point or more frequently.
(ii)
(7) After completing the test interval described in paragraph (b)(6) of this section, linearly ramp the speed and torque setpoints over 5 seconds to the next steady-state engine operating point.
(i) You may pause the steady-state-fuel-mapping sequence at any of the reentry points (as noted in paragraph (b)(1)(iv) of this section) to calibrate emission-measurement instrumentation; to read and evacuate background bag samples collected over the course of multiple test intervals; or to sample the dilution air for background emissions. This paragraph (b)(7)(i) allows you to spend more than the 70 seconds noted in paragraph (b)(6) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the steady-state-fuel-mapping sequence and allow the regeneration event to finish. You may continue to operate at the steady-state engine operating point where the event began or, using good engineering judgment, you may transition to another operating condition to reduce the regeneration event duration. You may complete any post-test interval activities to validate test intervals prior to the most recent reentry point. Once the regeneration event is finished, linearly ramp the speed and torque setpoints over 5 seconds to the most recent reentry point described in paragraph (b)(1)(iv) of this section, and restart the steady-state-fuel-mapping sequence by repeating the steps in paragraphs (b)(6) and (7) of this section for all the remaining steady-state engine operating points. Operate at the reentry point for longer than the 70 seconds in paragraph (b)(6), as needed, to bring the aftertreatment to representative thermal conditions. Void all test intervals in the steady-state-fuel-mapping sequence beginning with the reentry point and ending with the steady-state engine operating point where the regeneration event began.
(iii) You may interrupt the steady-state-fuel-mapping sequence after any of the exit points described in paragraph (b)(1)(v) of this section. To restart the steady-state-fuel-mapping sequence; begin with paragraph (b)(4) of this section and continue with paragraph (b)(5) of this section, except that the steady-state engine operating point is the next reentry point, not the first operating point from paragraph (b)(1) of this section. Follow paragraphs (b)(6) and (7) of this section until all remaining steady-state engine operating points are tested.
(iv) If the steady-state-fuel-mapping sequence is interrupted due test equipment or engine malfunction, void all test intervals in the steady-state-fuel-mapping sequence beginning with the most recent reentry point as described in paragraph (b)(1)(iv) of this section. Complete any post-test interval activities to validate test intervals prior to the most recent reentry point. Correct the malfunction and restart the steady-state-fuel-mapping sequence as described in paragraph (b)(7)(iii) of this section.
(v) If any steady-state engine test interval is voided, void all test intervals in the steady-state-fuel-mapping sequence beginning with the most recent reentry point as described in paragraph (b)(1)(iv) of this section and ending with the next exit point as described in paragraph (b)(1)(v) of this section. Rerun that segment of the steady-state-fuel-mapping sequence. If multiple test intervals are voided in multiple speed setpoints, you may exclude the speed setpoints where all of the test intervals were valid from the rerun sequence. Rerun the steady-state-fuel-mapping sequence as described in paragraph (b)(7)(iii) of this section.
(8) If you determine fuel-consumption rates using emission measurements from the raw or diluted exhaust, calculate the mean fuel mass flow rate,
(9) If you determine fuel-consumption rates using emission measurements with engines that utilize diesel exhaust fluid for NO
(c)
(1) Determine the required engine-idle operating points as follows:
(i) Select the following two speed setpoints:
(A) Engines with an adjustable warm idle speed setpoint: Minimum warm idle speed,
(B) Engines without an adjustable warm idle speed setpoint: Warm idle speed (with zero torque on the primary output shaft),
(ii) Select the following two torque setpoints at each of the selected speed setpoints: 0 and 100 N·m.
(iii) You may run these four engine-idle operating points in any order.
(2) Control speed and torque as follows:
(i)
(ii)
(3) Warm-up the engine as described in 40 CFR 1065.510(b)(2).
(4) After concluding the warm-up procedure, linearly ramp the speed and torque setpoints over 20 seconds to operate the engine at the next engine-idle operating point from paragraph (c)(1) of this section.
(5) Operate the engine at the engine-idle operating point for (180 ±1) seconds, and then start the test interval and record measurements using one of the following methods. You must also measure and report NO
(i)
(ii)
(6) After completing the test interval described in paragraph (c)(5) of this section, repeat the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points. After completing the test interval on the last engine-idle operating point, the fuel-consumption-at-idle sequence is complete.
(7) The following provisions apply for interruptions in the fuel-consumption-at-idle sequence in a way that is intended to produce results equivalent to running the sequence without interruption:
(i) You may pause the fuel-consumption-at-idle sequence after each test interval to calibrate emission-measurement instrumentation and to read and evacuate background bag samples collected over the course of a single test interval. This paragraph (c)(7)(i) allows you to shut-down the engine or to spend more time at the speed/torque idle setpoint after completing the test interval before transitioning to the step in paragraph (c)(3) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the fuel-consumption-at-idle sequence and allow the regeneration event to finish. You may continue to operate at the engine-idle operating point where the event began or, using good engineering judgment, you may transition to another operating condition to reduce the regeneration event duration. If the event occurs during a test interval, void that test interval. Once the regeneration event is finished, restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points.
(iii) You may interrupt the fuel-consumption-at-idle sequence after any of the test intervals. Restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points.
(iv) If the fuel-consumption-at-idle sequence is interrupted due to test equipment or engine malfunction, correct the malfunction and restart the fuel-consumption-at-idle sequence by repeating the steps in paragraphs (c)(3) through (5) of this section for all the remaining engine-idle operating points. If the malfunction occurred during a test interval, void that test interval.
(v) If any idle test intervals are voided, repeat the steps in paragraphs (c)(3) through (5) of this section for each of the voided engine-idle operating points.
(8) Correct the measured or calculated mean fuel mass flow rate,
(d)
(1) Perform steady-state fuel mapping as described in paragraph (b) of this section with the following exceptions:
(i) All the required steady-state engine operating points as described in paragraph (b)(1)(i) of this section are optional.
(ii) Select speed setpoints to cover the range of idle speeds expected as follows:
(A) The minimum number of speed setpoints is two.
(B) For engines with an adjustable warm idle speed setpoint, the minimum speed setpoint must be equal to the minimum warm idle speed,
(iii) Select torque setpoints at each speed setpoint to cover the range of idle torques expected as follows:
(A) The minimum number of torque setpoints at each speed setpoint is three. Note that you must meet the minimum torque spacing requirements described in paragraph (b)(1)(ii) of this section.
(B) The minimum torque setpoint at each speed setpoint is zero.
(C) The maximum torque setpoint at each speed setpoint must be greater than or equal to the estimated maximum torque at warm idle (in-drive) conditions,
(2) Remove the points from the default map that are below 115% of the maximum speed and 115% of the maximum torque of the boundaries of the points measured in paragraph (d)(1) of this section.
(3) Add the points measured in paragraph (d)(1) of this section.
(e)
(f)
(g)
(1) If you pass the ∈
(2) If you pass either the ∈
(3) If you don't pass the ∈
(h)
(a)
(1) Determine the engine's torque maps as described in § 1036.510(a).
(2) Determine the engine's steady-state fuel map and fuel consumption at idle as described in § 1036.535.
(3) Simulate several different vehicle configurations using GEM (see 40 CFR 1037.520) to create new engine duty cycles, as described in paragraph (c) of this section. The transient vehicle duty cycles for this simulation are in 40 CFR part 1037, appendix I; the highway cruise cycles with grade are in 40 CFR part 1037, appendix IV. Note that GEM simulation relies on vehicle service classes as described in 40 CFR 1037.140.
(4) Test the engines using the new duty cycles to determine fuel consumption, cycle work, and average vehicle speed as described in paragraph (d) of this section and establish GEM inputs for those parameters for further vehicle simulations as described in paragraph (e) of this section.
(b)
(1) To perform fuel mapping under this section for hybrid engines, make sure the engine and its hybrid features are appropriately configured to represent the hybrid features in your testing.
(2) Measure NO
(3) This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(4) For variable-speed gaseous-fueled engines with a single-point fuel injection system, apply all of the following statistical criteria to validate the transient duty cycle in 40 CFR part 1037, appendix I:
(c)
(1) Set up GEM to simulate vehicle operation based on your engine's torque maps, steady-state fuel maps, engine minimum warm-idle speed and fuel consumption at idle as described in paragraphs (a)(1) and (2) of this section, as well as 40 CFR 1065.405(b). For engines without an adjustable warm idle speed replace minimum warm idle speed with warm idle speed,
(2) Set up GEM with transmission parameters for different vehicle service classes and vehicle duty cycles as described in Table 2 of this section. For automatic transmissions set neutral idle to “Y” in the vehicle file. These values are based on automatic or automated manual transmissions, but they apply for all transmission types.
(ii) Test at least eight different vehicle configurations for engines that will be installed in vocational Light HDV or vocational Medium HDV using vehicles in Table 3 of this section. For example, if your engines will be installed in vocational Medium HDV and vocational Heavy HDV, you might select Tests 2, 4, 6, and 8 of Table 3 of this section to represent vocational Medium HDV and Tests 2, 3, 4, 6, and 9 of Table 4 of this section to represent vocational Heavy HDV. You may test your engine using additional vehicle configurations with different
(iii) Test nine different vehicle configurations for engines that will be installed in vocational Heavy HDV and for tractors that are not heavy-haul tractors. Test six different vehicle configurations for heavy-haul tractors. You may test your engines for additional configurations with different
(iv) If the engine will be installed in a combination of vehicles defined in paragraphs (c)(3)(ii) and (iii) of this section, use good engineering judgment to select at least nine vehicle configurations from Tables 3 and 4 of this section that best represent the range of vehicles your engine will be sold in. If there are not nine representative configurations you must add vehicles, that you define, to reach a total of at least nine vehicles. For example, if your engines will be installed in vocational Medium HDV and vocational Heavy HDV, select Tests 2, 4, 6 and 8 of Table 3 of this section to represent Medium HDV and Tests 3, 6, and 9 of Table 4 of this section to represent vocational Heavy HDV and add two more vehicles that you define. You may test your engine using additional vehicle configurations with different
(v) Use the defined values in Tables 2 through 5 of this section to set up GEM with the correct regulatory subcategory and vehicle weight reduction, if applicable, to achieve the target vehicle mass, M, for each test.
(4) Use the GEM output of instantaneous engine speed and engine flywheel torque for each of the vehicle configurations to generate a 10 Hz transient duty cycle corresponding to each vehicle configuration operating over each vehicle duty cycle.
(d)
(1) Determine the sequence of engine duty cycles (both required and optional) for the cycle-average-fuel-mapping sequence as follows:
(i) Sort the list of engine duty cycles into three separate groups by vehicle duty cycle; transient vehicle duty cycle, 55 mi/hr highway cruise duty cycle, and the 65 mi/hr highway cruise duty cycle.
(ii) Within each group of engine duty cycles derived from the same vehicle duty cycle, order the duty cycles as follows: Select the engine duty cycle with the highest reference cycle work; followed by the cycle with the lowest cycle work; followed by the cycle with next highest cycle work; followed by the
(iii) For each engine duty cycle, preconditioning cycles will be needed to start the cycle-average-fuel-mapping sequence.
(A) For the first and second cycle in each sequence, the two preconditioning cycles are the first cycle in the sequence, the transient vehicle duty cycle with the highest reference cycle work. This cycle is run twice for preconditioning prior to starting the sequence for either of the first two cycles.
(B) For all other cycles, the two preconditioning cycles are the previous two cycles in the sequence.
(2) If the engine has an adjustable warm idle speed setpoint, set it to its minimum value, f
(3) During each test interval, control speed and torque to meet the cycle validation criteria in 40 CFR 1065.514, except as noted in this paragraph (d)(3). Note that 40 CFR part 1065 does not allow subsampling of the 10 Hz GEM generated reference cycle. If the range of reference speeds is less than 10 percent of the mean reference speed, you only need to meet the standard error of the estimate in Table 2 of 40 CFR 1065.514 for the speed regression.
(4) Warm-up the engine as described in 40 CFR 1065.510(b)(2).
(5) Transition between duty cycles as follows:
(i) For transient duty cycles, start the next cycle within 10 seconds after the conclusion of the preceding cycle. Note that this paragraph (d)(5)(i) applies to transitioning from both the preconditioning cycles and tests for record.
(ii) For cruise cycles, linearly ramp to the next cycle over 5 seconds and stabilize for 15 seconds prior to starting the next cycle. Note that this paragraph (d)(5)(ii) applies to transitioning from both the preconditioning cycles and tests for record.
(6) Operate the engine over the engine duty cycle and record measurements using one of the methods described in paragraph (d)(6)(i) or (ii) of this section. You must also measure and report NO
(i) I
(A) Measure background as described in § 1036.535(b)(7)(i)(A) but read the background as described in paragraph (d)(9)(i) of this section.
(B) Measure background as described in § 1036.535(b)(7)(i)(B) but read the background as described in paragraph (d)(9)(i) of this section.
(ii)
(7) Repeat the steps in paragraph (d)(6) of this section for all the remaining engine duty cycles.
(8) Repeat the steps in paragraphs (d)(4) through (7) of this section for all the applicable groups of duty cycles (
(9) The following provisions apply for interruptions in the cycle-average-fuel-mapping sequence in a way that is intended to produce results equivalent to running the sequence without interruption:
(i) You may pause the cycle-average-fuel-mapping sequence after each test interval to calibrate emission-measurement instrumentation, to read and evacuate background bag samples collected over the course of multiple test intervals, or to sample the dilution air for background emissions. This paragraph (d)(9)(i) requires you to shut-down the engine during the pause. If the pause is longer than 30 minutes, restart the engine and restart the cycle-average-fuel-mapping sequence at the step in paragraph (d)(4) of this section. Otherwise, restart the engine and restart the cycle-average-fuel-mapping sequence at the step in paragraph (d)(5) of this section.
(ii) If an infrequent regeneration event occurs, interrupt the cycle-average-fuel-mapping sequence and allow the regeneration event to finish. You may continue to operate the engine over the engine duty cycle where the event began or, using good engineering judgment, you may transition to another operating condition to reduce the regeneration event duration.
(A) Determine which cycles in the sequence to void as follows:
(1) If the regeneration event began during a test interval, the cycle associated with that test interval must be voided.
(2) If you used dilute sampling to measure emissions and you used batch sampling to measure background emissions that were sampled periodically into the bag over the course of multiple test intervals and you are unable to read the background bag (
(3) If you used dilute sampling to measure emissions and you used the option to sample periodically from the dilution air and you did not meet all the requirements for this option as described in paragraph (d)(6)(i)(B) of this section, void all cycles associated with those background readings.
(4) If the regeneration event began during a non-test-interval period of the sequence and the provisions in paragraphs (d)(9)(ii)(A)(2) and (3) of this section do not apply, you do not need to void any cycles.
(B) Determine the cycle to restart the sequence. Identify the cycle associated with the last valid test interval. The next cycle in the sequence is the cycle to be used to restart the sequence.
(C) Once the regeneration event is finished, restart the sequence at the cycle determined in paragraph (d)(9)(ii)(B) of this section instead of the first cycle of the sequence. If the engine is not already warm, restart the sequence at paragraph (d)(4) of this section. Otherwise, restart at paragraph (d)(5) of this section.
(iii) If the cycle-average-fuel-mapping sequence is interrupted due to test equipment or engine malfunction, correct the malfunction and follow the steps in paragraphs (d)(9)(ii)(A) through (C) of this section to restart the sequence. Treat the detection of the malfunction as the beginning of the regeneration event.
(iv) If any test interval in the cycle-average-fuel-mapping sequence is voided, you must rerun that test interval as described in this paragraph (d)(9)(iv). You may rerun the whole sequence or any contiguous part of the sequence. If you end up with multiple valid test intervals for a given cycle, use the last valid test interval for determining the cycle-average fuel map. If the engine has been shut-down for more than 30 minutes or if it is not already warm, restart the sequence at paragraph (d)(4) of this section. Otherwise, restart at paragraph (d)(5) of this section. Repeat the steps in paragraphs (d)(6) and (7) of this section until you complete the whole sequence or part of the sequence.
(A) If you voided only the test interval associated with the fourth cycle in the sequence, you may restart the sequence using the second and third cycles as the preconditioning cycles and stop after completing the test interval associated with the fourth cycle.
(B) If you voided the test intervals associated with the fourth and sixth cycles, you may restart the sequence using the second and third cycles as the preconditioning cycles and stop after completing the test interval associated with the sixth cycle. If the test interval associated with the fifth cycle in this sequence was valid, it must be used for determining the cycle-average fuel map instead of the original one.
(10) For plug-in hybrid engines, precondition the battery and then complete all back-to-back tests for each vehicle configuration according to 40 CFR 1066.501 before moving to the next vehicle configuration.
(11) You may send signals to the engine controller during the test, such as current transmission gear and vehicle speed, if that allows engine operation during the test to better represent in-use operation.
(12) For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. For plug-in hybrid engines, follow 40 CFR 1066.501 to determine End-of-Test for charge-depleting operation; to do this, you must get our advance approval for a utility factor curve. We will approve your utility factor curve if you can show that you created it from sufficient in-use data of vehicles in the same application as the vehicles in which the plug-in hybrid electric vehicle (PHEV) engine will be installed.
(13) Calculate the fuel mass flow rate,
(i) Determine fuel-consumption rates using emission measurements from the raw or diluted exhaust, calculate the mass of fuel for each duty cycle,
(A) For calculations that use continuous measurement of emissions and continuous CO
(ii) Manufacturers may choose to measure fuel mass flow rate. Calculate the mass of fuel for each duty cycle,
(14) The provisions related to carbon balance error verification in § 1036.543 apply to test intervals in this section.
(15) Correct the measured or calculated fuel mass flow rate,
(16) For engines designed for plug-in hybrid electric vehicles, the mass of fuel for each cycle,
(e)
(1) Your declared fuel mass consumption,
(2) We will determine
(3) Engine output speed per unit vehicle speed,
(4) Positive work determined according to 40 CFR part 1065,
(5) The engine idle speed and torque, by taking the average engine speed and torque measured during the engine test while the vehicle is not moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.
(6) The following table illustrates the GEM data inputs corresponding to the different vehicle configurations for a given duty cycle:
A carbon balance error verification compares independent assessments of the flow of carbon through the system (engine plus aftertreatment). We will, and you may optionally, verify carbon balance error according to 40 CFR 1065.543. This section applies to all test intervals in §§ 1036.535(b), (c), and (d) and 1036.540 and 40 CFR 1037.550.
(a) The standards of this section are determined from the measured emission rate of the test engine of the applicable baseline 2011 engine family or families as described in paragraphs (b) and (c) of this section. Calculate the CO
(b) * * *
(1) * * *
(iii) Calculate separate adjustments for emissions over the SET duty cycle and the transient cycle.
(i) Unless the regulations in this part explicitly allow it, you may not calculate Phase 1 credits more than once for any emission reduction. For example, if you generate Phase 1 CO
(j) Credits you generate with compression-ignition engines in 2020 and earlier model years may be used in model year 2021 and later as follows:
(1) For credit-generating engines certified to the tractor engine standards in § 1036.108, you may use credits calculated relative to the tractor engine standards.
(2) For credit-generating engines certified to the vocational engine standards in § 1036.108, you may optionally carry over adjusted vocational credits from an averaging set, and you may use credits calculated relative to the emission levels in the following table:
(b) * * *
(2) For tractor engines:
(5) You may generate CO
The revisions and additions read as follows:
(b) Symbols for quantities. This part uses the following symbols and units of measure for various quantities:
(c)
(d)
(e)
(f)
(g)
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the
(a) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428–2959, (877) 909–2786,
(1) ASTM D3588–98 (Reapproved 2017)e1, Standard Practice for Calculating Heat Value, Compressibility Factor, and Relative Density of Gaseous Fuels, approved April 1, 2017, (“ASTM D3588”), IBR approved for § 1036.530(b).
(2) ASTM D4809–13, Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), approved May 1, 2013, (“ASTM D4809”), IBR approved for § 1036.530(b).
(b) National Institute of Standards and Technology, 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899–1070, (301) 975–6478, or
(1) NIST Special Publication 811, Guide for the Use of the International System of Units (SI), 2008 Edition, March 2008, IBR approved for § 1036.805.
(2) [Reserved]
(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may review these records at any time. You must promptly give us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.
The following standards, which EPA originally adopted under 40 CFR part 85 or 86, apply to compression-ignition engines produced before model year 2007 and to spark-ignition engines produced before model year 2008:
(a) Smoke. Smoke standards applied for compression-ignition engines based on opacity measurement using the test procedures in 40 CFR part 86, subpart I, as follows:
(1) Engines were subject to the following smoke standards for model years 1970 through 1973:
(i) 40 percent during the engine acceleration mode.
(ii) 20 percent during the engine lugging mode.
(2) The smoke standards in 40 CFR 86.11 started to apply in model year 1974.
(b) Idle CO. A standard of 0.5 percent of exhaust gas flow at curb idle applied through model year 2016 to the following engines:
(1) Spark-ignition engines with aftertreatment starting in model year 1987. This standard applied only for gasoline-fueled engines through model year 1997. Starting in model year 1998, the same standard applied for engines fueled by methanol, LPG, and natural gas. The idle CO standard no longer applied for engines certified to meet onboard diagnostic requirements starting in model year 2005.
(2) Methanol-fueled compression-ignition engines starting in model year 1990. This
(c)
(1) Spark-ignition engines starting in model year 1968. This standard applied only for gasoline-fueled engines through model year 1989, and applied for spark-ignition engines using other fuels starting in model year 1990.
(2) Naturally aspirated diesel-fueled engines starting in model year 1985.
(3) Methanol-fueled compression-ignition engines starting in model year 1990.
(4) Naturally aspirated gaseous-fueled engines starting in model year 1997, and all other gaseous-fueled engines starting in 1998.
(d) Early steady-state standards. The following criteria standards applied to heavy-duty engines based on steady-state measurement procedures:
(e)
(f) Transient emission standards for compression-ignition engines. The following criteria standards applied for compression-ignition engines based on transient measurement using the test procedures in 40 CFR part 86, subpart N. Starting in model year 1991, manufacturers could generate or use emission credits for NO
(a) This appendix specifies transient duty cycles for the engine and powertrain testing described in § 1036.510, as follows:
(1) The transient duty cycle for testing engines involves a schedule of normalized engine speed and torque values.
(2) The transient duty cycles for powertrain testing involves a schedule of vehicle speeds and road grade. Determine road grade at each point based on the peak rated power of the powertrain system,
(b) The following transient duty cycle applies for spark-ignition engines and powertrains:
(c) The following transient duty cycle applies for compression ignition engines and powertrains:
42 U.S.C. 7401–7671q.
(c)
(h) * * *
(1) The following alternative emission standards apply by vehicle type and model year as follows:
(b) The CO
(f) * * *
(2) * * *
(i) If you certify all your Class 7 tractors to Class 8 standards, you may use these Heavy HDV credits without restriction. This paragraph (f)(2)(i) applies equally for hybrid and electric vehicles.
(e)
(1) This paragraph (e) is intended to address air conditioning systems for which the primary purpose is to cool the driver compartment. This would generally include all cab-complete pickups and vans. This paragraph (e) does not apply for refrigeration units on trailers. Similarly, it does not apply for self-contained air conditioning used to cool passengers or refrigeration units used to cool cargo on vocational vehicles. Air conditioning and refrigeration units may be considered self-contained whether or not they draw electrical power from engines used to propel the vehicles. For purposes of this paragraph (e), a self-contained system is an enclosed unit with its own evaporator and condenser even if it draws power from the engine.
(2) For purposes of this paragraph (e), “refrigerant capacity” is the total mass of refrigerant recommended by the vehicle manufacturer as representing a full charge. Where full charge is specified as a pressure, use good engineering judgment to convert the pressure and system volume to a mass.
(3) If air conditioning systems with capacity above 3,000 grams of refrigerant are designed such that a compliance demonstration under 40 CFR 86.1867–12(a) is impossible or impractical, you may ask to use alternative means to demonstrate that your air conditioning system achieves an equivalent level of control.
(b) * * *
(1) * * *
(i) 5 years or 50,000 miles for Light HDV (except tires).
(ii) 5 years or 100,000 miles for Medium HDV and Heavy HDV (except tires).
(g) The standards and other provisions of this part apply to specific vehicle service classes for tractors and vocational vehicles as follows:
(1) Phase 1 and Phase 2 tractors are divided based on GVWR into Class 7 tractors and Class 8 tractors. Where provisions of this part apply to both tractors and vocational vehicles, Class 7 tractors are considered “Medium HDV” and Class 8 tractors are considered “Heavy HDV”. This paragraph (g)(1) applies for electric, hybrid, and non-hybrid vehicles.
(2) Phase 1 vocational vehicles are divided based on GVWR. “Light HDV” includes Class 2b through Class 5 vehicles; “Medium HDV” includes Class 6 and Class 7 vehicles; and “Heavy HDV” includes Class 8 vehicles.
(3) Phase 2 vocational vehicles propelled by engines subject to the spark-ignition standards of 40 CFR part 1036, “Light HDV” includes Class 2b through Class 5 vehicles, and “Medium HDV” includes Class 6 through Class 8 vehicles.
(4) Phase 2 vocational vehicles propelled by engines subject to the compression-ignition standards in 40 CFR part 1036 are divided as follows:
(i) Class 2b through Class 5 vehicles are considered “Light HDV”.
(ii) Class 6 through 8 vehicles are considered “Heavy HDV” if the installed engine's primary intended service class is heavy heavy-duty (see 40 CFR 1036.140).
(iii) Class 8 hybrid and electric vehicles are considered “Heavy HDV”, regardless of the engine's primary intended service class.
(iv) All other Class 6 through Class 8 vehicles are considered “Medium HDV”.
(5) In certain circumstances, you may certify vehicles to standards that apply for a different vehicle service class. For example, see §§ 1037.105(g) and 1037.106(f). If you optionally certify vehicles to different standards, those vehicles are subject to all the regulatory requirements as if the standards were mandatory.
(h) Use good engineering judgment to identify the intended regulatory subcategory (Urban, Multi-Purpose, or Regional) for each of your vocational vehicle configurations based on the expected use of the vehicles.
(c)
(1) Small manufacturers are not subject to the greenhouse gas standards of § 1037.107 for trailers with a date of manufacture before January 1, 2019.
(2) The greenhouse gas standards of §§ 1037.105 and 1037.106 are optional for small manufacturers producing vehicles with a date of manufacture before January 1, 2022. In addition, small manufacturers producing vehicles that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later standard under this part by one model year.
(3) Qualifying manufacturers must notify the Designated Compliance Officer each model year before introducing excluded vehicles into U.S. commerce. This notification must include a description of the manufacturer's qualification as a small business under 13 CFR 121.201. Manufacturers must label excluded vehicles with the following statement: “THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).”
(4) Small manufacturers may meet Phase 1 standards instead of Phase 2 standards in the first year Phase 2 standards apply to them if they voluntarily comply with the Phase 1 standards for the full preceding year. Specifically, small manufacturers may certify their model year 2022 vehicles to the Phase 1 greenhouse gas standards of §§ 1037.105 and 1037.106 if they certify all the vehicles from their annual U.S.-directed production volume to the Phase 1 standards starting on or before January 1, 2021.
(5) See paragraphs (r), (t), (y), and (aa) of this section for additional allowances for small manufacturers.
(q) * * *
(2) For vocational vehicles and tractors subject to Phase 2 standards, create separate vehicle subfamilies if there is a credit multiplier for advanced technology; group those vehicles together in a vehicle subfamily if they use the same multiplier.
(s)
(u)
(x)
(y)
(1) For vocational Light HDV and vocational Medium HDV, emission credits you generate in model years 2018 through 2021 may be used through model year 2027, instead of being limited to a five-year credit life as specified in § 1037.740(c). For Class 8 vocational vehicles with medium heavy-duty engines, we will approve your request to generate these credits in and use these credits for the Medium HDV averaging set if you show that these vehicles would qualify as Medium HDV under the Phase 2 program as described in § 1037.140(g)(4).
(2) You may use the off-cycle provisions of § 1037.610 to apply technologies to Phase 1 vehicles as follows:
(i) You may apply an improvement factor of 0.988 for tractors and vocational vehicles with automatic tire inflation systems on all axles.
(ii) For vocational vehicles with automatic engine shutdown systems that conform with § 1037.660, you may apply an improvement factor of 0.95.
(iii) For vocational vehicles with stop-start systems that conform with § 1037.660, you may apply an improvement factor of 0.92.
(iv) For vocational vehicles with neutral-idle systems conforming with § 1037.660, you may apply an improvement factor of 0.98. You may adjust this improvement factor if we approve a partial reduction under § 1037.660(a)(2); for example, if your design reduces fuel consumption by half as much as shifting to neutral, you may apply an improvement factor of 0.99.
(3) Small manufacturers may generate emission credits for natural gas-fueled vocational vehicles as follows:
(i) Small manufacturers may certify their vehicles instead of relying on the exemption of paragraph (c) of this section. The provisions of this part apply for such vehicles, except as specified in this paragraph (y)(3).
(ii) Use GEM version 2.0.1 to determine a CO
(4) Phase 1 vocational vehicle credits that small manufacturers generate may be used through model year 2027.
(z)
(1) Select the Regional regulatory subcategory if you certify the engine based on testing only with the Supplemental Emission Test.
(2) Select the Regional regulatory subcategory for coach buses and motor homes you certify under § 1037.105(b).
(3) You may not select the Urban regulatory subcategory for any vehicle with a manual or single-clutch automated manual transmission.
(4) Starting in model year 2024, you must select the Regional regulatory subcategory for any vehicle with a manual transmission.
(5) You may select the Multi-purpose regulatory subcategory for any vocational vehicle, except as specified in paragraphs (z)(1) through (3) of this section.
(6) You may not select the Urban regulatory subcategory for any vehicle with a manual or single-clutch automated manual transmission.
(7) You may select the Urban regulatory subcategory for a hybrid vehicle equipped with regenerative braking, unless it is equipped with a manual transmission.
(8) You may select the Urban regulatory subcategory for any vehicle with a hydrokinetic torque converter paired with an automatic transmission, or a continuously variable automatic transmission, or a dual-clutch transmission with no more than two consecutive forward gears between which it is normal for both clutches to be momentarily disengaged.
(aa)
(1) You may use emission credits generated under § 1037.105(d), including banked or traded credits from any averaging set. Such credits remain subject to other limitations that apply under subpart H of this part.
(2) You may produce up to 200 drayage tractors in a given model year to the standards described in § 1037.105(h) for “other buses”. The limit in this paragraph (aa)(2) applies with respect to vehicles produced by you and your affiliated companies. Treat these drayage tractors as being in their own averaging set.
(h) The certification and testing provisions of 40 CFR part 86, subpart S, apply instead of the provisions of this subpart relative to the evaporative and refueling emission standards specified in § 1037.103, except that § 1037.243 describes how to demonstrate compliance with evaporative emission standards. For vehicles that do not use an evaporative canister for controlling diurnal emissions, you may certify with respect to exhaust emissions and use the provisions of § 1037.622 to let a different company certify with respect to evaporative emissions.
(e) Describe any test equipment and procedures that you used, including any special or alternate test procedures you used (see § 1037.501). Include information describing the procedures
(f) Describe how you operated any emission-data vehicle before testing, including the duty cycle and the number of vehicle operating miles used to stabilize emission-related performance. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did, and any practices or specifications that should apply for our testing.
(e) The amended application applies starting with the date you submit the amended application, as follows:
(1) For vehicle families already covered by a certificate of conformity, you may start producing a new or modified vehicle configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected vehicles do not meet applicable requirements in this part, we will notify you to cease production of the vehicles and may require you to recall the vehicles at no expense to the owner. Choosing to produce vehicles under this paragraph (e) is deemed to be consent to recall all vehicles that we determine do not meet applicable emission standards or other requirements in this part and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified vehicles.
(2) [Reserved]
(a) * * *
(2) Apply subcategories for tractors (other than vocational tractors) as shown in Table 2 of this section.
(i) For vehicles certified to the optional tractor standards in § 1037.670, assign the subcategories as described in § 1037.670.
(ii) For vehicles intended for export to Canada, you may assign the subcategories as specified in the Canadian regulations.
(iii) Table 2 follows:
(b) * * *
(7) Number of available forward gears, and transmission gear ratio for each available forward gear, if applicable. Count forward gears as being available only if the vehicle has the hardware and software to allow operation in those gears.
(a) Select emission-data vehicles that represent production vehicles and components for the vehicle family consistent with the specifications in §§ 1037.205(o), 1037.515, and 1037.520. Where the test results will represent multiple vehicles or components with different emission performance, use good engineering judgment to select worst-case emission data vehicles or components. In the case of powertrain testing under § 1037.550, select a test engine, test hybrid components, test axle, and test transmission as applicable, by considering the whole range of vehicle models covered by the powertrain family and the mix of duty cycles specified in § 1037.510. If the powertrain has more than one transmission calibration, for example economy vs. performance, you may weight the results from the powertrain testing in § 1037.550 by the percentage of vehicles in the family by prior model year for each configuration. This can be done, for example, through the use of survey data or based on the previous model year's sales volume. Weight the results of
(c) * * *
(2) If we measure emissions (or other parameters, as applicable) from your vehicle or component, the results of that testing become the official emission results for the vehicle or component. Note that changing the official emission result does not necessarily require a change in the declared modeling input value. These results will only affect your vehicle FEL if the results of our confirmatory testing result in a GEM vehicle emission value that is higher than the vehicle FEL declared by the manufacturer. Unless we later invalidate these data, we may decide not to consider your data in determining if your vehicle family meets applicable requirements in this part.
(h) You may ask us to use analytically derived GEM inputs for untested configurations (such as untested axle ratios within an axle family) as identified in subpart F of this part based on interpolation of all relevant measured values for related configurations, consistent with good engineering judgment. We may establish specific approval criteria based on prevailing industry practice. If we allow this, we may test any configuration. We
(c) Apply deterioration factors to measured emission levels for comparing to the emission standard in subpart B of this part. Establish an additive deterioration factor based on an engineering analysis that takes into account the expected aging from in-use vehicles.
(a) If we determine an application is complete and shows that the vehicle family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the vehicle family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that a vehicle family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny an application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce vehicles for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all vehicles being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1037.820).
(b) A selective enforcement audit for this part consists of performing measurements with production vehicles relative to one or more declared values for GEM inputs, and using those measured values in place of your declared values to run GEM. Except as specified in this subpart, the vehicle is considered passing if the new modeled emission result is at or below the modeled emission result corresponding to the declared GEM inputs. If you report an FEL for the vehicle configuration before the audit, we will instead consider the vehicle passing if the new cycle-weighted emission result is at or below the FEL.
To perform a selective enforcement audit with respect to drag area for tractors, use the reference method specified in § 1037.525; we may instead require you to use the same method you used for certification. The following provisions apply instead of 40 CFR 1068.415 through 1068.425 for a selective enforcement audit with respect to drag area:
(a) Determine whether a tractor meets standards as follows:
(1) We will select a vehicle configuration for testing. Perform a coastdown measurement according to § 1037.528 with the vehicle in its production configuration. If the production configuration cannot be connected to a standard trailer, you may ask us to approve trailer specifications different than § 1037.501(g)(1) based on good engineering judgment. Instead of the process described in § 1037.528(h)(12), determine your test result as described in this paragraph (a). You must have an equal number of runs in each direction.
(2) Measure a yaw curve for your test vehicle using your alternate method according to § 1037.525(b)(3). You do not need to test at the coastdown effective yaw angle. You may use a previously established yaw curve from your certification testing if it is available.
(3) Using the yaw curve, perform a regression using values of drag area,
(4) Adjust the drag area value from each coastdown run,
(5) Perform additional coastdown measurements until you reach a pass or fail decision under this paragraph (a). The minimum number of runs to pass is 24. The minimum number of runs to fail is 100.
(6) Calculate statistical values to characterize cumulative test results at least once per day based on an equal number of coastdown runs in each direction. Determine the wind-averaged drag area value for the test
(7) Determine compliance based on the values of
(i) The vehicle passes if
(ii) The vehicle fails if
(iii) The vehicle passes if you perform 100 coastdown runs and
(iv) The vehicle fails if you choose to stop testing before reaching a final determination under this paragraph (a)(7).
(v) You may continue testing beyond the stopping point specified in this paragraph (a)(7). We may consider the additional data in making pass/fail determinations.
Selective enforcement audit provisions apply for axles and transmissions relative to the efficiency demonstrations of §§ 1037.560 and 1037.565 as specified in this section. The following provisions apply instead of 40 CFR 1068.415 through 1068.445 for the selective enforcement audit.
(a) A selective enforcement audit for axles or transmissions would consist of performing measurements with a production axle or transmission to determine mean power loss values as declared for GEM simulations, and running GEM over one or more applicable duty cycles based on those measured values. The axle or transmission is considered passing for a given configuration if the new modeled emission result for every applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs.
(b) Run GEM for each applicable vehicle configuration identified in 40 CFR 1036.540 using the applicable default engine map defined in appendix C of 40 CFR part 1036, and the default torque curve given in Table 1 of this section for the vehicle class as defined in § 1037.140(g). For axle testing, this may require omitting several vehicle configurations based on selecting axle ratios that correspond to the tested axle. For transmission testing, use the test transmission's gear ratios in place of the gear ratios defined in 40 CFR 1036.540. The GEM result for each vehicle configuration counts as a separate test for determining whether the family passes the audit.
(c) If the initial axle or transmission passes, the family passes and no further testing is required. If the initial axle or transmission does not pass, select two additional production axles or transmissions, as applicable, to perform additional tests. Note that these could be different axle and transmission configurations within the family. These become official test results for the family. Use good engineering judgment to use the results of these tests to update the declared maps for the axle or transmission family. For example, if you fail the audit test for any of the axles or transmissions tested, the audit result becomes the declared map. This may also require revising any analytically derived maps.
(i) Note that declared GEM inputs for fuel maps and aerodynamic drag area typically includes compliance margins to account for testing variability; for other measured GEM inputs, the declared values are typically the measured values without adjustment.
(a) * * *
(2) Perform cycle-average engine fuel mapping as described in 40 CFR 1036.540. For powertrain testing under § 1037.550 or § 1037.555, perform testing as described in this paragraph (a)(2) to generate GEM inputs for each simulated vehicle configuration, and test runs representing different idle conditions. Perform testing as follows:
(i)
(ii)
(iii)
(iv)
(c) * * *
(3) Table 1 follows:
(d) For transient testing, compare actual second-by-second vehicle speed with the speed specified in the test cycle and ensure any differences are consistent with the criteria as specified in 40 CFR 1066.425(b) and (c). If the speeds do not conform to these criteria, the test is not valid and must be repeated.
(e) Run test cycles as specified in 40 CFR part 1066. For testing vehicles equipped with cruise control over the highway cruise cycles, you may use the vehicle's cruise control to control the vehicle speed. For vehicles equipped with adjustable vehicle speed limiters, test the vehicle with the vehicle speed limiter at its highest setting.
(c)
(d) * * *
(2) Apply weight reductions for other components made with light-weight materials as shown in the following table:
This section describes how to use the Greenhouse gas Emissions Model (GEM) (incorporated by reference in § 1037.810) to show compliance with the CO
(a)
(1) GEM inputs apply for Phase 1 standards as follows:
(i) Model year and regulatory subcategory (see § 1037.230).
(ii) Coefficient of aerodynamic drag or drag area, as described in paragraph (b) of this section (tractors only).
(iii) Steer and drive tire rolling resistance, as described in paragraph (c) of this section.
(iv) Vehicle speed limit, as described in paragraph (d) of this section (tractors only).
(v) Vehicle weight reduction, as described in paragraph (e) of this section (tractors only for Phase 1).
(vi) Automatic engine shutdown systems, as described in § 1037.660 (only for Class 8 sleeper cabs). Enter a GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in § 1037.660.
(2) For Phase 2 vehicles, the GEM inputs described in paragraphs (a)(1)(i) through (v) of this section continue to apply. Note that the provisions in this part related to vehicle speed limiters and automatic engine shutdown systems are available for vocational vehicles in Phase 2. The rest of this section describes additional GEM inputs for demonstrating compliance with Phase 2 standards. Simplified versions of GEM apply for limited circumstances as follows:
(i) You may use default engine fuel maps for glider kits as described in § 1037.635.
(ii) If you certify vehicles to the custom-chassis standards specified in § 1037.105(h), run GEM by identifying the vehicle type and entering “NA” instead of what would otherwise apply for, tire revolutions per mile, engine information, transmission information, drive axle ratio, axle efficiency, and aerodynamic improvement as specified in paragraphs (c)(1), (f), (g)(1) and (3), (i), and (m) of this section, respectively. Incorporate other GEM inputs as specified in this section.
(b)
(1) Except as specified in paragraph (b)(2) of this section, determine the Phase 1 bin level for your vehicle based on measured
(2) For Phase 1 low- and mid-roof tractors, you may instead determine your drag area bin based on the drag area bin of an equivalent high-roof tractor. If the high-roof tractor is in Bin I or Bin II, then you may assume your equivalent low- and mid-roof tractors are in Bin I. If the high-roof tractor is in Bin III, Bin IV, or Bin V, then you may assume your equivalent low- and mid-roof tractors are in Bin II.
(3) For Phase 2 tractors other than heavy-haul tractors, determine bin levels and
(i) Determine bin levels for high-roof tractors based on aerodynamic test results as specified in § 1037.525 and summarized in the following table:
(ii) For low- and mid-roof tractors, you may either use the same bin level that applies for an equivalent high-roof tractor as shown in Table 3 of this section, or you may determine your bin level based on aerodynamic test results as described in Table 4 of this section.
(iii) Determine the
(4) Note that, starting in model year 2027, GEM internally reduces
(c)
(1) Use good engineering judgment to determine a tire's revolutions per mile to the nearest whole number as specified in SAE J1025 (incorporated by reference in § 1037.810). Note that for tire sizes that you do not test, we will treat your analytically derived revolutions per mile the same as test results, and we may perform our own testing to verify your values. We may require you to test a sample of additional tire sizes that we select.
(2) Measure tire rolling resistance in kg per metric ton as specified in ISO 28580 (incorporated by reference in § 1037.810), except as specified in this paragraph (c). Use good engineering judgment to ensure that your test results are not biased low. You may ask us to identify a reference test laboratory to which you may correlate your test results. Prior to beginning the test procedure in Section 7 of ISO 28580 for a new bias-ply tire, perform a break-in procedure by running the tire at the specified test speed, load, and pressure for 60 ± 2 minutes.
(3) For each tire design tested, measure rolling resistance of at least three different tires of that specific design and size. Perform the test at least once for each tire. Calculate the arithmetic mean of these results to the nearest 0.1 kg/tonne and use this value or any higher value as your GEM input for TRRL. You must test at least one tire size for each tire model, and may use engineering analysis to determine the rolling resistance of other tire sizes of that model. Note that for tire sizes that you do not test, we will treat your analytically derived rolling resistances the same as test results, and we may perform our own testing to verify your values. We may require you to test a small sub-sample of untested tire sizes that we select.
(4) If you obtain your test results from the tire manufacturer or another third party, you must obtain a signed statement from the party supplying those test results to verify that tests were conducted according to the requirements of this part. Such statements are deemed to be submissions to EPA.
(5) For tires marketed as light truck tires that have load ranges C, D, or E, use as the GEM input TRRL multiplied by 0.87.
(6) For vehicles with at least three drive axles or for vehicles with more than three axles total, use good engineering judgment to combine tire rolling resistance into three values (steer, drive 1, and drive 2) for use in GEM. This may require performing a weighted average of tire rolling resistance from multiple axles based on the typical load on each axle. For liftable axles, calculate load- and time-weighted values to represent the load and the amount of time these tires are in contact with the ground during typical in-use operation.
(7) For vehicles with a single rear axle, enter “NA” as the TRRL value for drive axle 2.
(d)
(e)
(1) Vehicle weight reduction inputs for wheels are specified relative to dual-wide tires with conventional steel wheels. For purposes of this paragraph (e)(1), an aluminum alloy qualifies as light-weight if a dual-wide drive wheel made from this material weighs at least 21 pounds less than a comparable conventional steel wheel. The inputs are listed in Table 6 of this section. For example, a tractor or vocational vehicle with aluminum steer wheels and eight (4×2) dual-wide aluminum drive wheels would have an input of 210 pounds (2×21 + 8×21).
(2) Weight reduction inputs for tractor components other than wheels are specified in the following table:
(3) Weight-reduction inputs for vocational-vehicle components other than wheels are specified in the following table:
(4) Apply vehicle weight inputs for changing technology configurations as follows:
(i) For Class 8 tractors or for Class 8 vocational vehicles with a permanent 6x2 axle configuration, apply a weight reduction input of 300 pounds. However, apply no weight reduction for coach buses certified to custom-chassis standards under § 1037.105(h).
(ii) For Class 8 tractors with 4x2 axle configuration, apply a weight reduction input of 400 pounds.
(iii) For tractors with installed engines with displacement below 14.0 liters, apply a weight reduction of 300 pounds.
(iv) For tractors with single-piece driveshafts with a total length greater than 86 inches, apply a weight reduction of 43 pounds for steel driveshafts and 63 pounds for aluminum driveshafts.
(5) You may ask to apply the off-cycle technology provisions of § 1037.610 for weight reductions not covered by this paragraph (e).
(f)
(g)
(1) Transmission make, model, and type. Also identify the gear ratio for every available forward gear to two decimal places, the input torque limit for each of the forward gears, and, if applicable, the lowest gear involving a locked torque converter. Count forward gears as being available only if the vehicle has the hardware and software to allow operation in those gears. For vehicles with a manual transmission, GEM applies a 2% emission increase relative to automated manual transmissions. If your vehicle has a dual-clutch transmission, use good engineering judgment to determine if it can be accurately represented in GEM as an automated manual transmission. We may require you to perform a powertrain test with dual-clutch transmissions to show that they can be properly simulated as an automated manual transmission.
(2) Drive axle make, model, and configuration. Select a drive axle configuration to represent your vehicle for modeling.
(i) 4x2: One drive axle and one non-drive axle. This includes vehicles with two drive axles where one of the drive axles is disconnectable and that disconnectable drive axle is designed to be connected only when the vehicle is driven off-road or in slippery conditions if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically disconnected from the drive shaft and the wheels when the axle is in 4x2 configuration.
(B) You provide power loss data generated according to § 1037.560 for the combination of both drive axles, where the disconnectable drive axle is in the disconnected configuration.
(ii) 6x2: One drive axle and two non-drive axles.
(iii) 6x4: Two or more drive axles, or more than three total axles. Note that this includes, for example, a vehicle with two drive axles out of four total axles (otherwise known as an 8x4 configuration).
(iv) 6x4D: One non-drive axle and two drive axles where one of the two drive axles is automatically disconnectable such that the axle can switch between 6x2 and 6x4 configurations. You may select this configuration only if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically disconnected from the drive shaft and the wheels when the axle is in the 6x2 configuration.
(B) You provide power loss data generated according to § 1037.560 for the combination of both drive axles, where the disconnectable drive axle is in the disconnected configuration.
(3) Drive axle ratio,
(4) GEM inputs associated with powertrain testing include powertrain family, transmission calibration identifier, test data from § 1037.550, and the powertrain test configuration (dynamometer connected to transmission output or wheel hub). You do not need to identify or provide inputs for transmission gear ratios, fuel map data, or engine torque curves, which would otherwise be required under paragraph (f) of this section.
(h)
(1) For engines with no adjustable warm idle speed, input vehicle idle speed as the manufacturer's declared warm idle speed. For engines with adjustable warm idle speed, input your vehicle idle speed as follows:
(2) Identify whether your vehicle has qualifying idle-reduction technologies, subject to the qualifying criteria in § 1037.660, as follows:
(i) Stop-start technology and automatic engine shutdown systems apply for vocational vehicles. See paragraph (j) of this section for automatic engine shutdown systems for tractors.
(ii) Neutral idle applies for tractors and vocational vehicles.
(i)
(j)
(1)
(2)
(i) If vocational vehicles have electrically powered pumps for steering, enter 0.5 for vocational vehicles certified with the Regional duty cycle, and enter 1 for other vocational vehicles.
(ii) If tractors have electrically powered pumps for both steering and engine cooling, enter 1.
(iii) If vehicles have a high-efficiency air conditioning compressor, enter 0.5 for tractors and vocational Heavy HDV, and enter 1 for other vocational vehicles. This includes all electrically powered compressors. It also include mechanically powered compressors if the coefficient of performance improves by 10 percent or greater over the baseline design, consistent with the provisions for improved evaporators and condensers in 40 CFR 86.1868–12(h)(5).
(3)
(4)
(5)
(i) Enter 0.9 and 1.7, respectively, for school buses and coach buses that have at least seven available forward gears.
(ii) If we approve off-cycle technology under § 1037.610 in the form of an improvement factor, enter the improvement factor expressed as a percentage reduction in CO
(k)
(l) [Reserved]
(m)
(1) Enter 0.2 for vocational vehicles with an installed rear fairing if the vehicle is at least 7 m long with a minimum frontal area of 8 m
(2) For vehicles at least 11 m long with a minimum frontal area of 9 m
(3) You may determine input values for these or other technologies based on
(n)
This section describes a methodology for quantifying aerodynamic drag for use in determining input values for tractors as described in § 1037.520. This coastdown testing is the reference method for aerodynamic measurements.
(a)
(1) Aerodynamic measurements may involve any of several different procedures. Measuring with different procedures introduces variability, so we identify the coastdown method in § 1037.528 as the primary (or reference) procedure. You may use other procedures with our advance approval as described in paragraph (d) of this section, but we require that you adjust your test results from other test methods to correlate with coastdown test results. All adjustments must be consistent with good engineering judgment. Submit information describing how you quantify aerodynamic drag from coastdown testing, whether or not you use an alternate method.
(2) Test high-roof tractors with a standard trailer as described in § 1037.501(g)(1). Note that the standard trailer for Phase 1 tractors is different from that of later model years. Note also that GEM may model a different configuration than the test configuration, but accounts for this internally. Test low-roof and mid-roof tractors without a trailer; however, you may test low-roof and mid-roof tractors with a trailer to evaluate off-cycle technologies.
(b)
(1) Determine the functional relationship between your alternate method and coastdown testing. Specify this functional relationship as
(2) Unless good engineering judgment dictates otherwise, assume that coastdown drag is proportional to drag measured using alternate methods and apply a constant adjustment factor,
(3) Determine
(4) Measure the drag area using your alternate method for a Phase 2 tractor used to determine
(5) For Phase 2 testing, determine separate values of
(6) Determine
(7) If a tractor and trailer cannot be configured to meet the gap requirements specified in § 1037.501(g)(1)(ii), test with the trailer positioned as close as possible to the specified gap dimension and use good engineering judgment to correct the results to be equivalent to a test configuration meeting the specified gap dimension. For example, we may allow you to correct your test output using an approved alternate method or substitute a test vehicle that is capable of meeting the required specifications and is otherwise aerodynamically equivalent. This allowance applies for certification, confirmatory testing, SEA, and all other testing to demonstrate compliance with standards.
(8) You may ask us for preliminary approval of your coastdown testing under § 1037.210. We may witness the testing.
(c)
(1) Apply the following method for all Phase 2 testing with an alternate method:
(i) Calculate the wind-averaged drag area from the alternate method,
(ii) Determine your wind-averaged drag area,
(2) Apply the following method for Phase 2 coastdown testing other than coastdown testing used to establish
(i) Determine your drag area at the effective yaw angle from coastdown,
(ii) Use an alternate method to calculate the ratio of the wind-averaged drag area,
(iii) Determine your wind-averaged drag area,
(3) Different approximations apply for Phase 1. For Phase 1 testing, you may correct your zero-yaw drag area as follows if the ratio of the zero-yaw drag area divided by yaw-sweep drag area for your vehicle is greater than 0.8065 (which represents the ratio expected for a typical Class 8 high-roof sleeper cab):
(i) Determine the zero-yaw drag area,
(ii) Calculate your yaw-sweep correction factor,
(iii) Calculate your corrected drag area for determining the aerodynamic bin by multiplying the measured zero-yaw drag area by
(iv) You may ask us to apply
(v) As an alternative, you may calculate the wind-averaged drag area according to SAE J1252 (incorporated by reference in § 1037.810) and substitute this value into Eq. 1037.525–4 for the ±6° drag area.
(d)
(1) Official name/title of the procedure.
(2) Description of the procedure.
(3) Cited sources for any standardized procedures that the method is based on.
(4) Description and rationale for any modifications/deviations from the standardized procedures.
(5) Data comparing the procedure to the coastdown reference procedure.
(6) Additional information specified for the alternate methods described in §§ 1037.530 through 1037.534 as applicable to this method (
The coastdown procedures in this section describe how to calculate drag area,
(a) The terms and variables identified in this section have the meaning given in SAE J1263 and SAE J2263 unless specified otherwise.
(c) The test condition specifications described in Sections 7.1 through 7.4 of
(e) Measure wind speed, wind direction, air temperature, and air pressure at a recording frequency of 10 Hz, in conjunction with time-of-day data. Use at least one stationary anemometer and suitable data loggers meeting SAE J1263 specifications, subject to the following additional specifications for the anemometer placed along the test surface:
(g) * * *
(3) Correct measured air direction from all the high-speed segments using the wind speed and wind direction measurements described in paragraph (e) of this section as follows:
(h) * * *
(3) * * *
(i) Calculate the mean vehicle speed to represent the start point of each speed range as the arithmetic average of measured speeds throughout the continuous time interval that begins when measured vehicle speed is less than 2.00 mi/hr above the nominal starting speed point and ends when measured vehicle speed reaches 2.00 mi/hr below the nominal starting speed point, expressed to at least two decimal places. Calculate the timestamp corresponding to the starting point of each speed range as the average timestamp of the interval.
(6) For tractor testing, calculate the tire rolling resistance force at high and low speeds for steer, drive, and trailer axle positions,
(i) Conduct a stepwise coastdown tire rolling resistance test with three tires for each tire model installed on the vehicle using SAE J2452 (incorporated by reference in § 1037.810) for the following test points (which replace the test points in Table 3 of SAE J2452):
(ii) Calculate FTRR[speed,axle] using the following equation:
(iii) Calculate
(iv) Adjust
(v) Determine the difference in rolling resistance between 65 mph and 15 mph, Δ
(12) * * *
(v) For the same set of points, recalculate the mean
(d) * * *
(7) Fan section description: fan type, diameter, power, maximum angular speed, maximum speed, support type, mechanical drive, and sectional total weight.
(a) For Phase 2 vehicles, use SAE J2966 (incorporated by reference in § 1037.810), with the following clarifications and exceptions:
(1) Vehicles are subject to the requirement to meet standards based on the average of testing at yaw angles of +4.5° and −4.5°; however, you may submit your application for certification with CFD results based on only one of those yaw angles.
(2) For CFD code with a Navier-Stokes based solver, follow the additional steps in paragraph (d) of this section. For Lattice-Boltzmann based CFD code, follow the additional steps in paragraph (e) of this section.
(3) Simulate a Reynolds number of 5.1 million (based on a 102-inch trailer width) and an air speed of 65 mi/hr.
(4) Perform an open-road simulation (not the Wind Tunnel Simulation).
(5) Use a free stream turbulence intensity of 0.0%.
(6) Choose time steps that can accurately resolve intrinsic flow instabilities, consistent with good engineering judgment.
(7) The result must be drag area (
(8) Submit information as described in paragraph (g) of this section.
(c) * * *
(1) Measure torque at each of the drive wheels using a hub torque meter or a rim torque meter. If testing a tractor with two drive axles, you may disconnect one of the drive axles from receiving torque from the driveshaft, in which case you would measure torque at only the wheels that receive torque from the driveshaft. Set up instruments to read engine speed for calculating angular speed at the point of the torque measurements, or install instruments for measuring the angular speed of the wheels directly.
(2) Install instrumentation to measure vehicle speed at 10 Hz, with an accuracy and resolution of 0.1 mi/hr. Also install instrumentation for reading engine speed from the engine's onboard computer.
(d) * * *
(4) * * *
(i) Measure the angular speed of the driveshaft, axle, or wheel where the torque is measured, or calculate it from engine speed in conjunction with gear and axle ratios, as applicable.
(f) * * *
(4) * * *
(iv) Calculate
(b) * * *
(3) Denormalize the PTO duty cycle in appendix II of this part using the following equation:
(8) Measured pressures must meet the cycle-validation specifications in the following table for each test run over the duty cycle:
(d) * * *
(2) For fractions of a test, use the following equation to calculate the time:
(e) * * *
(2) Divide the CO
(f) For Phase 2, calculate the delta PTO fuel results for input into GEM during vehicle certification as follows:
(1) Calculate fuel consumption in grams per test,
(2) Divide the fuel mass by the applicable distance determined in paragraph (d)(4) of this section and the appropriate standard payload as defined in § 1037.801 to determine the fuel rate in g/ton-mile.
(3) For plug-in hybrid electric vehicles calculate the utility factor weighted fuel consumption in g/ton-mile, as follows:
(i) Determine the utility factor fraction for the PTO system from the table in appendix V of this part using interpolation based on the total time of the charge-depleting portion of the test as determined in paragraphs (c)(6) and (d)(3) of this section.
(ii) Weight the emissions from the charge-sustaining and charge-depleting portions of the test using the following equation:
(4) Calculate the difference between the conventional PTO emissions result and the hybrid PTO emissions result for input into GEM.
This section describes the procedure to measure fuel consumption and create engine fuel maps by testing a powertrain that includes an engine coupled with a transmission, drive axle, and hybrid components or any assembly with one or more of those hardware elements. Engine fuel maps are part of demonstrating compliance with Phase 2 vehicle standards under this part; the powertrain test procedure in this section is one option for generating this fuel-mapping information as described in 40
(a)
(1) Measure NO
(2) The procedures of 40 CFR part 1065 apply for testing in this section except as specified. This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(3) Powertrain testing depends on models to calculate certain parameters. You can use the detailed equations in this section to create your own models, or use the GEM HIL model (incorporated by reference in § 1037.810) to simulate vehicle hardware elements as follows:
(i) Create driveline and vehicle models that calculate the angular speed setpoint for the test cell dynamometer, ƒ
(ii) Create a driver model or use the GEM HIL model's driver submodel to simulate a human driver modulating the throttle and brake pedals to follow the test cycle as closely as possible.
(iii) Create a cycle-interpolation model or use the GEM HIL model's cycle submodel to interpolate the duty-cycles and feed the driver model the duty-cycle reference vehicle speed for each point in the duty-cycle.
(4) The powertrain test procedure in this section is designed to simulate operation of different vehicle configurations over specific duty cycles. See paragraphs (h) and (j) of this section.
(5) For each test run, record engine speed and torque as defined in 40 CFR 1065.915(d)(5) with a minimum sampling frequency of 1 Hz. These engine speed and torque values represent a duty cycle that can be used for separate testing with an engine mounted on an engine dynamometer under § 1037.551, such as for a selective enforcement audit as described in § 1037.301.
(6) For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. For PHEV powertrains, follow 40 CFR 1066.501 to determine End-of-Test for charge-depleting operation. You must get our approval in advance for your utility factor curve; we will approve it if you can show that you created it from sufficient in-use data of vehicles in the same application as the vehicles in which the PHEV powertrain will be installed.
(b)
(1) The default test configuration consists of a powertrain with all components upstream of the axle. This involves connecting the powertrain's output shaft directly to the dynamometer or to a gear box with a fixed gear ratio and measuring torque at the axle input shaft. You may instead set up the dynamometer to connect at the wheel hubs and measure torque at that location. The preceding sentence may apply if your powertrain configuration requires it, such as for hybrid powertrains or if you want to represent the axle performance with powertrain test results.
(2) For testing hybrid engines, connect the engine's crankshaft directly to the dynamometer and measure torque at that location.
(c)
(d)
(e)
(f)
(1)
(2)
(i) The transmission submodel needs the following model inputs:
(A) Torque measured at the engine's crankshaft.
(B) Engine estimated torque determined from the electronic control module or by converting the instantaneous operator demand to an instantaneous torque in N·m.
(C) Dynamometer mode when idling (speed-control or torque-control).
(D) Measured engine speed when idling.
(E) Transmission output angular speed, ƒ
(ii) The transmission submodel generates the following model outputs:
(A) Dynamometer target speed.
(B) Dynamometer idle load.
(C) Transmission engine load limit.
(D) Engine speed target.
(3)
(4)
(g)
(1) The driver model must meet the speed requirements for operation over the highway cruise cycles as described in § 1037.510 and for operation over the transient cycle as described in 40 CFR 1066.425(b). The exceptions in 40 CFR 1066.425(b)(4) apply to the transient cycle and the highway cruise cycles.
(2) Send a brake signal when operator demand is zero and vehicle speed is greater than the reference vehicle speed from the test cycle. Include a delay before changing the brake signal to prevent dithering, consistent with good engineering judgment.
(3) Allow braking only if operator demand is zero.
(4) Compensate for the distance driven over the duty cycle over the course of the test. Use the following equation to perform the compensation in real time to determine your time in the cycle:
(h)
(1) Determine the vehicle model inputs for
(2) For hybrid powertrain systems where the transmission will be simulated, use the transmission parameters defined in Table 1 of 40 CFR 1036.540 to determine transmission type and gear ratio. Use a fixed transmission efficiency of 0.95. The GEM HIL transmission model uses a transmission parameter file for each test that includes the transmission type, gear ratios, lockup gear, torque limit per gear from Table 1 of 40 CFR 1036.540, and the values from 40 CFR 1036.503(b)(4) and (c).
(i) [Reserved]
(j)
(1) Understand “engine” to mean “powertrain”.
(2) If the preceding duty cycle does not end at 0 mi/hr, transition between duty cycles by decelerating at a rate of 2 mi/hr/s at 0% grade until the vehicle reaches zero speed. Shut off the powertrain. Prepare the powertrain and test cell for the next duty-cycle. Start the next duty-cycle within 60 to 180 seconds after shutting off the powertrain. Do not run the powertrain or change its physical state before starting the next duty cycle. If the next duty cycle begins at 0 mi/hr vehicle speed, key on the vehicle and start the duty-cycle after 10 seconds, otherwise key on the vehicle and transition to the next duty cycle by accelerating at a rate of 1 mi/hr/s at 0% grade for vehicle configurations given in Table 2 of 40 CFR 1036.540 or 2 mi/hr/s at 0% grade for vehicle configurations given in Tables 3 and 4 of 40 CFR 1036.540, then stabilize for 10 seconds at the initial duty cycle conditions.
(3) Calculate cycle work using GEM or the speed and torque from the driveline and vehicle models from paragraph (f) of this section to determine the sequence of duty cycles.
(4) Calculate the mass of fuel consumed for idle duty cycles as described in paragraph (n) of this section.
(5) Warm up the powertrain as described in 40 CFR 1036.527(c)(1).
(k)
(l) [Reserved]
(m)
(n)
(1) Measure fuel consumption with a fuel flow meter and report the mean idle fuel mass flow rate for each duty cycle as applicable,
(2) If you do not measure fuel mass flow rate, calculate the idle fuel mass flow rate for each duty cycle,
(o)
(1) Correct the measured or calculated fuel masses,
(2) Declare fuel masses,
(ii) For testing with torque measurement at the wheel hubs, use Eq. 1037.550–8 setting
(iii) For testing with torque measurement at the engine's crankshaft:
(4) Calculate positive work,
(5) Calculate engine idle speed, by taking the average engine speed measured during the transient cycle test while the vehicle speed is below 0.100 m/s.
(6) The following table illustrates the GEM data inputs corresponding to the different vehicle configurations for a given duty cycle:
(b) Operate the engine over the applicable engine duty cycles corresponding to the vehicle cycles specified in § 1037.510(a)(2) for powertrain testing over the applicable vehicle simulations described in § 1037.550(i). Warm up the engine to prepare for the transient test or one of the highway cruise cycles by operating it one time over one of the simulations of the corresponding duty cycle. Warm up the engine to prepare for the idle test by operating it over a simulation of the 65-mi/hr highway cruise cycle for 600 seconds. Within 60 seconds after concluding the warm up cycle, start emission sampling while the engine operates over the duty cycle. You may perform any number of test runs directly in succession once the engine is warmed up. Perform cycle validation as described in 40 CFR 1065.514 for engine speed, torque, and power.
(d) Calculate the transmission output shaft's angular speed target for the driver model,
(e) Use speed control with a loop rate of at least 100 Hz to program the dynamometer to follow the test cycle, as follows:
(1) Calculate the transmission output shaft's angular speed target for the dynamometer,
(2) For each test, validate the measured transmission output shaft's speed with the corresponding reference values according to 40 CFR 1065.514(e). You may delete points when the vehicle is stopped. Perform the validation based on speed values at the transmission output shaft. For steady-state tests (55 mi/hr and 65 mi/hr cruise), apply cycle-validation criteria by treating the sampling periods from the two tests as a continuous sampling period. Perform this validation based on the following parameters:
(f) Send a brake signal when operator demand is equal to zero and vehicle speed is greater than the reference vehicle speed from the test cycle. Set a delay before changing the brake state to prevent the brake signal from dithering,
This section describes a procedure for mapping axle efficiency through a determination of axle power loss.
(a) You may establish axle power loss maps based on testing any number of axle configurations within an axle family as specified in § 1037.232. You may share data across a family of axle configurations, as long as you test the axle configuration with the lowest efficiency from the axle family; this will generally involve testing the axle with the highest axle ratio. For vehicles with tandem drive axles, always test each drive axle separately. For tandem axles that can be disconnected, test both single-drive and tandem axle configurations. This includes 4×4 axles where one of the axles is disconnectable. Alternatively, you may analytically derive power loss maps for untested configurations within the same axle family as described in paragraph (h) of this section.
(b) Prepare an axle assembly for testing as follows:
(1) Select an axle assembly with less than 500 hours of operation before testing. Assemble the axle in its housing, along with wheel ends and bearings.
(2) If you have a family of axle assemblies with different axle ratios, you may test multiple configurations using a common axle housing, wheel ends, and bearings.
(3) Install the axle assembly on the dynamometer with an input shaft angle perpendicular to the axle.
(i) For axle assemblies with or without a locking main differential, test the axle assembly using one of the following methods:
(A) Lock the main differential and test it with one electric motor on the input shaft and a second electric motor on the output side of the output shaft that has the speed-reduction gear attached to it.
(B) Test with the main differential unlocked and with one electric motor on the input shaft and electric motors on the output sides of each of the output shafts.
(ii) For drive-through tandem-axle setups, lock the longitudinal and inter-wheel differentials.
(4) Add gear oil according to the axle manufacturer's instructions. If the axle manufacturer specifies multiple gear oils, select the one with the highest viscosity at operating temperature. You may use a lower-viscosity gear oil if we approve that as critical emission-related maintenance under § 1037.125. Fill the gear oil to a level that represents in-use operation. You may use an external gear oil conditioning system, as long as it does not affect measured values.
(5) Install equipment for measuring the bulk temperature of the gear oil in the oil sump or a similar location. Report temperature to the nearest 0.1 °C.
(6) Break in the axle assembly using good engineering judgment. Maintain gear oil temperature at or below 100 °C throughout the break-in period.
(7) You may drain the gear oil following the break-in procedure and repeat the filling procedure described in paragraph (b)(4) of this section. We will follow your practice for our testing.
(c) Measure input and output speed and torque as described in 40 CFR 1065.210(b). You must use a speed-measurement system that meets an accuracy of ±0.05% of point. Use torque transducers that meet an accuracy requirement of ±1.0 N·m for unloaded test points and ±0.2% of the maximum tested axle input torque or output torque, respectively, for loaded test points. Calibrate and verify measurement instruments according to 40 CFR part 1065, subpart D. Command speed and torque at a minimum of 10 Hz, and record all data, including bulk oil temperature, as 1 Hz mean values.
(d) The test matrix consists of test points representing output torque and wheel speed values meeting the following specifications:
(1) Output torque includes both loaded and unloaded operation. For measurement involving unloaded output torque, also called spin loss testing, the wheel end is not connected to the dynamometer and is left to rotate freely; in this condition the input torque (to maintain constant wheel speed) equals the power loss. Test axles at a range of output torque values, as follows:
(i) 0, 500, 1000, 2000, 3000, and 4000 N·m for single drive axle applications for tractors and for vocational Heavy HDV with a single drive axle.
(ii) 0, 250, 500, 1000, 1500, and 2000 N·m for tractors, for vocational Heavy HDV with tandem drive axles, and for all vocational Light HDV or vocational Medium HDV.
(iii) You may exclude values that exceed your axle's maximum torque rating.
(2) Determine maximum wheel speed corresponding to a vehicle speed of 65 mi/hr based on the smallest tire (as determined using § 1037.520(c)(1)) that will be used with the axle. If you do not know the smallest tire size, you may use a default size of 650 r/mi. Use wheel angular speeds for testing that include 50 r/min and speeds in 100 r/min increments that encompass the maximum wheel speed (150, 250, etc.).
(3) You may test the axle assembly at additional speed and torque setpoints.
(e) Determine axle efficiency using the following procedure:
(1) Maintain ambient temperature between (15 and 35) °C throughout testing. Measure ambient temperature within 1.0 m of the axle assembly. Verify that critical axle settings (such as bearing preload, backlash, and oil sump level) are within specifications before and after testing.
(2) Maintain gear oil temperature at (81 to 83) °C. You may alternatively specify a lower range by shifting both temperatures down by the same amount. We will test your axle assembly using the same temperature range you specify for your testing. You may use an external gear oil conditioning system, as long as it does not affect measured values.
(3) Use good engineering judgment to warm up the axle assembly by operating it until the gear oil is within the specified temperature range.
(4) Stabilize operation at each point in the test matrix for at least 10 seconds, then measure the input torque, output torque, and wheel angular speed for at least 10 seconds. Record arithmetic mean values for all three parameters over the measurement period. Calculate power loss as described in paragraph (f) of this section based on these values for mean input torque,
(5) Perform the map sequence described in paragraph (e)(4) of this section three times. Remove torque from the input shaft and allow the axle to come to a full stop before each repeat measurement.
(6) You may need to perform additional testing at a given test point based on a calculation of a confidence interval to represent repeatability at a 95% confidence level for that test point. If the confidence limit is greater than 0.10% for loaded tests or greater than 0.05% for unloaded tests, perform another repeat of measurements at that test point and recalculate the repeatability for the whole set of test results. Continue testing until the confidence interval is at or below the specified values for all test points. Calculate a confidence interval representing the repeatability in establishing a 95% confidence level using the following equation:
Example:
(f) Calculate the mean power loss,
(1) Calculate
(2) Calculate
(3) The following example illustrates a calculation of
(g) Create a table with the mean power loss,
(2) Record declared mean power loss values at or above the corresponding value calculated in paragraph (f) of this section. Use good engineering judgment to select values that will be at or above the mean power loss values for your production axles. Vehicle manufacturers will use these declared mean power loss values for certification. For vehicles with tandem drive axles, the GEM input is the sum of the power loss and output torque from the individual axles. For vehicles with a disconnectable axle, GEM uses separate inputs for single and tandem drive axle configurations.
(h) You may analytically derive axle power loss maps for untested configurations within an axle family as follows:
(1) Test at least three axle assemblies within the same family representing at least the smallest axle ratio, the largest axle ratio, and an axle ratio closest to the arithmetic mean from the two other tested axle assemblies. Test each axle assembly as described in this section at the same speed and torque setpoints.
(2) Perform a second-order least-squares regression between declared power loss and axle ratio using each speed and torque setpoint described in paragraph (d) of this section for your tested axle assemblies. Use the declared power loss values from paragraph (g) of this section; however, for purposes of analytically deriving power loss maps under this paragraph (h), you must select declared values for the largest and smallest axle ratios in the axle family that are adjusted relative to the calculated values for mean power loss by the same multiplier. If the coefficent of the second-order term is negative, include testing from additional axle ratios, or increase your declared power loss for the largest and smallest axle ratios by the same multiplier as needed for the second-order term to become positive.
(3) Determine
(i) Determine the slope of the correlation line by connecting the declared power loss values for the smallest and largest axle ratios.
(ii) Fix the intercept for the correlation line by shifting it upward as needed so all the declared power loss values are on the correlation line or below it. Note that for cases involving three tested axle assemblies, the correlation line will always include the declared power loss for the smallest and largest axle ratio.
(4) Select declared values of
This section describes a procedure for mapping transmission efficiency through a determination of transmission power loss.
(a) You may establish transmission power loss maps based on testing any number of transmission configurations within a transmission family as specified in § 1037.232. You may share data across any configurations within the family, as long as you test the transmission configuration with the lowest efficiency from the transmission family. Alternatively, you may ask us to approve analytically derived power loss maps for untested configurations within the same transmission family (see § 1037.235(h)).
(b) Prepare a transmission for testing as follows:
(1) Select a transmission with less than 500 hours of operation before testing.
(2) Mount the transmission to the dynamometer such that the geared shaft in the transmission is aligned with the input shaft from the dynamometer.
(3) Add transmission oil according to the transmission manufacturer's instructions. If the transmission manufacturer specifies multiple transmission oils, select the one with the highest viscosity at operating temperature. You may use a lower-viscosity transmission oil if we approve it as critical emission-related maintenance under § 1037.125. Fill the transmission oil to a level that represents in-use operation. You may use an external transmission oil conditioning system, as long as it does not affect measured values.
(4) Include any internal and external pumps for hydraulic fluid and lubricating oil in the test. Determine the work required to drive an external pump according to 40 CFR 1065.210.
(5) Install equipment for measuring the bulk temperature of the transmission oil in the oil sump or a similar location.
(6) If the transmission is equipped with a torque converter, lock it for all testing performed in this section.
(7) Break in the transmission using good engineering judgment. Maintain transmission oil temperature at (87 to 93) °C for automatic transmissions and transmissions having more than two friction clutches, and at (77 to 83) °C for all other transmissions. You may ask us to approve a different range of transmission oil temperatures if you have data showing that it better represents in-use operation.
(c) Measure input and output shaft speed and torque as described in 40 CFR 1065.210(b). You must use a speed measurement system that meets an accuracy of ±0.05% of point. Accuracy requirements for torque transducers depend on the highest loaded transmission input and output torque as described in paragraph (d)(2) of this section. Use torque transducers for torque input measurements that meet an accuracy requirement of ±0.2% of the highest loaded transmission input for loaded test points and ±0.1% of the highest loaded transmission input torque for unloaded test points. For torque output measurements, torque transducers must meet an accuracy requirement of ±0.2% of the highest loaded transmission output torque for each gear ratio. Calibrate and verify measurement instruments according to 40 CFR part 1065, subpart D. Command speed and torque at a minimum of 10 Hz, and record all data, including bulk oil temperature, at a minimum of 1 Hz mean values.
(d) Test the transmission at input shaft speeds and torque setpoints as described in this paragraph (d). You may exclude lower gears from testing; however, you must test all the gears above the highest excluded gear. GEM will use default values for any untested gears. The test matrix consists of test points representing transmission input shaft speeds and torque setpoints meeting the following specifications for each tested gear:
(1) Test at the following transmission input shaft speeds:
(i) 600.0 r/min or transmission input shaft speed when paired with the engine operating at idle.
(ii) The transmission's maximum rated input shaft speed. You may alternatively select a value representing the highest expected in-use transmission input shaft speed.
(iii) Three equally spaced intermediate speeds. The intermediate speed points may be adjusted to the nearest 50 or 100 r/min. You may test any number of additional speed setpoints to improve accuracy.
(2) Test at certain transmission input torque setpoints as follows:
(i) Include one unloaded (zero-torque) setpoint.
(ii) Include one loaded torque setpoint between 75% and 105% of the transmission's maximum rated input shaft torque. However, you may use a lower torque setpoint as needed to avoid exceeding dynamometer torque limits, as long as testing accurately represents in-use performance. If your loaded torque setpoint is below 75% of the transmission's maximum rated input shaft torque, you must demonstrate that the sum of time for all gears where demanded engine torque is between your maximum torque setpoint and 75% of the transmission's maximum rated input shaft torque is no more than 10% of the time for each vehicle drive cycle specified in this subpart. This demonstration must be made available upon request.
(iii) You may test at any number of additional torque setpoints to improve accuracy.
(iv) Note that GEM calculates power loss between tested or default values by linear interpolation, except that GEM may extrapolate outside of measured values to account for testing at torque setpoints below 75% as specified in paragraph (d)(2)(ii) of this section.
(3) In the case of transmissions that automatically go into neutral when the vehicle is stopped, also perform tests at 600 r/min and 800 r/min with the transmission in neutral and the transmission output fixed at zero speed.
(e) Determine transmission efficiency using the following procedure:
(1) Maintain ambient temperature between (15 and 35) °C throughout testing. Measure ambient temperature within 1.0 m of the transmission.
(2) Maintain transmission oil temperature as described in paragraph (b)(7) of this section.
(3) Use good engineering judgment to warm up the transmission according to the transmission manufacturer's specifications.
(4) Perform unloaded transmission tests by disconnecting the transmission output shaft from the dynamometer and letting it rotate freely. If the transmission adjusts pump pressure based on whether the vehicle is moving or stopped, set up the transmission for unloaded tests to operate as if the vehicle is moving.
(5) For transmissions that have multiple configurations for a given gear ratio, such as dual-clutch transmissions that can pre-select an upshift or downshift, set the transmission to operate in the configuration with the greatest power loss. Alternatively, test
(6) For a selected gear, operate the transmission at one of the test points from paragraph (d) of this section for at least 10 seconds. Measure the speed and torque of the input and output shafts for at least 10 seconds. You may omit measurement of output shaft speeds if your transmission is configured to not allow slip. Calculate arithmetic mean values for mean input shaft torque,
(7) Repeat the procedure described in paragraph (e)(6) of this section for all gears, or for all gears down to a selected gear. This section refers to an “operating condition” to represent operation at a test point in a specific gear.
(8) Perform the test sequence described in paragraphs (e)(6) and (7) of this section three times. You may do this repeat testing at any given test point before you perform measurements for the whole test matrix. Remove torque from the transmission input shaft and bring the transmission to a complete stop before each repeat measurement.
(9) You may need to perform additional testing at a given operating condition based on a calculation of a confidence interval to represent repeatability at a 95% confidence level at that operating condition. If the confidence interval is greater than 0.10% for loaded tests or greater than 0.05% for unloaded tests, perform another measurement at that operating condition and recalculate the repeatability for the whole set of test results. Continue testing until the confidence interval is at or below the specified values for all operating conditions. As an alternative, for any operating condition that does not meet this repeatability criterion, you may determine a maximum power loss instead of calculating a mean power loss as described in paragraph (g) of this section. Calculate a confidence interval representing the repeatability in establishing a 95% confidence level using the following equation:
(f) Calculate the mean power loss,
(1) Calculate
(2) For transmissions that are configured to not allow slip, you may calculate ƒ
(3) Calculate
(4) The following example illustrates a calculation of
(g) Create a table with the mean power loss,
(2) For any operating condition not meeting the repeatability criterion in paragraph (e)(9) of this section, record the maximum value of
(h) Record declared power loss values at or above the corresponding value calculated in paragraph (f) of this section. Use good engineering judgment to select values that will be at or above the mean power loss values for your production transmissions. Vehicle manufacturers will use these declared mean power loss values for certification.
GEM includes input values related to torque converters. This section describes a procedure for mapping a torque converter's capacity factors and torque ratios over a range of operating conditions. You may ask us to approve analytically derived input values based on this testing for additional untested configurations as described in § 1037.235(h).
(a) Prepare a torque converter for testing as follows:
(1) Select a torque converter with less than 500 hours of operation before the start of testing.
(2) If the torque converter has a locking feature, unlock it for all testing performed under this section. If the torque converter has a slipping lockup clutch, you may ask us to approve a different strategy based on data showing that it represents better in-use operation.
(3) Mount the torque converter with a transmission to the dynamometer in series or parallel arrangement or mount the torque converter without a transmission to represent a series configuration.
(4) Add transmission oil according to the torque converter manufacturer's instructions, with the following additional specifications:
(i) If the torque converter manufacturer specifies multiple transmission oils, select the one with the highest viscosity at operating temperature. You may use a lower-viscosity transmission oil if we approve that as critical emission-related maintenance under § 1037.125.
(ii) Fill the transmission oil to a level that represents in-use operation. If you are testing the torque converter without the transmission, keep output pressure and the flow rate of transmission oil into the torque converter within the torque converter manufacturer's limits.
(iii) You may use an external transmission oil conditioning system, as long as it does not affect measured values.
(5) Install equipment for measuring the bulk temperature of the transmission oil in the oil sump or a similar location and at the torque converter inlet. If the torque converter is tested without a transmission, measure the oil temperature at the torque converter inlet.
(6) Break in the torque converter and transmission (if applicable) using good engineering judgment. Maintain transmission oil temperature at (87 to 93) °C. You may ask us to approve a different range of transmission oil temperatures if you have data showing that it better represents in-use operation.
(b) Measure pump and turbine shaft speed and torque as described in 40 CFR 1065.210(b). You must use a speed measurement system that meets an accuracy of ±0.1% of point or ±1 r/min, whichever is greater. Use torque transducers that meet an accuracy of ±1.0% of the torque converter's maximum rated input and output torque, respectively. Calibrate and verify measurement instruments according to 40 CFR part 1065, subpart D. Command speed and torque at a minimum of 10 Hz. Record all speed and torque data at a minimum of 1 Hz mean values. Note that this section relies on the convention of describing the input shaft as the pump and the output shaft as the turbine shaft.
(c) Determine torque converter characteristics based on a test matrix using either constant input speed or constant input torque as follows:
(1)
(i) Select a fixed pump speed, ƒ
(ii) Test the torque converter at multiple speed ratios,
(2)
(i) Set the pump torque,
(ii) Test the torque converter at multiple speed ratios,
(3) You may limit the maximum speed ratio to a value below 0.95 if you have data showing this better represents in-use operation. You must use the step widths defined in paragraph (c)(1) or (2) of this section and include the upper limit as a test point. If you choose a value less than 0.60, you must test at least seven evenly distributed points between
(d) Characterize the torque converter using the following procedure:
(1) Maintain ambient temperature between (15 and 35) °C throughout testing. Measure ambient temperature within 1.0 m of the torque converter.
(2) Maintain transmission oil temperature as described in paragraph (a)(6) of this section. You may use an external transmission oil conditioning system, as long as it does not affect measured values.
(3) Use good engineering judgment to warm up the torque converter according to the torque converter manufacturer's specifications.
(4) Test the torque converter at constant input speed or constant input torque as described in paragraph (c) of this section. Operate the torque converter at
(5) Complete a test run by performing the test sequence described in paragraph (d)(4) of this section two times.
(6) Invalidate the test run if the difference between the pair of mean torque values for the repeat tests at any test point differ by more than ±1 N·m or by more than ±5% of the average of those two values. This paragraph (d)(6) applies separately for mean pump torque and mean turbine shaft torque at each test point.
(7) Invalidate the test run if any calculated value for mean angular pump speed does not stay within ±5 r/min of the speed setpoint or if any calculated value for mean pump torque does not stay within ±5 N·m of the torque setpoint.
(e) Calculate the mean torque ratio,
(1) Calculate
(2) Calculate
(3) The following example illustrates a calculation of
(f) Calculate the mean capacity factor,
(1) Calculate
(2) Calculate
(3) The following example illustrates a calculation of
(g) Create a table of GEM inputs showing
(a) * * *
(2) The provisions of 40 CFR 1068.105(a) apply for vehicle manufacturers installing engines certified under 40 CFR part 1036 as further limited by this paragraph (a)(2). If new engine emission standards apply in a given model year, you may install normal inventories of engines from the preceding model year under the provisions of 40 CFR 1068.105(a) through March 31 of that year without our approval; you may not install such engines after March 31 of that year unless we approve it in advance. Installing such engines after March 31 without our prior approval is
(f) For electric vehicles and for fuel cells powered by hydrogen, calculate CO
(g) We may allow certifying vehicle manufacturers to authorize dealers or distributors to reconfigure/recalibrate vehicles after the vehicles have been introduced into commerce if they have not yet been delivered to the ultimate purchaser as follows:
(c) * * *
(1) The allowance in this paragraph (c) applies only for the following engines:
(a) * * *
(2)
(b)
(1) For AES systems on tractors, the system may delay shutdown—
(i) When an exhaust emission control device is regenerating. The period considered to be regeneration for purposes of this allowance must be consistent with good engineering judgment and may differ in length from the period considered to be regeneration for other purposes. For example, in some cases it may be appropriate to include a cool down period for this purpose but not for infrequent regeneration adjustment factors.
(ii) When the vehicle's main battery state-of-charge is not sufficient to allow the main engine to be restarted.
(iii) When the vehicle's transmission, fuel, oil, or engine coolant temperature is too low or too high according to the manufacturer's specifications for protecting against system damage. This allows the engine to continue operating until it is in a predefined temperature range, within which the shutdown sequence of paragraph (a) of this section would resume.
(iv) When the vehicle's main engine is operating in power take-off (PTO) mode. For purposes of this paragraph (b), an engine is considered to be in PTO mode when a switch or setting designating PTO mode is enabled.
(v) When external ambient conditions prevent managing cabin temperatures for the driver's safety.
(vi) When necessary while servicing the vehicle, provided the deactivation of the AES system is accomplished using a diagnostic scan tool. The system must be automatically reactivated when the engine is shut down for more than 60 minutes.
(2) For AES systems on vocational vehicles, the system may limit activation—
(i) When any condition specified in paragraphs (b)(1)(i) through (v) of this section applies.
(ii) When the engine compartment is open.
(3) For neutral idle, the system may delay shifting the transmission to neutral—
(i) When the system meets the PTO conditions specified in paragraph (b)(1)(iv) of this section.
(ii) When the transmission is in reverse gear.
(iii) When the vehicle is ascending or descending a road with grade at or above 6.0%.
(4) For stop-start, the system may limit activation—
(i) When any condition specified in paragraph (b)(2) or (b)(3)(ii) or (iii) of this section applies.
(ii) When air brake pressure is too low according to the manufacturer's specifications for maintaining vehicle-braking capability.
(iii) When an automatic transmission is in “park” or “neutral” and the parking brake is engaged.
(iv) When recent vehicle speeds indicate an abnormally high shutdown and restart frequency, such as with congested driving. For example, a vehicle not exceeding 10 mi/hr for the previous 300 seconds or since the most recent engine start would be a proper basis for overriding engine shutdown. You may also design this override to protect against system damage or malfunction of safety systems.
(v) When the vehicle detects that a system or component is worn or malfunctioning in a way that could reasonably prevent the engine from restarting, such as low battery voltage.
(vi) When the steering angle is at or near the limit of travel.
(vii) When flow of diesel exhaust fluid is limited due to freezing.
(viii) When a sensor failure could prevent the anti-lock braking system from properly detecting vehicle speed.
(ix) When a protection mode designed to prevent component failure is active.
(x) When a fault on a system component needed for starting the engine is active.
(c) We may approve your request to perform alternative testing that will provide equivalent or better information compared to the specified testing. For example, we may allow you to provide CO
(a) You may certify tractors at or above 120,000 pounds GCWR to the following CO
(b) Determine subcategories as described in § 1037.230 for tractors that are not heavy-haul tractors. For example, the subcategory for tractors that would otherwise be considered Class 8 low-roof day cabs would be Heavy Class 8 Low-Roof Day Cabs and would be identified as HC8_DC_LR for the GEM run.
(h) See § 1037.740 for special credit provisions that apply for credits generated under 40 CFR 86.1819–14 (k)(7), 40 CFR 1036.615, or § 1037.615.
(i) Unless the regulations in this part explicitly allow it, you may not calculate Phase 1 credits more than once for any emission reduction. For example, if you generate Phase 1 CO
(c) * * *
(2) Exported vehicles, even if they are certified under this part and labeled accordingly.
(b) * * *
(1) The maximum amount of credits you may bring into the following service class groups is 60,000 Mg per model year:
(i) Spark-ignition engines, light heavy-duty compression-ignition engines, and Light HDV. This group comprises the averaging set listed in paragraphs (a)(1) of this section and the averaging set listed in 40 CFR 1036.740(a)(1) and (2).
(ii) Medium heavy-duty compression-ignition engines and Medium HDV. This group comprises the averaging sets listed in paragraph (a)(2) of this section and 40 CFR 1036.740(a)(3).
(iii) Heavy heavy-duty compression-ignition engines and Heavy HDV. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4).
The revisions and additions read as follows:
(1) Designed primarily for purposes of transportation of property or is a derivation of such a vehicle; or
(2) Designed primarily for transportation of persons and has a capacity of more than 12 persons; or
(3) Available with special features enabling off-street or off-highway operation and use.
(1) For tractors and vocational vehicles with a date of manufacture on or after January 1, 2021, model year means the manufacturer's annual new model production period based on the vehicle's date of manufacture, where the model year is the calendar year corresponding to the date of manufacture, except as follows:
(i) The vehicle's model year may be designated as the year before the calendar year corresponding to the date of manufacture if the engine's model year is also from an earlier year. You may ask us to extend your prior model year certificate to include such vehicles. Note that § 1037.601(a)(2) limits the extent to which vehicle manufacturers may install engines built in earlier calendar years.
(ii) The vehicle's model year may be designated as the year after the calendar year corresponding to the vehicle's date of manufacture. For example, a manufacturer may produce a new vehicle by installing the engine in December 2023 and designating it as a model year 2024 vehicle.
(2) For trailers and for Phase 1 tractors and vocational vehicles with a date of manufacture before January 1, 2021, model year means the manufacturer's annual new model production period, except as restricted under this definition and 40 CFR part 85, subpart X. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. The model year may be set to match the calendar year corresponding to the date of manufacture.
(i) The manufacturer who holds the certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period. In unusual circumstances where completion of your assembly is delayed, we may allow you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply.
(ii) Unless a vehicle is being shipped to a secondary vehicle manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date.
Small manufacturer means a manufacturer meeting the small business criteria specified in 13 CFR 121.201 for vocational vehicles and tractors (NAICS code 336120) or for trailers (NAICS code 336212). The employee and revenue limits apply to the total number employees and total revenue together for affiliated companies.
(b)
(c)
(d)
(e)
(f) Constants. This part uses the following constants:
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the
(b) International Organization for Standardization, Case Postale 56, CH–1211 Geneva 20, Switzerland, (41) 22749 0111,
(1) ISO 28580:2009(E) “Passenger car, truck and bus tyres—Methods of measuring rolling resistance—Single point test and correlation of measurement results”, First Edition, July 1, 2009, (“ISO 28580”), IBR approved for § 1037.520(c).
(2) [Reserved]
(c) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann Arbor, MI 48105,
(1) Greenhouse gas Emissions Model (GEM), Version 2.0.1, September 2012 (“GEM version 2.0.1”), IBR approved for § 1037.520.
(2) Greenhouse gas Emissions Model (GEM) Phase 2, Version 3.5.1, November 2020 (“GEM Phase 2, Version 3.5.1”); IBR approved for § 1037.520.
(3) GEM's MATLAB/Simulink Hardware-in-Loop model, Version 3.8, December 2020 (“GEM HIL model”); IBR approved for § 1037.550(a).
The computer code for these models is available as noted in paragraph (a) of this section. A working version of the software is also available for download at
(d) National Institute of Standards and Technology, 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899–1070, (301) 975–6478, or
(1) NIST Special Publication 811, Guide for the Use of the International System of Units (SI), 2008 Edition, March 2008, IBR approved for § 1037.805.
(2) [Reserved]
(e) SAE International, 400 Commonwealth Dr., Warrendale, PA 15096–0001, (877) 606–7323 (U.S. and Canada) or (724) 776–4970 (outside the U.S. and Canada),
(1) SAE J1025, Test Procedures for Measuring Truck Tire Revolutions Per Kilometer/Mile, Stabilized August 2012, (“SAE J1025”), IBR approved for § 1037.520(c).
(2) SAE J1252, SAE Wind Tunnel Test Procedure for Trucks and Buses, Revised July 2012, (“SAE J1252”), IBR approved for §§ 1037.525(b) and 1037.530(a).
(3) SAE J1263, Road Load Measurement and Dynamometer Simulation Using Coastdown Techniques, revised March 2010, (“SAE J1263”), IBR approved for §§ 1037.528 introductory text, (a), (b), (c), (e), and (h) and 1037.665(a).
(4) SAE J1594, Vehicle Aerodynamics Terminology, Revised July 2010, (“SAE J1594”), IBR approved for § 1037.530(d).
(5) SAE J2071, Aerodynamic Testing of Road Vehicles—Open Throat Wind Tunnel Adjustment, Revised June 1994, (“SAE J2071”), IBR approved for § 1037.530(b).
(6) SAE J2263, Road Load Measurement Using Onboard Anemometry and Coastdown Techniques, Revised December 2008, (“SAE J2263”), IBR approved for §§ 1037.528 introductory text, (a), (b), (d), and (f) and 1037.665(a).
(7) SAE J2343, Recommended Practice for LNG Medium and Heavy-Duty Powered Vehicles, Revised July 2008, (“SAE J2343”), IBR approved for § 1037.103(e).
(8) SAE J2452, Stepwise Coastdown Methodology for Measuring Tire Rolling Resistance, Revised June 1999, (“SAE J2452”), IBR approved for § 1037.528(h).
(9) SAE J2966, Guidelines for Aerodynamic Assessment of Medium and Heavy Commercial Ground Vehicles Using Computational Fluid Dynamics, Issued September 2013, (“SAE J2966”), IBR approved for § 1037.532(a).
(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may review these records at any time. You must promptly give us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.
This appendix identifies abbreviations for emission control information labels, as required under § 1037.135.
The following table identifies a grade profile for operating vehicles over the highway cruise cycles specified in subpart F of this part. Determine intermediate values by linear interpolation.
42 U.S.C. 7401–7671q.
(b) * * *
(3) Engines originally meeting Tier 1, Tier 2, or Tier 3 standards as specified in appendix I of this part remain subject to the standards in subpart B of this part. This includes uncertified engines that meet standards under 40 CFR 1068.265. Affected engines remain subject to recall provisions as specified in 40 CFR part 1068, subpart F, throughout the useful life corresponding to the original certification. Also, tampering and defeat-device prohibitions continue to apply for those engines as specified in 40 CFR 1068.101.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes certain engines used in stationary applications. These engines may be required by 40 CFR part 60, subpart IIII, to comply with some of the provisions of this part; otherwise, these engines are only required to comply with the requirements in § 1039.20. In addition, the prohibitions in 40 CFR 1068.101 restrict the use of stationary engines for nonstationary purposes unless they are certified to the same standards that would apply to certain nonroad engines for the same model year.
(a) You must add a permanent label or tag to each new engine you produce or import that is excluded under § 1039.1(c) as a stationary engine and is not required by 40 CFR part 60, subpart IIII, to meet the requirements described in this part, or the requirements described in 40 CFR part 1042, that are equivalent to the requirements applicable to marine or land-based nonroad engines for the same model year. To meet labeling requirements, you must do the following things:
(b) * * *
(2) Include your full corporate name and trademark.
(4) State: “THIS ENGINE IS EXEMPTED FROM NONROAD CERTIFICATION REQUIREMENTS AS A “STATIONARY ENGINE.” INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.”
(c) Stationary engines required by 40 CFR part 60, subpart IIII, to meet the requirements described in this part or 40 CFR part 1042, must meet the labeling requirements of 40 CFR 60.4210.
The exhaust emission standards of this section apply after the 2014 model year. Certain standards in this section also apply for model year 2014 and earlier. This section presents the full set of emission standards that apply after all the transition and phase-in provisions of §§ 1039.102 and 1039.104 expire. Section 1039.105 specifies smoke standards.
(b) Emission standards for steady-state testing. Steady-state exhaust emissions from your engines may not exceed the applicable emission standards in Table 1 of this section. Measure emissions using the applicable steady-state test procedures described in subpart F of this part.
The revisions read as follows:
The exhaust emission standards of this section apply for 2014 and earlier model years. See § 1039.101 for exhaust emission standards that apply to later model years.
(a) * * *
(2) The transient standards in this section for gaseous pollutants do not apply to phase-out engines that you certify to the same numerical standards (and FELs if the engines are certified using ABT) for gaseous pollutants as you certified under the Tier 3 requirements identified in appendix I of this part. However, except as specified by paragraph (a)(1) of this section, the transient PM emission standards apply to these engines.
(b) * * *
(d) * * *
(1) For model years 2012 through 2014, you may use banked NO
(e) * * *
(3) You use NO
(g) * * *
(1) * * *
(iv) Gaseous pollutants for phase-out engines that you certify to the same numerical standards and FELs for gaseous pollutants to which you certified under the Tier 3 requirements identified in appendix I of this part. However, the NTE standards for PM apply to these engines.
(2) Interim FEL caps. As described in § 1039.101(d), you may participate in the ABT program in subpart H of this part by certifying engines to FELs for PM, NO
(c) * * *
(1) You may delay complying with certain otherwise applicable Tier 4 emission standards and requirements as described in the following table:
(2) * * *
(ii) If you do not choose to comply with paragraph (c)(2)(i) of this section, you may continue to comply with the standards and requirements described in appendix I of this part for model years through 2012, but you must begin complying in 2013 with Tier 4 standards and requirements specified in Table 3 of § 1039.102 for model years 2013 and later.
(4) For engines not in the 19–56 kW power category, if you delay compliance with any standards under this paragraph (c), you must do all the following things for the model years when you are delaying compliance with the otherwise applicable standards:
(i) Produce engines that meet all the emission standards identified in appendix I of this part and other requirements in this part applicable for that model year, except as noted in this paragraph (c).
(ii) Meet the labeling requirements in this part that apply for certified engines but use the following alternative compliance statement: “THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [CURRENT MODEL YEAR] NONROAD COMPRESSION—IGNITION ENGINES UNDER 40 CFR 1039.104(c).”.
(g) * * *
(4) Do not apply TCAFs to gaseous emissions for phase-out engines that you certify to the same numerical standards (and FELs if the engines are certified using ABT) for gaseous pollutants as you certified under the Tier 3 requirements identified in appendix I of this part.
(e) For model year 2019 and earlier, create a separate label with the statement: “ULTRA LOW SULFUR FUEL ONLY”. Permanently attach this label to the equipment near the fuel inlet or, if you do not manufacture the equipment, take one of the following steps to ensure that the equipment will be properly labeled:
(c) If your engines are equipped with an engine diagnostic system as required under § 1039.110, explain how it works, describing especially the engine conditions (with the corresponding diagnostic trouble codes) that cause the warning lamp to go on and the design features that minimize the potential for
(a) You may ask us to approve deterioration factors for an engine family with established technology based on engineering analysis instead of testing. Engines certified to a NO
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1039.820).
(b) Subpart C of this part describes how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible-fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm (
(b) The definition of nonroad engine in 40 CFR 1068.30 excludes engines used solely for competition. These engines are not required to comply with this part, but 40 CFR 1068.101 prohibits the use of competition engines for noncompetition purposes.
The provisions of this section allow equipment manufacturers to produce equipment with engines that are subject to less stringent emission standards after the Tier 4 emission standards begin to apply. To be eligible to use the provisions of this section, you must follow all the instructions in this section. See § 1039.626 for requirements that apply specifically to companies that manufacture equipment outside the United States and to companies that import such equipment without manufacturing it. Engines and equipment you produce under this section are exempt from the prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of this section.
(d) * * *
(4) You may start using the allowances under this section for engines that are not yet subject to Tier 4 standards, as long as the seven-year period for using allowances under the Tier 2 or Tier 3 program has expired. Table 3 of this section shows the years for which this paragraph (d)(4) applies. To use these early allowances, you must use engines that meet the emission standards described in paragraph (e) of this section. You must also count these units or calculate these percentages as described in paragraph (c) of this section and apply them toward the total number or percentage of equipment with exempted engines we allow for the Tier 4 standards as described in paragraph (b) of this section. The maximum number of cumulative early allowances under this paragraph (d)(4) is 10 percent under the percent-of-production allowance or 100 units under the small-volume allowance. For example, if you produce 5 percent of your equipment with engines between 130 and 560 kW that use allowances under this paragraph (d)(4) in 2009, you may use up to an additional 5 percent of your allowances in 2010. If you use allowances for 5 percent of your
(e) * * *
(1) If you are using the provisions of paragraph (d)(4) of this section, engines must meet the applicable Tier 1 or Tier 2 emission standards described in appendix I of this part.
(3) In all other cases, engines at or above 56 kW and at or below 560 kW must meet the appropriate Tier 3 standards described in appendix I of this part. Engines below 56 kW and engines above 560 kW must meet the appropriate Tier 2 standards described in appendix I of this part.
(g) * * *
(1) * * *
(vi) The number of units in each power category you have sold in years for which the Tier 2 and Tier 3 standards apply.
(j)
(1) Add the following statement instead of the compliance statement in § 1039.135(c)(12):
THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(b) * * *
(1) * * *
(iv) The number of units in each power category you have imported in years for which the Tier 2 and Tier 3 standards apply.
(a) * * *
(2) The engine meets the latest applicable emission standards in appendix I of this part.
(b) If you introduce an engine into commerce in the United States under this section, you must meet the labeling requirements in § 1039.135, but add the following statement instead of the compliance statement in § 1039.135(c)(12):
THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION REQUIREMENTS. IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(b)
(2) Emission credits generated from marine engines certified to the standards identified in appendix I of this part for land-based engines may not be used under this part.
The revisions read as follows:
(5) * * *
(ii) For imported engines described in paragraph (5)(ii) of the definition of “new nonroad engine” in this section,
The following standards, which EPA originally adopted under 40 CFR part 89, apply to nonroad compression-ignition engines produced before the model years specified in § 1039.1:
(a) Tier 1 standards apply as summarized in the following table:
(b) Tier 2 standards apply as summarized in the following table:
(c) Tier 3 standards apply as summarized in the following table:
(d) Tier 1 through Tier 3 standards applied only for discrete-mode steady-state testing. There were no not-to-exceed standards or transient testing.
42 U.S.C. 7401–7671q.
The revisions read as follows:
(b) New engines with maximum engine power below 37 kW and originally manufactured and certified before the model years identified in Table 1 to this section are subject to emission standards as specified in appendix I of this part. The provisions of this part do not apply for such engines, except as follows beginning June 29, 2010:
(1) The allowances of this part apply.
(2) The definitions of “new marine engine” and “model year” apply.
(c) Marine engines originally meeting Tier 1 or Tier 2 standards as specified in appendix I of this part remain subject to those standards. This includes uncertified engines that meet standards under 40 CFR 1068.265. Those engines remain subject to recall provisions as specified in 40 CFR part 1068, subpart F, throughout the useful life corresponding to the original certification. Also, tampering and defeat-device prohibitions continue to apply for those engines as specified in 40 CFR 1068.101. The remanufacturing provisions in subpart I of this part may apply for remanufactured engines originally manufactured in model years before the model years identified in Table 1 to this section.
(a) * * *
(6) Interim Tier 4 PM standards apply for 2014 and 2015 model year engines between 2000 and 3700 kW as specified in this paragraph (a)(6). These engines are considered Tier 4 engines.
(i) For Category 1 engines, the Tier 3 PM standards from Table 1 to this section continue to apply. PM FELs for these engines may not be higher than the applicable Tier 2 PM standards specified in appendix I of this part.
(ii) For Category 2 engines with per-cylinder displacement below 15.0 liters, the Tier 3 PM standards from Table 2 to this section continue to apply. PM FELs for these engines may not be higher than 0.27 g/kW-hr.
(iii) For Category 2 engines with per-cylinder displacement at or above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or above 3300 kW and below 3700 kW. PM FELs for these engines may not be higher than 0.50 g/kW-hr.
(c) * * *
(2) Determine the applicable NTE zone and subzones as described in § 1042.515. Determine NTE multipliers for specific zones and subzones and pollutants as follows:
(i) For marine engines certified using the duty cycle specified in § 1042.505(b)(1), except for variable-speed propulsion marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NO
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for Tier 4 NO
(D) Subzone 2: 1.9 for PM and CO standards.
(ii) For recreational marine engines certified using the duty cycle specified in § 1042.505(b)(2), except for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NO
(B) Subzone 1: 1.5 for Tier 3 PM and CO standards.
(C) Subzones 2 and 3: 1.5 for Tier 3 NO
(D) Subzones 2 and 3: 1.9 for PM and CO standards.
(iii) For variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in § 1042.505(b)(1), (2), or (3), apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NO
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for Tier 4 NO
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard in Subzone 2b for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(iv) For constant-speed engines certified using a duty cycle specified in § 1042.505(b)(3) or (4), apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NO
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for Tier 4 NO
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(v) For variable-speed auxiliary marine engines certified using the duty cycle specified in § 1042.505(b)(5)(ii) or (iii):
(A) Subzone 1: 1.2 for Tier 3 NO
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.2 for Tier 3 NO
(D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(e) * * *
(2) Specify a longer useful life in hours for an engine family under either of two conditions:
(i) If you design your engine to operate longer than the minimum useful life. Indicators of design life include your recommended overhaul interval and may also include your advertising and marketing materials.
(ii) If your basic mechanical warranty is longer than the minimum useful life.
(a) * * *
(2) NO
(c)
(g)
(1) Features that disable Tier 3 NO
(i) Bypassing of exhaust aftertreatment.
(ii) Reducing or eliminating flow of reductant to an SCR system.
(iii) Modulating engine calibration in a manner that increases engine-out emissions of a regulated pollutant.
(2) You must demonstrate that the AECD will not disable NO
(3) The onboard computer log must record in nonvolatile computer memory all incidents of engine operation with the Tier 3 NO
(4) The engine must comply with the Tier 2 NO
(e)
(c) * * *
(13) For engines above 130 kW that are intended for installation on domestic or public vessels, include the following statement: “THIS ENGINE DOES NOT COMPLY WITH INTERNATIONAL MARINE REGULATIONS UNLESS IT IS ALSO COVERED BY AN EIAPP CERTIFICATE.”
(j)
(1) You must label the engine as described in 40 CFR 1039.135, but
(2) You must use the provisions of 40 CFR 1068.262 for shipping uncertified engines under this section to secondary engine manufacturers.
(d) * * *
(3) The data show that the emission-data engine would meet all the requirements of this part that apply to the engine family covered by the application for certification. For engines originally tested to demonstrate compliance with Tier 1 or Tier 2 standards, you may consider those test procedures to be equivalent to the procedures we specify in subpart F of this part.
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1042.920).
(a) You must test each Category 3 engine at the sea trial of the vessel in which it is installed or within the first 300 hours of operation, whichever occurs first. This may involve testing a fully assembled production engine before it is installed in the vessel. For engines with on-off controls, you may omit testing to demonstrate compliance with Tier 2 standards if the engine does not rely on aftertreatment when Tier 3 emission controls are disabled. Since you must test each engine, the provisions of §§ 1042.310 and 1042.315(b) do not apply for Category 3 engines. If we determine that an engine failure under this subpart is caused by defective components or design deficiencies, we may revoke or suspend your certificate for the engine family as described in § 1042.340. If we determine that an engine failure under this subpart is caused only by incorrect assembly, we may suspend your certificate for the engine family as described in § 1042.325. If the engine fails, you may continue operating only to complete the sea trial and return to port. It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel further until you remedy the cause of failure. Each two-hour period of such operation constitutes a separate offense. A violation lasting less than two hours constitutes a single offense.
(a)
(b)
(c)
(d) * * *
(1) * * *
(ii) Land-based compression-ignition nonroad engines (40 CFR part 1039).
(2) The engine must have the label required under 40 CFR part 86, 1033, or 1039.
(3) * * *
(ii) Replacing an original turbocharger, except that small-volume engine manufacturers may replace an original turbocharger on a recreational engine with one that matches the performance of the original turbocharger.
(f)
(h)
(a)
(c)
(d) * * *
(1) The marine engine must be identical in all material respects to a land-based engine covered by a valid certificate of conformity for the appropriate model year showing that it meets emission standards for engines of that power rating under 40 CFR part 1039.
(f)
(g)
(a) This paragraph (a) applies instead of the provisions of 40 CFR 1068.240(b)(2) for installing new marine engines in vessels that are not “new vessels”. The prohibitions in 40 CFR 1068.101(a)(1) do not apply to a new replacement engine if all the following conditions are met:
(1) You use good engineering judgment to determine that no engine certified to the current requirements of this part is produced by any manufacturer with the appropriate physical or performance characteristics to repower the vessel. We have determined that Tier 4 engines with aftertreatment technology do not have the appropriate physical or performance characteristics to replace uncertified engines or engines certified to emission standards that are less stringent than the Tier 4 standards.
(3) Send us a report by September 30 of each year describing your engine shipments under this section from the preceding calendar year. Your report must include all the following things and be signed by an authorized representative of your company:
(i) Identify the number of Category 1 and Category 2 exempt replacement engines that meet Tier 1, Tier 2, or Tier 3 standards, or that meet no EPA standards. Count engines separately for each tier of standards. Identify the number of those engines that have been shipped (directly or indirectly) to a vessel owner. This includes engines shipped to anyone intending to install engines on behalf of a specific engine owner. Also include commercial Tier 3 engines with maximum engine power at or above 600 kW even if they have not been shipped to or designated for a specific vessel owner in the specified time frame.
(ii) Describe how you made the determinations described in paragraph (a)(1) of this section for each Category 1 and Category 2 exempt replacement engine for each vessel during the preceding year. For Tier 3 replacement engines at or above 600 kW, describe why any engines certified to Tier 4 standards without aftertreatment are not suitable.
(iii) Identify the number of Category 3 exempt replacement engines. We may require you to describe how you made the determinations described in paragraph (a)(1) of this section for each engine.
(iv) Include the following statement:
I certify that the statements and information in the enclosed document
(f) The provisions of 40 CFR 1068.240(c) allow you to ship a limited number of exempt replacement engines to vessel owners or distributors without making the determinations described in paragraph (a) of this section. Note that such engines do not count toward the production limits of 40 CFR 1068.240(c) if you meet all the requirements of this section by the due date for the annual report. You may count Tier 3 commercial marine replacement engines at or above 600 kW as tracked engines under 40 CFR 1068.240(b) even if they have not been shipped to or designated for a specific vessel owner in the specified time frame.
(g) In unusual circumstances, you may ask us to allow you to apply the replacement engine exemption of this section for repowering a vessel that becomes a “new vessel” under § 1042.901 as a result of modifications, as follows:
(1) You must demonstrate that no manufacturer produces an engine certified to Tier 4 standards with the appropriate physical or performance characteristics to repower the vessel. We will consider concerns about the size of the replacement engine and its compatibility with vessel components relative to the overall scope of the project.
(2) Exempt replacement engines under this paragraph (g) must meet the Tier 3 standards specified in § 1042.101 (or the Tier 2 standards if there are no Tier 3 standards).
(3) We will not approve a request for an exemption from the Tier 3 standards for any engines.
(4) You may not use the exemption provisions for untracked replacement engines under 40 CFR 1068.240(c) for repowering a vessel that becomes a “new vessel” under § 1042.901 as a result of modifications.
The provisions of paragraphs (a) through (c) of this section apply for Category 1 and Category 2 engines, including auxiliary engines installed on vessels with Category 3 propulsion engines. Paragraphs (a) through (c) do not apply for any Category 3 engines. All engines exempted under this section must comply with the applicable requirements of 40 CFR part 1043.
(b) * * *
(4) Operating a vessel containing an engine exempted under this paragraph (b) violates the prohibitions in 40 CFR 1068.101(a)(1) if the vessel is not in full compliance with applicable requirements for international safety specified in paragraph (b)(1)(i) of this section.
(b)
(f) * * *
(1) Only fuel additives registered under 40 CFR part 79 may be used under this paragraph (f).
If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system for locomotives under 40 CFR part 1033, you may also certify the system under this part, according to the provisions of this section.
(c) Systems that were certified to the standards of 40 CFR part 92 are subject to the following restrictions:
(1) Tier 0 locomotive systems may not be used for any Category 1 engines or Tier 1 or later Category 2 engines.
(2) Where systems certified to the standards of 40 CFR part 1033 are also available for an engine, you may not use a system certified to the standards of 40 CFR part 92.
(3) For an uncertified marine engine excluded under § 1042.5 that is later subject to this part as a result of being installed in a different vessel, model year means the calendar year in which the engine was installed in the non-excluded vessel. For a marine engine excluded under § 1042.5 that is later subject to this part as a result of reflagging the vessel, model year means the calendar year in which the engine was originally manufactured. For a marine engine that becomes new under paragraph (7) of the definition of “new marine engine,” model year means the calendar year in which the engine was originally manufactured. (See definition of “new marine engine,” paragraphs (3) and (7).)
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the
(b) The International Maritime Organization, 4 Albert Embankment, London SE1 7SR, United Kingdom, or
(1) MARPOL Annex VI, Regulations for the Prevention of Air Pollution from Ships, Fourth Edition, 2017, and NO
(i) Revised MARPOL Annex VI, Regulations for the Prevention of Pollution from Ships, Fourth Edition, 2017 (“2008 Annex VI”); IBR approved for § 1042.901.
(ii) NO
(2) [Reserved]
(a)
(b)
(3)
(i)
(B) As an option, the manufacturer may instead choose to comply with limits of 1.25 times the applicable standards (or FELs) when tested over the whole power range in accordance with the supplemental test procedures specified in § 1042.515.
(ii)
(B) As an option, the manufacturer may instead choose to comply with limits of 1.25 times the applicable standards (or FELs) when tested over the whole power range in accordance with the supplemental test procedures specified in § 1042.515.
33 U.S.C. 1901–1912.
(a) You must send the Designated Certification Officer a separate application for an EIAPP certificate for each engine family. An EIAPP certificate is valid starting with the indicated effective date and is valid for any production until such time as the design of the engine family changes or more stringent emission standards become applicable, whichever comes first. Note that an EIAPP certificate demonstrating compliance with Tier I or Tier II standards (but not the Tier III standard) is only a limited authorization to install engines on vessels. For example, you may produce such Tier I or Tier II engines, but those engines may not be installed in vessels that are subject to Tier III standards. You may obtain preliminary approval of portions of the application under 40 CFR 1042.210.
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the
(b) The International Maritime Organization, 4 Albert Embankment, London SE1 7SR, United Kingdom, or
(1) MARPOL Annex VI, Regulations for the Prevention of Air Pollution from Ships, Fourth Edition, 2017, and NO
(i) Revised MARPOL Annex VI, Regulations for the Prevention of Pollution from Ships, Fourth Edition, 2017 (“2008 Annex VI”); IBR approved for §§ 1043.1 introductory text, 1043.20, 1043.30(f), 1043.60(c), and 1043.70(a).
(ii) NO
(2) [Reserved]
42 U.S.C. 7401–7671q.
(c) Outboard and personal watercraft engines originally meeting the standards specified in appendix I of this part remain subject to those standards. Those engines remain subject to recall provisions as specified in 40 CFR part 1068, subpart F, throughout the useful life corresponding to the original certification. Also, tampering and defeat-device prohibitions continue to apply for those engines as specified in 40 CFR 1068.101.
(n)
(d) * * *
(3) The data show that the emission-data engine would meet all the requirements of this part that apply to the engine family covered by the application for certification.
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1045.820).
(a) * * *
(1) For engine families with projected U.S.-directed production volume of at least 1,600, the test periods are defined as follows:
(iv) If your annual production period is 301 days or longer, divide the annual production period evenly into four test periods. For example, if your annual production period is 392 days (56 weeks), divide the annual production period into four test periods of 98 days (14 weeks).
(c) Fuels. Use the fuels and lubricants specified in 40 CFR part 1065, subpart H, for all the testing we require in this part, except as specified in § 1045.515.
(1) Use gasoline meeting the specifications described in 40 CFR 1065.710(c) for general testing. For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use engines will use.
(2) You may alternatively use ethanol-blended fuel meeting the specifications described in 40 CFR 1065.710(b) for general testing without our advance approval. If you use the ethanol-blended fuel for certifying a given engine family, you may also use it for production-line testing or any other testing you perform for that engine family under this part. If you use the ethanol-blended fuel for certifying a given engine family, we may use the ethanol-blended fuel or the specified neat gasoline test fuel with that engine family.
(a) The following standards, which EPA originally adopted under 40 CFR part 91, apply to outboard and personal watercraft engines produced from model year 2006 through 2009:
(1) For engines at or below 4.3 kW, the HC+NO
(2) For engines above 4.3 kW, the following HC+NO
(b) Table 1 of this appendix describes the phase-in standards for outboard and personal watercraft engines for model years 1998 through 2005. For engines with maximum engine power above 4.3 kW, the standard is expressed by the following formula, in g/kW-hr, with constants for each year identified in Table 1 of this appendix:
42 U.S.C. 7401–7671q.
The interim provisions in this section apply instead of other provisions in this part. This section describes when these interim provisions expire.
(a)–(f) [Reserved]
(g)
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1048.820).
(c) Use the fuels and lubricants specified in 40 CFR part 1065, subpart H, to perform valid tests for all the testing we require in this part, except as noted in § 1048.515.
(1) Use gasoline meeting the specifications described in 40 CFR 1065.710(c) for general testing. For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use engines will use.
(2) You may alternatively use ethanol-blended fuel meeting the specifications described in 40 CFR 1065.710(b) for general testing without our advance approval. If you use the ethanol-blended fuel for certifying a given engine family, you may also use it for production-line testing or any other testing you perform for that engine family under this part. If you use the ethanol-blended fuel for certifying a given engine family, we may use the ethanol-blended fuel or the specified neat gasoline test fuel with that engine family.
42 U.S.C. 7401–7671q.
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1051.820).
(a) * * *
(1) For engine families with projected U.S.-directed production volume of at least 1,600, the test periods are defined as follows:
(iv) If your annual production period is 301 days or longer, divide the annual production period evenly into four test periods. For example, if your annual production period is 392 days (56 weeks), divide the annual production period into four test periods of 98 days (14 weeks).
(d)
(1)
(i) For gasoline-fueled engines, use the grade of gasoline specified in 40 CFR 1065.710(c) for general testing. You may alternatively use ethanol-blended fuel meeting the specifications described in 40 CFR 1065.710(b) for general testing without our advance approval. If you use the ethanol-blended fuel for certifying a given engine family, you may also use it for production-line testing or any other testing you perform for that engine family under this part. If you use the ethanol-blended fuel for certifying a given engine family, we may use the ethanol-blended fuel or the specified neat gasoline test fuel with that engine family.
(ii) For diesel-fueled engines, use either low-sulfur diesel fuel or ultra low-sulfur diesel fuel meeting the specifications in 40 CFR 1065.703. If you use sulfur-sensitive technology as defined in 40 CFR 1039.801 and you measure emissions using ultra low-sulfur diesel fuel, you must add a permanent label near the fuel inlet with the following statement: “ULTRA LOW SULFUR FUEL ONLY”.
(2)
(ii) For the permeation measurement test in § 1051.515(b), use the fuel specified in 40 CFR 1065.710(c). As an alternative, you may use any of the fuels specified in paragraph (d)(2)(i) of this section.
(3)
42 U.S.C. 7401–7671q.
(a) * * *
(1) The requirements of this part related to exhaust emissions apply to new, nonroad spark-ignition engines with maximum engine power at or below 19 kW. This includes auxiliary marine spark-ignition engines.
(5) We specify provisions in §§ 1054.145(f) and 1054.740 that allow for meeting the requirements of this part before the dates shown in Table 1 to this section. Engines, fuel-system components, or equipment certified to the standards in §§ 1054.145(f) and 1054.740 are subject to all the requirements of this part as if these optional standards were mandatory.
(c) Engines originally meeting Phase 1 or Phase 2 standards as specified in appendix I of this part remain subject to those standards. Those engines remain subject to recall provisions as specified in 40 CFR part 1068, subpart F, throughout the useful life corresponding to the original certification. Also, tampering and defeat-device prohibitions continue to apply for those engines as specified in 40 CFR 1068.101.
(d) The regulations in this part optionally apply to engines with maximum engine power at or below 30 kW and with displacement at or below 1,000 cubic centimeters that would otherwise be covered by 40 CFR part 1048. See 40 CFR 1048.615 for provisions related to this allowance.
(a) The requirements and prohibitions of this part apply to manufacturers of engines and equipment, as described in § 1054.1. The requirements of this part are generally addressed to manufacturers subject to this part's requirements. The term “you” generally means the certifying manufacturer. For provisions related to exhaust emissions,
(b) Equipment manufacturers must meet applicable requirements as described in § 1054.20. Engine manufacturers that assemble an engine's complete fuel system are considered to be the equipment manufacturer with respect to evaporative emissions (see 40 CFR 1060.5). Note that certification requirements for component manufacturers are described in 40 CFR part 1060.
Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1054.801). See § 1054.825 for additional reporting and recordkeeping provisions.
(c)
(c)
(b)
(c)
Give the ultimate purchaser of each new engine written instructions for properly maintaining and using the engine, including the emission control system as described in this section. The maintenance instructions also apply to service accumulation on your emission-data engines as described in § 1054.245 and in 40 CFR part 1065.
(c)
(e)
(b) * * *
(2) State: “Failing to follow these instructions when installing a certified engine in a piece of equipment violates federal law (40 CFR 1068.105(b)), subject to fines or other penalties as described in the Clean Air Act.”
(5) Describe how your certification is limited for any type of application. For example, if you certify engines only for rated-speed applications, tell equipment manufacturers that the engine must not be installed in equipment involving intermediate-speed operation. Also, if your wintertime engines are not certified to the otherwise applicable HC+NO
(c) * * *
(2) Include your full corporate name and trademark. You may identify another company and use its trademark instead of yours if you comply with the branding provisions of 40 CFR 1068.45.
(e) * * *
(1) You may identify other emission standards that the engine meets or does not meet (such as California standards), as long as this does not cause you to omit any of the information described in paragraph (c) of this section. You may include this information by adding it to the statement we specify or by including a separate statement.
The interim provisions in this section apply instead of other provisions in this part. This section describes how and when these interim provisions apply.
(a)–(b) [Reserved]
(c)
(d)
(e) [Reserved]
(f)
(g) through (i) [Reserved]
(j)
(k)–(m) [Reserved]
(n)
(1) You may certify individual engine families using data from testing conducted with California Phase 2 test fuel through model year 2019. Any EPA testing with such an engine family may use either California Phase 2 test fuel or the test fuel specified in § 1054.501.
(2) Starting in model year 2013, you may certify individual engine families using data from testing conducted with California Phase 3 test fuel. Any EPA testing with such an engine family may use either California Phase 3 test fuel or the test fuel specified in § 1054.501, unless you certify to the more stringent CO standards specified in this paragraph (n)(2). If you meet these alternate CO standards, we will also use California Phase 3 test fuel for any testing we perform with engines from that engine family. The following alternate CO standards apply instead of the CO standards specified in § 1054.103 or § 1054.105:
(o) * * *
(1) Present emission data for hydrocarbon (such as THC, THCE, or NMHC, as applicable), NO
(p) * * *
(1) Report all valid test results involving measurement of pollutants for which emission standards apply. Also indicate whether there are test results from invalid tests or from any other tests of the emission-data engine, whether or not they were conducted according to the test procedures of subpart F of this part. We may require you to report these additional test results. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR parts 1060 and 1065.
(v) Provide the following information about your plans for producing and selling engines:
(1) Identify the estimated initial and final dates for producing engines from the engine family for the model year.
(2) Identify the estimated date for initially introducing certified engines into U.S. commerce under this certificate.
(3) Include good-faith estimates of U.S.-directed production volumes. Include a justification for the estimated production volumes if they are substantially different than actual production volumes in earlier years for similar models. Also indicate whether you expect the engine family to contain only nonroad engines, only stationary engines, or both.
(x) Include the information required by other subparts of this part. For example, include the information required by § 1054.725 if you participate in the ABT program and include the information required by § 1054.690 if you need to post a bond under that section.
The revisions and addition read as follows:
(b) To amend your application for certification, send the following relevant information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the model or configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended emission family complies with all applicable requirements in this part. You may do this by showing that the original emission-data engine or emission-data equipment is still appropriate for showing that the amended family complies with all applicable requirements in this part.
(3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified engine configuration, include new test data showing that the new or modified engine configuration meets the requirements of this part.
(4) Include any other information needed to make your application correct and complete.
(f) You may ask us to approve a change to your FEL with respect to exhaust emissions in certain cases after the start of production. The changed FEL may not apply to engines you have already introduced into U.S. commerce, except as described in this paragraph (f). If we approve a changed FEL after the start of production, you must identify the month and year for applying the new FEL. You may ask us to approve a change to your FEL in the following cases:
(g) You may produce engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit.
(a) Select an emission-data engine from each engine family for testing as described in 40 CFR 1065.401. Select a configuration and set adjustable parameters in a way that is most likely to exceed the HC+NO
(b) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. In the case of flexible-fuel engines, measure emissions when operating with the fuel mixture that is most likely to cause the engine to exceed the applicable HC+NO
(c) We may perform confirmatory testing by measuring emissions from any of your emission-data engines or other engines from the emission family, as follows:
(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the engine to a test facility we designate. The engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.
(2) If we measure emissions on one of your engines, the results of that testing become the official emission results for the engine.
(3) We may set the adjustable parameters of your engine to any point within the physically adjustable ranges (see § 1054.115(b)).
(4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, we may calibrate it within normal production tolerances for a parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1054.801) because it is permanently sealed.
(d) You may ask to use carryover emission data from a previous model year instead of doing new tests, but only if all the following are true:
(1) The emission family from the previous model year differs from the current emission family only with respect to model year, items identified in § 1054.225(a), or other characteristics unrelated to emissions. We may waive this paragraph (d)(1) for differences we determine not to be relevant.
(2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (b) of this section.
(3) The data show that the emission-data engine would meet all the requirements of this part that apply to the emission family covered by the application for certification.
(a) For purposes of certification, your emission family is considered in compliance with the emission standards in § 1054.101(a) if all emission-data engines representing that family have test results showing official emission results and deteriorated emission levels at or below these standards. This paragraph (a) also applies for all test points for emission-data engines within the family used to establish deterioration factors. Note that your FELs are considered to be the applicable emission standards with which you must comply if you participate in the ABT program in subpart H of this part.
(b) Your engine family is deemed not to comply if any emission-data engine representing that family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard in subpart B of this part. This paragraph (b) also applies for all test points for emission-data engines within the family used to establish deterioration factors.
(c) Determine a deterioration factor to compare emission levels from the emission-data engine with the applicable emission standards in subpart B of this part. Section 1054.245 specifies how to test engines to develop deterioration factors that represent the expected deterioration in emissions over your engines' full useful life. Calculate a multiplicative deterioration factor as described in § 1054.245(b). If the deterioration factor is less than one, use one. Specify the deterioration factor to one more significant figure than the emission standard. In the case of dual-fuel and flexible-fuel engines, apply deterioration factors separately for each fuel type. You may use assigned deterioration factors that we establish for up to 10,000 nonhandheld engines from small-volume emission families in each model year, except that small-volume engine manufacturers may use assigned deterioration factors for any or all of their engine families.
(d) Determine the official emission result for each pollutant to at least one more decimal place than the applicable standard in subpart B of this part. Apply the deterioration factor to the official emission result, as described in § 1054.245(b), then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine. In the case of HC+NO
The revisions and addition read as follows:
(a) You may ask us to approve deterioration factors for an emission family based on emission measurements from similar engines if you have already given us these data for certifying other engines in the same or earlier model years. Use good engineering judgment to decide whether the two engines are similar. We will approve your request if you show us that the emission measurements from other engines reasonably represent in-use deterioration for the engine family for which you have not yet determined deterioration factors.
(b) * * *
(1) Measure emissions from the emission-data engine at a low-hour test point, at the midpoint of the useful life, and at the end of the useful life, except as specifically allowed by this paragraph (b). You may test at additional evenly spaced intermediate points. Collect emission data using measurements to at least one more decimal place than the emission standard in subpart B of this part.
(2) Operate the engine over a duty cycle that is representative of in-use operation for a period at least as long as the useful life (in hours). You may operate the engine continuously. You may also use an engine installed in nonroad equipment to accumulate service hours instead of running the engine only in the laboratory.
(3) In the case of dual-fuel or flexible-fuel engines, you may accumulate service hours on a single emission-data engine using the type or mixture of fuel expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture for flexible-fuel engines if you demonstrate that a different criterion is more appropriate. For dual-fuel engines, you must measure emissions on each fuel type at each test point, either with separate engines dedicated to a given fuel, or with different configurations of a single engine.
(5) Calculate your deterioration factor using a linear least-squares fit of your test data but treat the low-hour test point as occurring at hour zero. Your deterioration factor is the ratio of the calculated emission level at the point representing the full useful life to the calculated emission level at zero hours, expressed to one more significant figure than the emission standard in subpart B of this part.
(c) If you qualify for using assigned deterioration factors under § 1054.240, determine the deterioration factors as follows:
(1) For two-stroke engines without aftertreatment, use a deterioration factor of 1.1 for HC, NO
(2) For Class 2 engines with aftertreatment, use a deterioration factor of 1.0 for NO
(3) Combine separate deterioration factors for HC and NO
(d) Include the following information in your application for certification:
(1) If you determine your deterioration factors based on test data from a different emission family, explain why this is appropriate and include all the emission measurements on which you base the deterioration factor.
(2) If you do testing to determine deterioration factors, describe the form and extent of service accumulation, including the method you use to accumulate hours.
(3) If you calculate deterioration factors under paragraph (c) of this section, identify the parameters and variables you used for the calculation.
The revisions read as follows:
(b) * * *
(3) * * *
(iv) All your emission tests (valid and invalid), including the date and purpose of each test and documentation of test parameters as specified in part 40 CFR part 1065.
(c) Keep required data from emission tests and all other information specified in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information.
(a) If we determine an application is complete and shows that the emission family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the emission family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an emission family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing, reporting, or bonding requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines or equipment for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines or equipment being produced.
(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting your application that causes the submitted information to be false or incomplete.
(f) If we deny an application or suspend, revoke, or void a certificate of conformity, you may ask for a hearing (see § 1054.820).
(a) * * *
(2) We may exempt small-volume emission families from routine testing under this subpart. Submit your request for approval as described in § 1054.210. In your request, describe your basis for projecting a production volume below 5,000 units. We will approve your request if we agree that you have made good-faith estimates of your production volumes. You must promptly notify us if your actual production exceeds 5,000 units during the model year. If you exceed the production limit or if there is evidence of a nonconformity, we may require you to test production-line engines under this subpart, or under 40 CFR part 1068, subpart E, even if we have approved an exemption under this paragraph (a)(2).
(a) * * *
(1) For engine families with projected U.S.-directed production volume of at least 1,600, the test periods are defined as follows:
(iv) If your annual production period is 301 days or longer, divide the annual production period evenly into four test periods. For example, if your annual production period is 392 days (56 weeks), divide the annual production period into four test periods of 98 days (14 weeks).
(c) * * *
(2) Calculate the standard deviation, σ, for the test sample using the following formula:
(a) * * *
(1)
(c) Use test data from a failing engine for the compliance demonstration under § 1054.315 as follows:
(1) Use the original, failing test results as described in § 1054.315, whether or not you modify the engine or destroy it.
(2) Do not use test results from a modified engine as final test results under § 1054.315, unless you change your production process for all engines to match the adjustments you made to the failing engine. If this occurs, count the modified engine as the next engine in the sequence, rather than averaging the results with the testing that occurred before modifying the engine.
(b) * * *
(1) Measure the emissions of all exhaust constituents subject to emission standards as specified in § 1054.505 and 40 CFR part 1065. Measure CO
(2) Use the appropriate fuels and lubricants specified in 40 CFR part 1065, subpart H, for all the testing we require in this part. Gasoline test fuel must meet the specifications in 40 CFR 1065.710(c), except as specified in § 1054.145(n) and 40 CFR 1065.10 and 1065.701. Use gasoline specified for general testing except as specified in paragraph (d) of this section. For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use engines will use. Note that § 1054.145(n) allows for testing with gasoline test fuels specified by the California Air Resources Board for any individual engine family.
(4) The provisions of 40 CFR 1065.405 describe how to prepare an engine for testing. However, you may consider emission levels stable without measurement after 12 hours of engine operation, except for the following special provisions that apply for engine families with a useful life of 300 hours or less:
(b) * * *
(2) For nonhandheld engines, use the six-mode duty cycle or the corresponding ramped-modal cycle described in paragraph (b) of appendix II of this part. Control engine speeds and torques during idle mode as specified in paragraph (c) of this section. Control engine speed during the full-load operating mode as specified in paragraph (d) of this section. For all other modes, control engine speed to within 5 percent of the nominal speed specified in paragraph (d) of this section or let the installed governor (in the production configuration) control engine speed. For all modes except idle, control torque as needed to meet the cycle-validation criteria in paragraph (a)(1) of this section. The governor may be adjusted before emission sampling to target the nominal speed identified in paragraph (d) of this section, but the installed governor must control engine speed throughout the emission-sampling period whether the governor is adjusted or not. Note that ramped-modal testing involves continuous sampling, so governor adjustments may not occur during such a test. Note also that our testing may involve running the engine with the governor in the standard configuration even if you adjust the governor as described in this paragraph (b)(2) for certification or production-line testing.
(d) Subpart C of this part describes how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit the definitions in this part of either dual-fuel or flexible-fuel. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible-fuel engines based on the range of possible and expected fuel mixtures.
The provisions of this section are limited to small-volume emission families.
(c) * * *
(2) Sale of the equipment in which the engine is installed must be limited to professional competition teams, professional competitors, or other qualified competitors. Engine manufacturers may sell loose engines to these same qualified competitors, and to equipment manufacturers supplying competition models for qualified competitors.
An action for the purpose of installing or modifying altitude kits and performing other changes to compensate for changing altitude is not considered a prohibited act under 40 CFR 1068.101(b) if it is done consistent with the manufacturer's instructions.
(f) If you are required to post a bond under this section, you must get the bond from a third-party surety that is cited in the U.S. Department of Treasury Circular 570, “Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies” (
(i) If you are required to post a bond under this section, you must note that in your application for certification as described in § 1054.205. Your certification is conditioned on your compliance with this section. Your certificate is automatically suspended if you fail to comply with the requirements of this section. This suspension applies with respect to all engines in your possession as well as all engines being imported or otherwise introduced into U.S. commerce. For example, if you maintain a bond sufficient to cover 500 engines, you may introduce into U.S. commerce only 500 engines under your certificate; your certificate would be automatically suspended for any additional engines. Introducing such additional engines into U.S. commerce would violate 40 CFR 1068.101(a)(1). For importation, U.S. Customs may deny entry of engines lacking the necessary bond, whether there is no bond or the value of the bond is not sufficient for the appropriate production volumes. We may also revoke your certificate.
(c) * * *
(2) Handheld engines and nonhandheld engines are in separate averaging sets with respect to exhaust emissions except as specified in § 1054.740(e). You may use emission credits generated with Phase 2 engines for Phase 3 handheld engines only if you can demonstrate that those credits were generated by handheld engines, except as specified in § 1054.740(e). Similarly, you may use emission credits generated with Phase 2 engines for Phase 3 nonhandheld engines only if you can demonstrate that those credits were generated by nonhandheld engines, subject to the provisions of § 1054.740.
(i) As described in § 1054.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual U.S.-directed production volumes. Do not include any of the following engines or equipment to calculate emission credits:
(1) Engines or equipment with a permanent exemption under subpart G of this part or under 40 CFR part 1068.
(c) If you certify a family to an FEL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the family's deficit by the due date for the final report required in § 1054.730. The emission credits used to address the deficit may come from your other families that generate emission credits in the same model year, from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading.
(b) You may designate any emission credits you plan to bank in the reports you submit under § 1054.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading.
(b) * * *
(2) Detailed calculations of projected emission credits (positive or negative) based on projected production volumes. We may require you to include similar calculations from your other engine families to demonstrate that you will be able to avoid negative credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits.
(b) * * *
(1) Family designation and averaging set.
(3) The FEL for each pollutant. If you change the FEL after the start of production, identify the date that you started using the new FEL and/or give the engine identification number for the first engine covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1054.225.
(4) The projected and actual U.S.-directed production volumes for the model year as described in § 1054.701(i). For fuel tanks, state the production volume in terms of surface area and production volume for each fuel tank configuration and state the total surface area for the emission family. If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL.
(d) * * *
(1) * * *
(iii) The averaging set corresponding to the families that generated emission credits for the trade, including the number of emission credits from each averaging set.
(2) * * *
(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply for each averaging set.
(a) You must organize and maintain your records as described in this section.
(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines or equipment if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits.
(c) You may not use emission credits generated by nonhandheld engines certified to Phase 2 emission standards to demonstrate compliance with the Phase 3 exhaust emission standards in 2014 and later model years.
The revisions and additions read as follows:
(1) It is carried by the operator throughout the performance of its intended function.
(2) It is designed to operate multi-positionally, such as upside down or sideways, to complete its intended function.
(3) It has a combined engine and equipment dry weight under 16.0 kilograms, has no more than two wheels, and at least one of the following attributes is also present:
(i) The operator provides support or carries the equipment throughout the performance of its intended function. Carry means to completely bear the weight of the equipment, including the engine. Support means to hold a piece of equipment in position to prevent it from falling, slipping, or sinking, without carrying it.
(ii) The operator provides support or attitudinal control for the equipment throughout the performance of its intended function. Attitudinal control involves regulating the horizontal or vertical position of the equipment.
(4) It is an auger with a combined engine and equipment dry weight under 22.0 kilograms.
(5) It is used in a recreational application with a combined total vehicle dry weight under 20.0 kilograms.
(6) It is a hand-supported jackhammer or rammer/compactor. This does not include equipment that can remain upright without operator support, such as a plate compactor.
(1) A freshly manufactured nonroad engine for which the ultimate purchaser has never received the equitable or legal title. This kind of engine might commonly be thought of as “brand new.” In the case of this paragraph (1), the engine is new from the time it is produced until the ultimate purchaser receives the title or the product is placed into service, whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine or a stationary engine that is later used or intended to be used in a piece of nonroad equipment. In this case, the engine is no longer a motor vehicle or stationary engine and becomes a “new nonroad engine.” The engine is no longer new when it is placed into nonroad service. This paragraph (2) applies if a motor vehicle engine or a stationary engine is installed in nonroad equipment, or if a motor vehicle or a piece of stationary equipment is modified (or moved) to become nonroad equipment.
(3) A nonroad engine that has been previously placed into service in an application we exclude under § 1054.5, when that engine is installed in a piece of equipment that is covered by this part. The engine is no longer new when it is placed into nonroad service covered by this part. For example, this paragraph (3) would apply to a marine-propulsion engine that is no longer used in a marine vessel but is instead installed in a piece of nonroad equipment subject to the provisions of this part.
(4) An engine not covered by paragraphs (1) through (3) of this definition that is intended to be installed in new nonroad equipment. This generally includes installation of used engines in new equipment. The engine is no longer new when the ultimate purchaser receives a title for the equipment or the product is placed into service, whichever comes first.
(5) An imported nonroad engine, subject to the following provisions:
(i) An imported nonroad engine covered by a certificate of conformity issued under this part that meets the criteria of one or more of paragraphs (1) through (4) of this definition, where the original engine manufacturer holds the certificate, is new as defined by paragraphs (1) through (4).
(ii) An imported engine that will be covered by a certificate of conformity issued under this part, where someone other than the original engine manufacturer holds the certificate (such as when the engine is modified after its initial assembly), is a new nonroad engine when it is imported. It is no longer new when the ultimate purchaser receives a title for the engine or it is placed into service, whichever comes first.
(iii) An imported nonroad engine that is not covered by a certificate of conformity issued under this part at the time of importation is new. This paragraph (5)(iii) addresses uncertified engines and equipment initially placed into service that someone seeks to import into the United States. Importation of this kind of engine (or equipment containing such an engine) is generally prohibited by 40 CFR part 1068. However, the importation of such an engine is not prohibited if the engine has a date of manufacture before January 1, 1997, since it is not subject to standards.
(1) A nonroad piece of equipment for which the ultimate purchaser has never received the equitable or legal title. The product is no longer new when the ultimate purchaser receives this title or the product is placed into service, whichever comes first.
(2) A nonroad piece of equipment with an engine that becomes new while installed in the equipment. For example, a complete piece of equipment that was imported without being covered by a certificate of conformity would be new nonroad equipment because the engine would be considered new at the time of importation.
Phase 1 means relating to the Phase 1 emission standards described in appendix I of this part.
Phase 2 means relating to the Phase 2 emission standards described in appendix I of this part.
(1) For requirements related to exhaust emissions for nonhandheld engines and to exhaust and evaporative emissions for handheld engines,
(2) For requirements related to evaporative emissions for nonhandheld equipment,
(1) For handheld equipment, an equipment manufacturer that had a U.S.-directed production volume of no more than 25,000 pieces of handheld equipment in any calendar year. For manufacturers owned by a parent company, this production limit applies to the production of the parent company and all its subsidiaries.
(2) For nonhandheld equipment, an equipment manufacturer with annual U.S.-directed production volumes of no more than 5,000 pieces of nonhandheld equipment in any calendar year. For manufacturers owned by a parent company, this production limit applies to the production of the parent company and all its subsidiaries.
(3) An equipment manufacturer that we designate to be a small-volume equipment manufacturer under § 1054.635.
The provisions of 40 CFR 1068.10 apply for information you consider confidential.
(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may request these records at any time. You must promptly give us organized, written records in English if we ask for them. This requirement to give us records applies whether or not you rely on someone else to keep records on your behalf. We may require you to submit written records in an electronic format.
(b) The regulations in § 1054.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.
(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1054.801).
(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records.
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.,), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations in this chapter. The following items illustrate the kind of reporting and recordkeeping we require for engines and equipment regulated under this part:
(1) We specify the following requirements related to engine and equipment certification in this part:
(i) In § 1054.20 we require equipment manufacturers to label their equipment if they are relying on component certification.
(ii) In § 1054.135 we require engine manufacturers to keep certain records related to duplicate labels sent to equipment manufacturers.
(iii) In § 1054.145 we include various reporting and recordkeeping requirements related to interim provisions.
(iv) In subpart C of this part we identify a wide range of information required to certify engines.
(v) In §§ 1054.345 and 1054.350 we specify certain records related to production-line testing.
(vi) [Reserved]
(vii) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.
(viii) In §§ 1054.725, 1054.730, and 1054.735 we specify certain records related to averaging, banking, and trading.
(2) We specify the following requirements related to component and equipment certification in 40 CFR part 1060:
(i) In 40 CFR 1060.20 we give an overview of principles for reporting information.
(ii) In 40 CFR part 1060, subpart C, we identify a wide range of information required to certify products.
(iii) In 40 CFR 1060.301 we require manufacturers to keep records related to evaluation of production samples for verifying that the products are as specified in the certificate of conformity.
(iv) In 40 CFR 1060.310 we require manufacturers to make components, engines, or equipment available for our testing if we make such a request.
(v) In 40 CFR 1060.505 we specify information needs for establishing various changes to published test procedures.
(3) We specify the following requirements related to testing in 40 CFR part 1065:
(i) In 40 CFR 1065.2 we give an overview of principles for reporting information.
(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published test procedures.
(iii) In 40 CFR 1065.25 we establish basic guidelines for storing test information.
(iv) In 40 CFR 1065.695 we identify the specific information and data items to record when measuring emissions.
(4) We specify the following requirements related to the general compliance provisions in 40 CFR part 1068:
(i) In 40 CFR 1068.5 we establish a process for evaluating good engineering judgment related to testing and certification.
(ii) In 40 CFR 1068.25 we describe general provisions related to sending and keeping information.
(iii) In 40 CFR 1068.27 we require manufacturers to make engines available for our testing or inspection if we make such a request.
(iv) In 40 CFR 1068.105 we require equipment manufacturers to keep certain records related to duplicate labels from engine manufacturers.
(v) In 40 CFR 1068.120 we specify recordkeeping related to rebuilding engines.
(vi) In 40 CFR part 1068, subpart C, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions.
(vii) In 40 CFR part 1068, subpart D, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines.
(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records related to testing production-line engines in a selective enforcement audit.
(ix) In 40 CFR 1068.501 we specify certain records related to investigating and reporting emission-related defects.
(x) In 40 CFR 1068.525 and 1068.530 we specify certain records related to recalling nonconforming engines.
(xi) In 40 CFR part 1068, subpart G, we specify certain records for requesting a hearing.
The following standards, which EPA originally adopted under 40 CFR part 90, apply to nonroad spark-ignition engines produced before the model years specified in § 1054.1:
(a)
(2) Phase 2 standards apply for handheld engines as summarized in the following table starting with model year 2002 for Class III and Class IV, and starting in model year 2004 for Class V:
(b) Nonhandheld engines. (1) Phase 1 standards apply for nonhandheld engines as summarized in the following table starting with model year 1997:
(2) Phase 2 standards apply for nonhandheld engines as summarized in the following table starting with model year 2001 (except as noted for Class I engines):
(3) Note that engines subject to Phase 1 standards were not subject to useful life provisions as specified in § 1054.107. In addition, engines subject to Phase 1 standards and engines subject to Phase 2 standards were both not subject to the following provisions:
(i) Evaporative emission standards as specified in §§ 1054.110 and 1054.112.
(ii) Altitude adjustments as specified in § 1054.115(c).
(iii) Warranty assurance provisions as specified in § 1054.120(f).
(iv) Emission-related installation instructions as specified in § 1054.130.
(v) Bonding requirements as specified in § 1054.690.
(b) * * *
(2) The following duty cycle applies for ramped-modal testing:
42 U.S.C. 7401–7671q.
(a) * * *
(7) Portable nonroad fuel tanks are considered portable marine fuel tanks for purposes of this part. Portable nonroad fuel tanks and fuel lines associated with such fuel tanks must therefore meet evaporative emission standards specified in 40 CFR 1045.112, whether or not they are used with marine vessels.
(c) Fuel caps are subject to evaporative emission standards at the point of installation on a fuel tank. When a fuel cap is certified for use with Marine SI engines or Small SI engines under the optional standards of § 1060.103, it becomes subject to all the requirements of this part as if these optional standards were mandatory.
(d) This part does not apply to any diesel-fueled engine or any other engine that does not use a volatile liquid fuel. In addition, this part does not apply to any engines or equipment in the following categories even if they use a volatile liquid fuel:
(1) Light-duty motor vehicles (see 40 CFR part 86).
(2) Heavy-duty motor vehicles and heavy-duty motor vehicle engines (see 40 CFR part 86). This part also does not apply to fuel systems for nonroad engines where such fuel systems are subject to part 86 because they are part of a heavy-duty motor vehicle.
(3) Aircraft engines (see 40 CFR part 87).
(4) Locomotives (see 40 CFR part 1033).
(a) * * *
(1) Each person meeting the definition of manufacturer (see § 1060.801) for a product that is subject to the standards and other requirements of this part must comply with such requirements. However, if one person complies with a specific requirement for a given product, then all manufacturers are deemed to have complied with that specific requirement. For example, if a Small SI equipment manufacturer uses fuel lines manufactured and certified by another company, the equipment manufacturer is not required to obtain its own certificate with respect to the fuel line emission standards. Such an equipment manufacturer remains subject to the standards and other requirements of this part. However, where a provision in this part requires a specific manufacturer to comply with certain provisions, this paragraph (a) does not change or modify such a requirement. For example, this paragraph (a) does not allow you to rely on another company to certify instead of you if we specifically require you to certify.
Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1060.801). See § 1060.825 for additional reporting and recordkeeping provisions.
(b) * * *
(3) Get an approved executive order or other written approval from the California Air Resources Board showing that your system meets applicable running loss standards in California.
(c) * * *
(1) They must be self-sealing when detached from the engines. The tanks may not vent to the atmosphere when attached to an engine, except as allowed under paragraph (c)(2) of this section. An integrated or external manually activated device may be included in the fuel tank design to temporarily relieve pressure before refueling or connecting the fuel tank to the engine. However, the default setting for such a vent must be consistent with the requirement in paragraph (c)(2) of this section.
(e) Manufacturers of nonhandheld Small SI equipment may optionally meet the diurnal emission standards adopted by the California Air Resources Board. To meet the requirement in this paragraph (e), equipment must be certified to the performance standards specified in Title 13 California Code of Regulations (CCR) 2754(a) based on the applicable requirements specified in CP–902 and TP–902, including the requirements related to fuel caps in Title 13 CCR 2756. Equipment certified under this paragraph (e) does not need to use fuel lines or fuel tanks that have been certified separately. Equipment certified under this paragraph (e) are subject to all the referenced requirements in this paragraph (e) as if these specifications were mandatory.
(b)
(c)
(b) * * *
(3) Describe how your certification is limited for any type of application. For example:
(i) For fuel tanks sold without fuel caps, you must specify the requirements for the fuel cap, such as the allowable materials, thread pattern, how it must seal, etc. You must also include instructions to tether the fuel cap as described in § 1060.101(f)(1) if you do not sell your fuel tanks with tethered fuel caps. The following instructions apply for specifying a certain level of emission control for fuel caps that will be installed on your fuel tanks:
(A) If your testing involves a default emission value for fuel cap permeation as specified in § 1060.520(b)(5)(ii)(C), specify in your installation instructions that installed fuel caps must either be certified with a Family Emission Limit at or below 30 g/m2/day, or have gaskets made of certain materials meeting the definition of “low-permeability material” in § 1060.801.
(B) If you certify your fuel tanks based on a fuel cap certified with a Family Emission Limit above 30 g/m2/day, specify in your installation instructions that installed fuel caps must either be certified with a Family Emission Limit at or below the level you used for certifying your fuel tanks, or have gaskets made of certain materials meeting the definition of “low-permeability material” in § 1060.801.
(ii) If your fuel lines do not meet permeation standards specified in § 1060.102 for EPA Low-Emission Fuel Lines, tell equipment manufacturers not to install the fuel lines with Large SI engines that operate on gasoline or another volatile liquid fuel.
The labeling requirements of this section apply for all equipment manufacturers that are required to certify their equipment or use certified fuel-system components. Note that engine manufacturers are also considered equipment manufacturers if they install a complete fuel system on an engine. See § 1060.137 for the labeling requirements that apply separately for fuel lines, fuel tanks, and other fuel-system components.
(a) At the time of manufacture, you must affix a permanent and legible label identifying each engine or piece of equipment. The label must be—
(1) Attached in one piece so it is not removable without being destroyed or defaced.
(2) Secured to a part of the engine or equipment needed for normal operation and not normally requiring replacement.
(3) Durable and readable for the equipment's entire life.
(4) Written in English.
(5) Readily visible in the final installation. It may be under a hinged door or other readily opened cover. It may not be hidden by any cover attached with screws or any similar designs. Labels on marine vessels (except personal watercraft) must be visible from the helm.
(b) If you hold a certificate under this part for your engine or equipment, the engine or equipment label specified in paragraph (a) of this section must—
(2) Include your corporate name and trademark. You may identify another company and use its trademark instead of yours if you comply with the branding provisions of 40 CFR 1068.45.
(3) State the date of manufacture [MONTH and YEAR] of the equipment; however, you may omit this from the label if you stamp, engrave, or otherwise permanently identify it elsewhere on the equipment, in which case you must also describe in your application for certification where you will identify the date on the equipment.
(4) State: “THIS [equipment, vehicle, boat, etc.] MEETS U.S. EPA EVAP STANDARDS.”
(a) * * *
(4) Fuel caps, as described in this paragraph (a)(4). Fuel caps must be labeled if they are separately certified under § 1060.103. If the equipment has a diurnal control system that requires the fuel tank to hold pressure, identify the part number on the fuel cap.
(c) * * *
(1) Include your corporate name. You may identify another company instead of yours if you comply with the provisions of 40 CFR 1068.45.
(a) Describe the emission family's specifications and other basic parameters of the emission controls. Describe how you meet the running loss emission control requirements in § 1060.104, if applicable. Describe how you meet any applicable equipment-based requirements of § 1060.101(e) and (f). State whether you are requesting certification for gasoline or some other fuel type. List each distinguishable configuration in the emission family. For equipment that relies on one or more certified components, identify the EPA-issued emission family name for all the certified components.
(m) Report all valid test results. Also indicate whether there are test results from invalid tests or from any other tests of the emission-data unit, whether or not they were conducted according to the test procedures of subpart F of this part. We may require you to report these additional test results. We may ask you to send other information to confirm that your tests were valid under the requirements of this part.
(b) To amend your application for certification, send the following relevant information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended emission family complies with all applicable requirements in this part. You may do this by showing that the original emission data are still appropriate for showing that the amended family complies with all applicable requirements in this part.
(3) If the original emission data for the emission family are not appropriate to show compliance for the new or modified configuration, include new test data showing that the new or modified configuration meets the requirements of this part.
(4) Include any other information needed to make your application correct and complete.
(g) You may produce equipment or components as described in your amended application for certification and consider those equipment or components to be in a certified configuration if we approve a new or modified configuration during the model year or production period under paragraph (d) of this section. Similarly, you may modify in-use products as described in your amended application for certification and consider those products to be in a certified configuration if we approve a new or modified configuration at any time under paragraph (d) of this section. Modifying a new or in-use product to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit.
(h) Component manufacturers may not change an emission family's FEL under any circumstances. Changing the FEL would require submission of a new application for certification.
(d) * * *
(2) Type of material (such as type of charcoal used in a carbon canister). This paragraph (d)(2) does not apply for materials that are unrelated to emission control performance.
The revisions read as follows:
(d) We may perform confirmatory testing by measuring emissions from any of your products from the emission family, as follows:
(1) You must supply your products to us if we choose to perform confirmatory testing. We may require you to deliver your test articles to a facility we designate for our testing.
(2) If we measure emissions on one of your products, the results of that testing become the official emission results for the emission family. Unless we later invalidate these data, we may decide not to consider your data in determining if your emission family meets applicable requirements in this part.
(e) * * *
(1) The emission family from the previous production period differs from the current emission family only with respect to production period, items identified in § 1060.225(a), or other characteristics unrelated to emissions. We may waive the criterion in this paragraph (e)(1) for differences we determine not to be relevant.
(e) * * *
(2) * * *
(i) You may use the measurement procedures specified by the California Air Resources Board in Attachment 1 to TP–902 to show that canister working capacity is least 3.6 grams of vapor storage capacity per gallon of nominal fuel tank capacity (or 1.4 grams of vapor storage capacity per gallon of nominal fuel tank capacity for fuel tanks used in nontrailerable boats).
(a) * * *
(3) * * *
(ii) All your emission tests (valid and invalid), including the date and purpose of each test and documentation of test parameters described in subpart F of this part.
(b) Keep required data from emission tests and all other information specified in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information.
(a) If we determine an application is complete and shows that the emission family meets all the requirements of this part and the Clean Air Act, we will issue a certificate of conformity for the emission family for that production period. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an emission family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce equipment or components for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all equipment or components being produced.
(7) Take any action that otherwise circumvents the intent of the Clean Air Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(f) If we deny an application or suspend, revoke, or void a certificate of conformity, you may ask for a hearing (see § 1060.820).
(c) The specification for gasoline to be used for testing is given in 40 CFR 1065.710(b) or (c). Use the grade of gasoline specified for general testing. For testing specified in this part that requires blending gasoline and ethanol, blend this grade of neat gasoline with fuel-grade ethanol meeting the specifications of ASTM D4806 (incorporated by reference in § 1060.810). You do not need to measure the ethanol concentration of such blended fuels and may instead calculate the blended composition by assuming that the ethanol is pure and mixes perfectly with the base fuel. For example, if you mix 10.0 liters of fuel-grade ethanol with 90.0 liters of gasoline, you may assume the resulting mixture is 10.0 percent ethanol. You may use more pure or less pure ethanol if you can demonstrate that it will not affect your ability to demonstrate compliance with the applicable emission standards in subpart B of this part. Note that unless we specify otherwise, any references to gasoline-ethanol mixtures containing a specified ethanol concentration means mixtures meeting the provisions of this paragraph (c). The following table summarizes test fuel requirements for the procedures specified in this subpart:
(c) * * *
(3) You may request to use alternate procedures that are equivalent to the specified procedures, or procedures that are more accurate or more precise than the specified procedures. We may perform tests with your equipment using either the approved alternate procedures or the specified procedures. See 40 CFR 1065.12 for a description of the information that is generally required for such alternate procedures.
(a) * * *
(2) For EPA Cold-Weather Fuel Lines, use gasoline blended with ethanol as described in § 1060.501(c).
(a)
(1)
(2)
(3)
(4)
(b) * * *
(1) Fill the fuel tank to its nominal capacity with the fuel specified in paragraph (e) of this section, seal it, and allow it to soak at 28±5 °C for at least 20 weeks. Alternatively, the fuel tank may be soaked for at least 10 weeks at 43 5 °C. You may count the time of the preconditioning steps in paragraph (a) of this section as part of the preconditioning fuel soak as long as the ambient temperature remains within the specified temperature range and the fuel tank continues to be at least 40 percent full throughout the test; you may add or replace fuel as needed to conduct the specified durability procedures. Void the test if you determine that the fuel tank has any kind of leak.
(4) Allow the fuel tank and its contents to equilibrate to the temperatures specified in paragraph (d)(7) of this section. Seal the fuel tank as described in paragraph (b)(5) of this section once the fuel temperatures are stabilized at the test temperature. You must seal the fuel tank no more than eight hours after refueling. Until the fuel tank is sealed, take steps to minimize the vapor losses from the fuel tank, such as keeping the fuel cap loose on the fuel inlet or routing vapors through a vent hose.
(d) * * *
(3) Carefully place the test tank within a temperature-controlled room or enclosure. Do not spill or add any fuel.
(6) Leave the test tank in the room or enclosure for the duration of the test run, except that you may remove the tank for up to 30 minutes at a time to meet weighing requirements.
(8) * * *
(ii) If after ten days of testing your r
(9) Record the difference in mass between the reference tank and the test tank for each measurement. This value is M
(e)
(a) * * *
(2) Fill the fuel tank to 40 percent of nominal capacity with the gasoline specified in 40 CFR 1065.710(c) for general testing.
(a) As described in § 1060.1, fuel tanks and fuel lines that are used with or intended to be used with new nonroad engines or equipment are subject to evaporative emission standards under this part. This includes portable marine fuel tanks and fuel lines and other fuel-system components associated with portable marine fuel tanks. Note that § 1060.1 specifies an implementation schedule based on the date of manufacture of nonroad equipment, so new fuel tanks and fuel lines are not subject to standards under this part if they will be installed for use in equipment built before the specified dates for implementing the appropriate standards, subject to the limitations in paragraph (b) of this section. Except as specified in paragraph (f) of this section, fuel-system components that are subject to permeation or diurnal emission standards under this part must be covered by a valid certificate of conformity before being introduced into U.S. commerce to avoid violating the prohibition of 40 CFR 1068.101(a). To the extent we allow it under the exhaust standard-setting part, fuel-system components may be certified with a family emission limit higher than the specified emission standard.
(b) * * *
(2)
(a) If you are a certificate holder, you may ship components or equipment requiring further assembly between two of your facilities, subject to the provisions of this paragraph (a). Unless we approve otherwise, you must maintain ownership and control of the products until they reach their destination. We may allow for shipment where you do not maintain actual ownership and control of the engines (such as hiring a shipping company to transport the products) but only if you demonstrate that the products will be transported only according to your specifications. Notify us of your intent to use the exemption in this paragraph (a) in your application for certification, if applicable. Your exemption is effective when we grant your certificate. You may alternatively request an exemption in a separate submission; for example, this would be necessary if you will not be the certificate holder for the products in question. We may require you to take specific steps to ensure that such products are in a certified configuration before reaching the ultimate purchaser. Note that since this is a temporary exemption, it does not allow you to sell or otherwise distribute equipment in an uncertified configuration to ultimate purchasers. Note also that the exempted equipment remains new and subject to emission standards until its title is transferred to the ultimate purchaser or it otherwise ceases to be new.
(b) If you certify equipment, you may ask us at the time of certification for an exemption to allow you to ship your equipment without a complete fuel system. We will generally approve an exemption under this paragraph (b) only if you can demonstrate that the exemption is necessary and that you will take steps to ensure that equipment assembly will be properly completed before reaching the ultimate purchaser. We may specify conditions that we determine are needed to ensure that shipping the equipment without such components will not result in the equipment operating with uncertified components or otherwise in an uncertified configuration. For example, we may require that you ship the equipment to manufacturers that are contractually obligated to install certain components. See 40 CFR 1068.261.
(1) For equipment defined as “new nonroad equipment” under paragraph (1) of the definition of “new nonroad equipment” model year means one of the following:
(i) Calendar year of production.
(ii) Your annual new model production period if it is different than the calendar year. This must include January 1 of the calendar year for which the model year is named. It may not begin before January 2 of the previous calendar year and it must end by December 31 of the named calendar year.
(2) For other equipment defined as “new nonroad equipment” under paragraph (2) of the definition of “new nonroad equipment” model year has the meaning given in the exhaust standard-setting part.
(3) For other equipment defined as “new nonroad equipment” under paragraph (3) or (4) of the definition of “new nonroad equipment” model year means the model year of the engine as defined in the exhaust standard-setting part.
(1) It has design features indicative of use in portable applications, such as a carrying handle and fuel line fitting that can be readily attached to and detached from a nonroad engine.
(2) It has a nominal fuel capacity of 12 gallons or less.
(3) It is designed to supply fuel to an engine while the engine is operating.
(4) It is not used or intended to be used to supply fuel to a marine engine. Note that portable tanks excluded from this definition of “portable nonroad fuel tank” under this paragraph (4) because of their use with marine engines are portable marine fuel tanks.
The revision reads as follows:
(e)
The provisions of 40 CFR 1068.10 apply for information you consider confidential.
(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may request these records at any time. You must promptly give us organized, written records in English if we ask for them. This paragraph (a) applies whether or not you rely on someone else to keep records on your behalf. We may require you to submit written records in an electronic format.
(b) The regulations in § 1060.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.
(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1060.801).
(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records.
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501
(1) We specify the following requirements related to component and equipment certification in this part:
(i) In § 1060.20 we give an overview of principles for reporting information.
(ii) In subpart C of this part we identify a wide range of information required to certify engines.
(iii) In § 1060.301 we require manufacturers to make components, engines, or equipment available for our testing if we make such a request, and to keep records related to evaluation of production samples for verifying that the products are as specified in the certificate of conformity.
(iv) In § 1060.505 we specify information needs for establishing various changes to published test procedures.
(2) We specify the following requirements related to the general compliance provisions in 40 CFR part 1068:
(i) In 40 CFR 1068.5 we establish a process for evaluating good engineering judgment related to testing and certification.
(ii) In 40 CFR 1068.25 we describe general provisions related to sending and keeping information.
(iii) In 40 CFR 1068.27 we require manufacturers to make equipment available for our testing or inspection if we make such a request.
(iv) In 40 CFR 1068.105 we require equipment manufacturers to keep certain records related to duplicate labels from engine manufacturers.
(v) [Reserved]
(vi) In 40 CFR part 1068, subpart C, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions.
(vii) In 40 CFR part 1068, subpart D, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing equipment.
(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records related to testing production-line products in a selective enforcement audit.
(ix) In 40 CFR 1068.501 we specify certain records related to investigating and reporting emission-related defects.
(x) In 40 CFR 1068.525 and 1068.530 we specify certain records related to recalling nonconforming equipment.
(xi) In 40 CFR part 1068, subpart G, we specify certain records for requesting a hearing.
42 U.S.C. 7401–7671q.
(g) For additional information regarding the test procedures in this part, visit our website at
(c) We may void any certificates or approvals associated with a submission of information if we find that you intentionally submitted false, incomplete, or misleading information. For example, if we find that you intentionally submitted incomplete information to mislead EPA when requesting approval to use alternate test procedures, we may void the certificates for all engine families certified based on emission data collected using the
(e)
(c) * * *
(6) * * *
(i)
(e) * * *
(2) For any PM dilution system (
(e) * * *
(3) * * *
(i) If you use a NO
Batch sampling involves collecting and storing emissions for later analysis. Examples of batch sampling include collecting and storing gaseous emissions in a bag or collecting and storing PM on a filter. You may use batch sampling to store emissions that have been diluted at least once in some way, such as with CVS, PFD, or BMD. You may use batch sampling to store undiluted emissions. You may stop emission sampling anytime the engine is turned off, consistent with good engineering judgment. This is intended to allow for higher concentrations of dilute exhaust gases and more accurate measurements. Account for exhaust transport delay in the sampling system and integrate over the actual sampling duration when determining
(a) * * *
(1) Verify proportional sampling after an emission test as described in § 1065.545. You must exclude from the proportional sampling verification any portion of the test where you are not sampling emissions because the engine is turned off and the batch samplers are not sampling, accounting for exhaust transport delay in the sampling system. Use good engineering judgment to select storage media that will not significantly change measured emission levels (either up or down). For example, do not use sample bags for storing emissions if the bags are permeable with respect to emissions or if they off gas emissions to the extent that it affects your ability to demonstrate compliance with the applicable gaseous emission standards in this chapter. As another example, do not use PM filters that irreversibly absorb or adsorb gases to the extent that it affects your ability to demonstrate compliance with the applicable PM emission standard in this chapter.
Your test system as a whole must meet all the calibrations, verifications, and test-validation criteria specified elsewhere in this part for laboratory testing or field testing, as applicable. We recommend that your instruments meet the specifications in this section for all ranges you use for testing. We also recommend that you keep any documentation you receive from instrument manufacturers showing that your instruments meet the specifications in the following table:
(a)
(a)
(a)
(b)
(c)
(1) Condition the flow of DEF as needed to prevent wakes, eddies, circulating flows, or flow pulsations from affecting the accuracy or repeatability of the meter. You may accomplish this by using a sufficient length of straight tubing (such as a length equal to at least 10 pipe diameters) or by using specially designed tubing bends, straightening fins, or pneumatic pulsation dampeners to establish a steady and predictable velocity profile upstream of the meter. Condition the flow as needed to prevent any gas bubbles in the fluid from affecting the flow meter.
(2) Account for any fluid that bypasses the DEF dosing unit or returns from the dosing unit to the fluid storage tank.
(d)
(e)
(a)
(b)
(b) * * *
(2) Fourier transform infrared (FTIR) analyzer. Use appropriate analytical procedures for interpretation of infrared spectra. For example, EPA Test Method 320 (see § 1065.266(b)) and ASTM D6348 (incorporated by reference in § 1065.1010) are considered valid methods for spectral interpretation.
(a)
The following table summarizes the required and recommended calibrations and verifications described in this subpart and indicates when these have to be performed:
The revisions and additions read as follows:
(c) * * *
(13) Use the arithmetic means, Y
(d) * * *
(4)
(6) * * *
(i) At the outlet of the gas-division system, connect a gas analyzer that meets the linearity verification described in this section and has not been linearized with the gas divider being verified. For example, verify the linearity of an analyzer using a series of reference analytical gases directly from compressed gas cylinders that meet the specifications of § 1065.750. We recommend using a FID analyzer or a PMD or MPD O
(7)
(9)
(i) If the container is vented to ambient, fill the container and tubes with fluid above the minimum level used to trigger a fill operation; drain the fluid down to the minimum level; tare the scale; and perform the linearity verification.
(ii) If the container is rigid and not vented, drain the fluid down to the minimum level; fill all tubes attached to the container to normal operating pressure; tare the scale; and perform the linearity verification.
(e) * * *
(3) The expression “max” generally refers to the absolute value of the reference value used during linearity verification that is furthest from zero. This is the value used to scale the first and third tolerances in Table 1 of this section using
(i) For linearity verification of a PM balance,
(ii) For linearity verification of a torque measurement system used with the engine's primary output shaft,
(iii) For linearity verification of a fuel mass scale,
(iv) For linearity verification of a DEF mass scale,
(v) For linearity verification of a fuel flow rate meter,
(vi) For linearity verification of a DEF flow rate meter,
(vii) For linearity verification of an intake-air flow rate meter,
(viii) For linearity verification of a raw exhaust flow rate meter,
(ix) For linearity verification of an electrical-power measurement system used to determine the engine's primary output shaft torque,
(x) For linearity verification of an electrical-current measurement system used to determine the engine's primary output shaft torque,
(xi) For linearity verification of an electrical-voltage measurement system used to determine the engine's primary output shaft torque,
(5) Table 2 of this section describes optional verification procedures you may perform instead of linearity verification for certain systems. The following provisions apply for the alternative verification procedures:
(i) Perform the propane check verification described in § 1065.341 at the frequency specified in Table 1 of § 1065.303.
(ii) Perform the carbon balance error verification described in § 1065.543 on all test sequences that use the corresponding system. It must also meet the restrictions listed in Table 2 of this section. You may evaluate the carbon balance error verification multiple ways with different inputs to validate multiple flow-measurement systems.
(7) * * *
(i) * * *
(F) Transmission oil.
(G) Axle gear oil.
(f)
(g)
(d) * * *
(2) Equipment setup. We recommend using minimal lengths of gas transfer lines between all connections and fast-acting three-way valves (2 inlets, 1 outlet) to control the flow of zero and blended span gases to the sample system's probe inlet or a tee near the outlet of the probe. If you inject the gas at a tee near the outlet of the probe, you may correct the transformation time,
This section describes two optional methods, using propane as a tracer gas, to verify CVS and PFD flow streams. You may use good engineering judgment and safe practices to use other tracer gases, such as CO
(a) A propane check uses either a reference mass or a reference flow rate of C
(b) Prepare for the propane check as follows:
(1) If you use a reference mass of C
(2) Select appropriate flow rates for the CVS and C
(3) Select a C
(4) Operate and stabilize the CVS.
(5) Preheat or pre-cool any heat exchangers in the sampling system.
(6) Allow heated and cooled components such as sample lines, filters, chillers, and pumps to stabilize at operating temperature.
(7) You may purge the HC sampling system during stabilization.
(8) If applicable, perform a vacuum side leak verification of the HC sampling system as described in § 1065.345.
(9) You may also conduct any other calibrations or verifications on equipment or analyzers.
(c) If you performed the vacuum-side leak verification of the HC sampling system as described in paragraph (b)(8) of this section, you may use the HC contamination procedure in § 1065.520(f) to verify HC contamination. Otherwise, zero, span, and verify contamination of the HC sampling system, as follows:
(1) Select the lowest HC analyzer range that can measure the C
(2) Zero the HC analyzer using zero air introduced at the analyzer port.
(3) Span the HC analyzer using C
(4) Overflow zero air at the HC probe inlet or into a tee near the outlet of the probe.
(5) Measure the stable HC concentration of the HC sampling system as overflow zero air flows. For batch HC measurement, fill the batch container (such as a bag) and measure the HC overflow concentration.
(6) If the overflow HC concentration exceeds 2 μmol/mol, do not proceed until contamination is eliminated. Determine the source of the contamination and take corrective action, such as cleaning the system or replacing contaminated portions.
(7) When the overflow HC concentration does not exceed 2 μmol/mol, record this value as
(d) Perform the propane check as follows:
(1) For batch HC sampling, connect clean storage media, such as evacuated bags.
(2) Operate HC measurement instruments according to the instrument manufacturer's instructions.
(3) If you will correct for dilution air background concentrations of HC, measure and record background HC in the dilution air.
(4) Zero any integrating devices.
(5) Begin sampling, and start any flow integrators.
(6) Release the contents of the C
(7) Continue to release the cylinder's contents until at least enough C
(8) Shut off the C
(9) Stop sampling and stop any integrators.
(e) Perform post-test procedure as follows:
(1) If you used batch sampling, analyze batch samples as soon as practical.
(2) After analyzing HC, correct for contamination and background.
(3) Calculate total C
(4) If you use a reference mass, determine the cylinder's propane mass within ±0.5% and determine the C
(5) Subtract the reference C
(f) A failed propane check might indicate one or more problems requiring corrective action, as follows:
(g) You may verify flow measurements in a PFD (usually dilution air and diluted exhaust streams) for determining the dilution ratio in the PFD using the following method:
(1) Configure the HC sampling system to extract a sample from the PFD's diluted exhaust stream (such as near a PM filter). If the absolute pressure at this location is too low to extract an HC sample, you may sample HC from the PFD's pump exhaust. Use caution when sampling from pump exhaust because
(2) Perform the propane check described in paragraphs (b), (c), and (d) of this section, but sample HC from the PFD's diluted exhaust stream. Inject the propane in the same exhaust stream that the PFD is sampling from (either CVS or raw exhaust stack).
(3) Calculate C
(4) Subtract the reference C
(h) Table 2 of § 1065.307 describes optional verification procedures you may perform instead of linearity verification for certain flow-measurement systems. Performing carbon balance error verification also replaces any required propane checks.
(d) * * *
(2) Humidify room air, purified N
(d) * * *
(2) Create a humidified test gas by bubbling zero gas that meets the specifications in § 1065.750 through distilled H
(d) * * *
(2) Create a humidified CO
(a) * * *
(4) For any gaseous-fueled engine, including dual-fuel and flexible-fuel engines, you may determine the methane (CH
(d) * * *
(12) Determine the response factor as a function of molar water concentration and use this response factor to account for the CH
(a)
(d) Procedure for a FID calibrated with the NMC. The method described in this paragraph (d) is recommended over the procedures specified in paragraphs (e) and (f) of this section and required for any gaseous-fueled engine, including dual-fuel and flexible-fuel engines. If your FID arrangement is such that a FID is always calibrated to measure CH
(1) Select CH
(2) Start, operate, and optimize the nonmethane cutter according to the manufacturer's instructions, including any temperature optimization.
(3) Confirm that the FID analyzer meets all the specifications of § 1065.360.
(4) Start and operate the FID analyzer according to the manufacturer's instructions.
(5) Zero and span the FID with the nonmethane cutter as you would during emission testing. Span the FID through the cutter by using CH
(6) Introduce the C
(7) Allow time for the analyzer response to stabilize. Stabilization time may include time to purge the nonmethane cutter and to account for the analyzer's response.
(8) While the analyzer measures a stable concentration, record 30 seconds of sampled data. Calculate the arithmetic mean of these data points.
(9) Divide the mean C
(10) Determine the combined C
(11) Create a humidified test gas by bubbling the analytical gas mixture that meets the specifications in § 1065.750 through distilled H
(i) Determine the linearity of each flow metering device. Use one or more reference flow meters to measure the humidity generator's flow rates and verify the H
(ii) Perform validation testing based on monitoring the humidified stream with a dewpoint analyzer, relative humidity sensor, FTIR, NDIR, or other water analyzer as described in this paragraph (d)(11). Compare the measured humidity to the humidity generator's value. Verify overall linearity performance for the generated humidity as described in § 1065.307 using the criteria for other dewpoint measurements or confirm all measured values are within ±2% of the target mole fraction. In the case of dry gas, the measured value may not exceed 0.002 mole fraction.
(iii) Follow the performance requirements in § 1065.307(b) if the humidity generator does not meet validation criteria.
(12) Determine the CH
(f) * * *
(9) Divide the mean C
(14) Divide the mean CH
(e) * * *
(5) Create a humidified NO span gas by bubbling a NO gas that meets the specifications in § 1065.750 through distilled H
(d) * * *
(2) Create a humidified test gas by bubbling a multi component span gas that incorporates the target interference species and meets the specifications in § 1065.750 through distilled H
(c) If you inspect an engine, keep a record of the inspection and update your application for certification to document any changes that result. You may use any kind of equipment, instrument, or tool that is available at dealerships and other service outlets to identify malfunctioning components or perform maintenance.
(d) You may repair defective parts from a test engine if they are unrelated to emission control. You must ask us to approve repairs that might affect the engine's emission controls. If we determine that a part failure, system malfunction, or associated repair makes the engine's emission controls unrepresentative of production engines, you may not use it as an emission-data engine. Also, if your test engine has a major mechanical failure that requires you to take it apart, you may no longer use it as an emission-data engine.
The revisions and addition read as follows:
(a)
(b) * * *
(5) * * *
(i) For any engine subject only to steady-state duty cycles, you may perform an engine map by using discrete speeds. Select at least 20 evenly spaced setpoints from 95% of warm idle speed to the highest speed above maximum power at which 50% of maximum power occurs. We refer to this 50% speed as the check point speed as described in paragraph (b)(5)(iii) of this section. At each setpoint, stabilize speed and allow torque to stabilize. We recommend that you stabilize an engine for at least 15 seconds at each setpoint and record the mean feedback speed and torque of the last (4 to 6) seconds. Record the mean speed and torque at each setpoint. Use linear interpolation to determine intermediate speeds and torques. Use this series of speeds and torques to generate the power map as described in paragraph (e) of this section.
(c) * * *
(5) For engines with an electric hybrid system, map the negative torque required to motor the engine by repeating paragraph (b) of this section with minimum operator demand and a fully charged RESS or with the hybrid system disabled, such that it doesn't affect the motoring torque. You may start the negative torque map at either the minimum or maximum speed from paragraph (b) of this section.
(f) * * *
(4) * * *
(i) For variable-speed engines, declare a warm idle torque that is representative of in-use operation. For example, if your engine is typically connected to an automatic transmission or a hydrostatic transmission, declare the torque that occurs at the idle speed at which your engine operates when the transmission is engaged. Use this value for cycle generation. You may use multiple warm idle torques and associated idle speeds in cycle generation for representative testing. For example, for cycles that start the engine and begin with idle, you may start a cycle in idle with the transmission in neutral with zero torque and later switch to a different idle with the transmission in drive with the Curb-Idle Transmission Torque (CITT). For variable-speed engines intended primarily for propulsion of a vehicle with an automatic transmission where
(b) * * *
(1)
(i) Control the dynamometer so it gives priority to follow the reference torque, controlling the operator demand so it gives priority to follow reference speed and let the engine govern the speed when the operator demand is at minimum.
(ii) While running an engine where the electronic control module broadcasts an enhanced-idle speed that is above the denormalized speed, use the broadcast speed as the reference speed. Use these new reference points for duty-cycle validation. This does not affect how you determine denormalized reference torque in paragraph (b)(2) of this section.
(2)
(e)
(3) Standard error of the estimate for feedback speed, SEEfn, feedback torque, SEET, and feedback power SEEP.
(f) * * *
(3) For discrete-mode steady-state testing, apply cycle-validation criteria by treating the sampling periods from the series of test modes as a continuous sampling period, analogous to ramped-modal testing and apply statistical criteria as described in paragraph (f)(1) or (2) of this section. Note that if the gaseous and particulate test intervals are different periods of time, separate validations are required for the gaseous and particulate test intervals. Table 2 follows:
(a) * * *
(2) * * *
(iii) For testing that involves hot-stabilized emission measurements, bring the engine either to warm idle or the first operating point of the duty cycle. Start the test within 10 min of achieving temperature stability. Determine temperature stability as the point at
(A) Engine coolant or block or head absolute temperatures for water-cooled engines.
(B) Oil sump absolute temperature for air-cooled engines with an oil sump.
(C) Cylinder head absolute temperature or exhaust gas temperature for air-cooled engines with no oil sump.
(g) * * *
(5) If you perform carbon balance error verification, verify carbon balance error as specified in the standard-setting part and § 1065.543. Calculate and report the three carbon balance error quantities for each test interval; carbon mass absolute error for a test interval (ε
(a) Carbon balance error verification compares independently calculated quantities of carbon flowing into and out of an engine system. The engine system includes aftertreatment devices as applicable. Calculating carbon intake considers carbon-carrying streams flowing into the system, including intake air, fuel, and optionally DEF or other fluids. Carbon flow out of the system comes from exhaust emission calculations. Note that this verification is not valid if you calculate exhaust molar flow rate using fuel rate and chemical balance as described in § 1065.655(f)(3) because carbon flows into and out of the system are not independent. Use good engineering judgment to ensure that carbon mass in and carbon mass out data signals align.
(b) Perform the carbon balance error verification after emission sampling is complete for a test interval or duty cycle as described in § 1065.530(g). Testing must include measured values as needed to determine intake air, fuel flow, and carbon-related gaseous exhaust emissions. You may optionally account for the flow of carbon-carrying fluids other than intake air and fuel into the system. Perform carbon balance error verification as follows:
(1) Calculate carbon balance error quantities as described in § 1065.643. The three quantities for individual test intervals are carbon mass absolute error, ε
(2) You meet verification criteria for an individual test interval if the absolute values of carbon balance error quantities are at or below the following limit values:
(i) Calculate the carbon mass absolute error limit,
(ii) Calculate the carbon mass rate absolute error limit,
(iii) The carbon mass relative error limit,
(c) A failed carbon balance error verification might indicate one or more problems requiring corrective action, as follows:
(a) For any pair of flow rates, use recorded sample and total flow rates. Total flow rate means the raw exhaust flow rate for raw exhaust sampling and the dilute exhaust flow rate for CVS sampling, or their 1 Hz means with the statistical calculations in § 1065.602 forcing the intercept through zero. Determine the standard error of the estimate,
(b) For any pair of flow rates, use recorded sample and total flow rates. Total flow rate means the raw exhaust flow rate for raw exhaust sampling and the dilute exhaust flow rate for CVS sampling, or their 1 Hz means to demonstrate that each flow rate was constant within ±2.5% of its respective mean or target flow rate. You may use the following options instead of recording the respective flow rate of each type of meter:
(a)
(b)
(c)
(d)
(e)
(f)
(2) For a paired
(3) Use Table 1 of this section to compare
(g)
(1) For a 90% confidence
(2) For a 95% confidence
(h)
(1) If the intercept floats,
(2) If the intercept is forced through zero, such as for verifying proportional sampling:
(i)
(j)
(1) For a floating intercept:
(2) If the intercept is forced through zero, such as for verifying proportional sampling:
(k)
(l)
(1) To estimate the flow-weighted mean raw exhaust NO
(i) Based on your engine design, approximate a map of maximum torque versus speed and use it with the applicable normalized duty cycle in the standard-setting part to generate a reference duty cycle as described in § 1065.610. Calculate the total reference work,
(ii) Based on your engine design, estimate maximum power,
(iii) Use your estimated values as described in the following example calculation:
(2) To estimate the flow-weighted mean NMHC concentration in a CVS from a naturally aspirated nonroad spark-ignition engine at an NMHC standard of 0.5 g/(kW·hr), you may do the following:
(i) Based on your engine design, approximate a map of maximum torque versus speed and use it with the applicable normalized duty cycle in the standard-setting part to generate a reference duty cycle as described in § 1065.610. Calculate the total reference work,
(ii) Multiply your CVS total molar flow rate by the time interval of the duty cycle, Δ
(iii) Use your estimated values as described in the following example calculation:
(a) * * *
(1) * * *
(iv) Transform the map into a normalized power-versus-speed map by dividing power terms by
(2) For engines with a high-speed governor that will be subject to a reference duty cycle that specifies normalized speeds greater than 100%, calculate an alternate maximum test speed,
(d) * * *
(3)
(a)
(b) * *
(3) Perform a least-squares regression of
(d) * * *
(1) Calculate the Reynolds number,
Where, using the Sutherland three-coefficient viscosity model as captured in Table 4 of this section:
(3) Perform a least-squares regression analysis to determine the best-fit coefficients for the equation and calculate
(b)
Using Eq. 1065.640–7:
Using Eq. 1065.640–6:
Using Eq. 1065.640–5:
(c) * * *
(1) To calculate
This section describes how to calculate quantities used in the carbon balance error verification described in § 1065.543. Paragraphs (a) through (c) of this section describe how to calculate the mass of carbon for a test interval from carbon-carrying fluid streams, intake air into the system, and exhaust emissions, respectively. Paragraph (d) of this section describes how to use these carbon masses to calculate four different quantities for evaluating carbon balance error. Use rectangular or trapezoidal integration methods to calculate masses and amounts over a test interval from continuously measured or calculated mass and molar flow rates.
(a)
(b)
(1) Calculate
(2) Calculate
(3) Calculate
(4) Calculate
(5) Determined
(6) If you measure diluted exhaust, determine
(c)
(d)
(1) Calculate carbon mass absolute error, ε
(2) Calculate carbon mass rate absolute error,
(3) Calculate carbon mass relative error,
(4) Calculate composite carbon mass relative error,
(i) Calculate
(ii) The following example illustrates calculation of
(iii) The following example illustrates calculation of
(b) * * *
(3) For field testing, you may calculate the ratio of total mass to total work, where these individual values are determined as described in paragraph (f) of this section. You may also use this approach for laboratory testing, consistent with good engineering judgment. Good engineering judgment dictates that this method not be used if there are any work flow paths described in § 1065.210 that cross the system boundary, other than the primary output shaft (crankshaft). This is a special case in which you use a signal linearly proportional to raw exhaust molar flow rate to determine a value proportional to total emissions. You then use the same linearly proportional signal to determine total work using a chemical balance of fuel, DEF, intake air, and exhaust as described in § 1065.655, plus information about your engine's brake-specific fuel consumption. Under this method, flow meters need not meet accuracy specifications, but they must meet the applicable linearity and repeatability specifications in subpart D or J of this part. The result is a brake-specific emission value calculated as follows:
(c) * * *
(1)
(i) Use good engineering judgment to time-align flow and concentration data to match transformation time,
(ii) Correct all gaseous emission analyzer concentration readings, including continuous readings, sample bag readings, and dilution air background readings, for drift as described in § 1065.672. Note that you must omit this step where brake-specific emissions are calculated without the drift correction for performing the drift
(iii) Correct all THC and CH
(iv) Correct all concentrations measured on a “dry” basis to a “wet” basis, including dilution air background concentrations, as described in § 1065.659.
(v) Calculate all NMHC and CH
(vi) For emission testing with an oxygenated fuel, calculate any HC concentrations, including dilution air background concentrations, as described in § 1065.665. See subpart I of this part for testing with oxygenated fuels.
(vii) Correct all the NO
(2) * * *
(i)
(3)
(i)
Using Eq. 1065.650–5:
(ii)
(A) Calculate
(B) Calculate
(C) The following example illustrates a calculation of
(d)
(7) Integrate the resulting values for power over the test interval. Calculate total work as follows:
Using Eq. 1065.650–5:
(f) * * *
(2)
(g)
(1) Use the following equation to calculate composite brake-specific emissions for duty cycles with multiple test intervals all with prescribed durations, such as cold-start and hot-start transient cycles:
(2) Calculate composite brake-specific emissions for duty cycles with multiple test intervals that allow use of varying duration, such as discrete-mode steady-state duty cycles, as follows:
(i) Use the following equation if you calculate brake-specific emissions over test intervals based on total mass and total work as described in paragraph (b)(1) of this section:
(ii) Use the following equation if you calculate brake-specific emissions over test intervals based on the ratio of mass rate to power as described in paragraph (b)(2) of this section:
(a)
(c)
(3) Use the following symbols and subscripts in the equations for performing the chemical balance calculations in this paragraph (c):
(d)
(e)
(1) For liquid fuels, use the default values for α, β, γ, and δ in Table 2 of this section or determine mass fractions of liquid fuels for calculation of α, β, γ, and δ as follows:
(i) Determine the carbon and hydrogen mass fractions according to ASTM D5291 (incorporated by reference in § 1065.1010). When using ASTM D5291 to determine carbon and hydrogen mass fractions of gasoline (with or without blended ethanol), use good engineering judgment to adapt the method as appropriate. This may include consulting with the instrument manufacturer on how to test high-volatility fuels. Allow the weight of volatile fuel samples to stabilize for 20 minutes before starting the analysis; if the weight still drifts after 20 minutes, prepare a new sample). Retest the sample if the carbon, hydrogen, oxygen, sulfur, and nitrogen mass fractions do not add up to a total mass of 100 ± 0.5%; if you do not measure oxygen, you may assume it has a zero concentration for this specification. You may also assume that sulfur and nitrogen have a zero concentration for all fuels except residual fuel blends.
(ii) Determine oxygen mass fraction of gasoline (with or without blended ethanol) according to ASTM D5599 (incorporated by reference in § 1065.1010). For all other liquid fuels, determine the oxygen mass fraction using good engineering judgment.
(iii) Determine the nitrogen mass fraction according to ASTM D4629 or ASTM D5762 (incorporated by reference in § 1065.1010) for all liquid fuels. Select the correct method based on the expected nitrogen content.
(iv) Determine the sulfur mass fraction according to subpart H of this part.
(2) For gaseous fuels and diesel exhaust fluid, use the default values for α, β, γ, and δ in Table 2 of this section, or use good engineering judgment to determine those values based on measurement.
(3) For nonconstant fuel mixtures, you must account for the varying proportions of the different fuels. This paragraph (e)(3) generally applies for dual-fuel and flexible-fuel engines, but it also applies if diesel exhaust fluid is injected in a way that is not strictly proportional to fuel flow. Account for these varying concentrations either with a batch measurement that provides averaged values to represent the test interval, or by analyzing data from continuous mass rate measurements. Application of average values from a batch measurement generally applies to situations where one fluid is a minor component of the total fuel mixture, for example dual-fuel and flexible-fuel engines with diesel pilot injection, where the diesel pilot fuel mass is less than 5% of the total fuel mass and diesel exhaust fluid injection; consistent with good engineering judgment.
(4) Calculate α, β, γ, and δ using the following equations:
(5) Table 2 follows:
(f) * * *
(3)
(c) * * *
(2) If the measurement comes from raw exhaust, you may determine the amount of water based on intake-air humidity, plus a chemical balance of fuel, DEF, intake air, and exhaust as described in § 1065.655.
(3) If the measurement comes from diluted exhaust, you may determine the amount of water based on intake-air humidity, dilution air humidity, and a chemical balance of fuel, DEF, intake air, and exhaust as described in § 1065.655.
(a) * * *
(5) You may calculate THC as the sum of NMHC and CH
(6) You may calculate THC as the sum of NMNEHC, C
(b) * * *
(2) For nonmethane cutters, calculate χ
(ii) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(e):
(iii) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(f) or for penetration fractions determined as a function of molar water concentration using an NMC configuration as outlined in § 1065.365(d):
(3) For a GC-FID or FTIR, calculate χ
(4) For an FTIR, calculate χ
(c) * * *
(2) For a GC-FID, NMC FID, or FTIR, calculate χ
(d)
(1) For nonmethane cutters, calculate χ
(ii) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(e):
(iii) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(f) or for penetration fractions determined as a function of molar water concentration using an NMC configuration as outlined in § 1065.365(d):
(2) For a GC-FID or FTIR, χ
(e)
(a) If you measured an oxygenated hydrocarbon's mass concentration, first calculate its molar concentration in the exhaust sample stream from which the sample was taken (raw or diluted exhaust), and convert this into a C
(d) You may determine the total flow of dilution air from the measured dilute exhaust flow and a chemical balance of the fuel, DEF, intake air, and dilute exhaust as described in § 1065.655. For this paragraph (d), the molar flow of dilution air is calculated by multiplying the dilute exhaust flow by the mole fraction of dilution gas to dilute exhaust, χ
(d) Calculate quench as follows:
(c) * * *
(8) * * *
(v) Carbon balance error verification, if performed.
(b)
(f)
(b) There are three grades of #2 diesel fuel specified for use as a test fuel. See the standard-setting part to determine which grade to use. If the standard-setting part does not specify which grade to use, use good engineering judgment to select the grade that represents the fuel on which the engines will operate in use. The three grades are specified in Table 1 of this section.
(c) The fuel must meet the specifications for one of the categories in the following table:
(b) * * *
(2) Table 1 of this section identifies limit values consistent with the units in the reference procedure for each fuel property. These values are generally specified in international units. Values presented in parentheses are for information only. Table 1 follows:
(c) The specifications of this paragraph (c) apply for testing with neat gasoline. This is sometimes called indolene or E0 test fuel. Gasoline for
(a) Except as specified in paragraph (b) of this section, natural gas for testing must meet the specifications in the following table:
(a) Except as specified in paragraph (b) of this section, liquefied petroleum gas for testing must meet the specifications in the following table:
(a) * * *
(1) * * *
(ii) Contamination as specified in the following table:
(b)
(f)
(a) * * *
(2)
(a)
(a)
(c)
(d)
(e)
(f) * * *
(2) This part uses the following molar masses or effective molar masses of chemical species:
(g)
(b)
(1) ASTM D86–12, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure, approved December 1, 2012 (“ASTM D86”), IBR approved for §§ 1065.703(b) and 1065.710(b) and (c).
(2) ASTM D93–13, Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester, approved July 15, 2013 (“ASTM D93”), IBR approved for § 1065.703(b).
(3) ASTM D130–12, Standard Test Method for Corrosiveness to Copper from Petroleum Products by Copper Strip Test, approved November 1, 2012 (“ASTM D130”), IBR approved for § 1065.710(b).
(4) ASTM D381–12, Standard Test Method for Gum Content in Fuels by Jet Evaporation, approved April 15, 2012 (“ASTM D381”), IBR approved for § 1065.710(b).
(5) ASTM D445–12, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), approved April 15, 2012 (“ASTM D445”), IBR approved for § 1065.703(b).
(6) ASTM D525–12a, Standard Test Method for Oxidation Stability of Gasoline (Induction Period Method), approved September 1, 2012 (“ASTM D525”), IBR approved for § 1065.710(b).
(7) ASTM D613–13, Standard Test Method for Cetane Number of Diesel Fuel Oil, approved December 1, 2013 (“ASTM D613”), IBR approved for § 1065.703(b).
(8) ASTM D910–13a, Standard Specification for Aviation Gasolines, approved December 1, 2013 (“ASTM D910”), IBR approved for § 1065.701(f).
(9) ASTM D975–13a, Standard Specification for Diesel Fuel Oils, approved December 1, 2013 (“ASTM D975”), IBR approved for § 1065.701(f).
(10) ASTM D1267–12, Standard Test Method for Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-Gas Method), approved November 1, 2012 (“ASTM D1267”), IBR approved for § 1065.720(a).
(11) ASTM D1319–13, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved May 1, 2013 (“ASTM D1319”), IBR approved for § 1065.710(c).
(12) ASTM D1655–13a, Standard Specification for Aviation Turbine Fuels, approved December 1, 2013 (“ASTM D1655”), IBR approved for § 1065.701(f).
(13) ASTM D1837–11, Standard Test Method for Volatility of Liquefied Petroleum (LP) Gases, approved October
(14) ASTM D1838–12a, Standard Test Method for Copper Strip Corrosion by Liquefied Petroleum (LP) Gases, approved December 1, 2012 (“ASTM D1838”), IBR approved for § 1065.720(a).
(15) ASTM D1945–03 (Reapproved 2010), Standard Test Method for Analysis of Natural Gas by Gas Chromatography, approved January 1, 2010 (“ASTM D1945”), IBR approved for § 1065.715(a).
(16) ASTM D2158–11, Standard Test Method for Residues in Liquefied Petroleum (LP) Gases, approved January 1, 2011 (“ASTM D2158”), IBR approved for § 1065.720(a).
(17) ASTM D2163–07, Standard Test Method for Determination of Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene Mixtures by Gas Chromatography, approved December 1, 2007 (“ASTM D2163”), IBR approved for § 1065.720(a).
(18) ASTM D2598–12, Standard Practice for Calculation of Certain Physical Properties of Liquefied Petroleum (LP) Gases from Compositional Analysis, approved November 1, 2012 (“ASTM D2598”), IBR approved for § 1065.720(a).
(19) ASTM D2622–16, Standard Test Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, approved January 1, 2016 (“ASTM D2622”), IBR approved for §§ 1065.703(b) and 1065.710(b) and (c).
(20) ASTM D2699–13b, Standard Test Method for Research Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2699”), IBR approved for § 1065.710(b).
(21) ASTM D2700–13b, Standard Test Method for Motor Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (“ASTM D2700”), IBR approved for § 1065.710(b).
(22) ASTM D2713–13, Standard Test Method for Dryness of Propane (Valve Freeze Method), approved October 1, 2013 (“ASTM D2713”), IBR approved for § 1065.720(a).
(23) ASTM D2880–13b, Standard Specification for Gas Turbine Fuel Oils, approved November 15, 2013 (“ASTM D2880”), IBR approved for § 1065.701(f).
(24) ASTM D2986–95a, Standard Practice for Evaluation of Air Assay Media by the Monodisperse DOP (Dioctyl Phthalate) Smoke Test, approved September 10, 1995 (“ASTM D2986”), IBR approved for § 1065.170(c). (
(25) ASTM D3231–13, Standard Test Method for Phosphorus in Gasoline, approved June 15, 2013 (“ASTM D3231”), IBR approved for § 1065.710(b) and (c).
(26) ASTM D3237–12, Standard Test Method for Lead in Gasoline By Atomic Absorption Spectroscopy, approved June 1, 2012 (“ASTM D3237”), IBR approved for § 1065.710(b) and (c).
(27) ASTM D4052–11, Standard Test Method for Density, Relative Density, and API Gravity of Liquids by Digital Density Meter, approved October 15, 2011 (“ASTM D4052”), IBR approved for § 1065.703(b).
(28) ASTM D4629–12, Standard Test Method for Trace Nitrogen in Liquid Petroleum Hydrocarbons by Syringe/Inlet Oxidative Combustion and Chemiluminescence Detection, approved April 15, 2012 (“ASTM D4629”), IBR approved for § 1065.655(e).
(29) ASTM D4814–13b, Standard Specification for Automotive Spark-Ignition Engine Fuel, approved December 1, 2013 (“ASTM D4814”), IBR approved for § 1065.701(f).
(30) ASTM D4815–13, Standard Test Method for Determination of MTBE, ETBE, TAME, DIPE, tertiary-Amyl Alcohol and C1 to C4 Alcohols in Gasoline by Gas Chromatography, approved October 1, 2013 (“ASTM D4815”), IBR approved for § 1065.710(b).
(31) ASTM D5186–03 (Reapproved 2009), Standard Test Method for Determination of the Aromatic Content and Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels By Supercritical Fluid Chromatography, approved April 15, 2009 (“ASTM D5186”), IBR approved for § 1065.703(b).
(32) ASTM D5191–13, Standard Test Method for Vapor Pressure of Petroleum Products (Mini Method), approved December 1, 2013 (“ASTM D5191”), IBR approved for § 1065.710(b) and (c).
(33) ASTM D5291–10, Standard Test Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, approved May 1, 2010 (“ASTM D5291”), IBR approved for § 1065.655(e).
(34) ASTM D5453–19a, Standard Test Method for Determination of Total Sulfur in Light Hydrocarbons, Spark Ignition Engine Fuel, Diesel Engine Fuel, and Engine Oil by Ultraviolet Fluorescence, approved July 1, 2019 (“ASTM D5453”), IBR approved for §§ 1065.703(b) and 1065.710(b).
(35) ASTM D5599–00 (Reapproved 2010), Standard Test Method for Determination of Oxygenates in Gasoline by Gas Chromatography and Oxygen Selective Flame Ionization Detection, approved October 1, 2010 (“ASTM D5599”), IBR approved for §§ 1065.655(e) and 1065.710(b).
(36) ASTM D5762–12 Standard Test Method for Nitrogen in Petroleum and Petroleum Products by Boat-Inlet Chemiluminescence, approved April 15, 2012 (“ASTM D5762”), IBR approved for § 1065.655(e).
(37) ASTM D5769–10, Standard Test Method for Determination of Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas Chromatography/Mass Spectrometry, approved May 1, 2010 (“ASTM D5769”), IBR approved for § 1065.710(b).
(38) ASTM D5797–13, Standard Specification for Fuel Methanol (M70- M85) for Automotive Spark-Ignition Engines, approved June 15, 2013 (“ASTM D5797”), IBR approved for § 1065.701(f).
(39) ASTM D5798–13a, Standard Specification for Ethanol Fuel Blends for Flexible Fuel Automotive Spark-Ignition Engines, approved June 15, 2013 (“ASTM D5798”), IBR approved for § 1065.701(f).
(40) ASTM D6348–12
(41) ASTM D6550–10, Standard Test Method for Determination of Olefin Content of Gasolines by Supercritical-Fluid Chromatography, approved October 1, 2010 (“ASTM D6550”), IBR approved for § 1065.710(b).
(42) ASTM D6615–11a, Standard Specification for Jet B Wide-Cut Aviation Turbine Fuel, approved October 1, 2011 (“ASTM D6615”), IBR approved for § 1065.701(f).
(43) ASTM D6667–14 (Reapproved 2019), Standard Test Method for Determination of Total Volatile Sulfur in Gaseous Hydrocarbons and Liquefied Petroleum Gases by Ultraviolet Fluorescence, approved May 1, 2019 (“ASTM D6667”), IBR approved for § 1065.720(a).
(44) ASTM D6751–12, Standard Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels, approved August 1, 2012 (“ASTM D6751”), IBR approved for § 1065.701(f).
(45) ASTM D6985–04a, Standard Specification for Middle Distillate Fuel Oil—Military Marine Applications, approved November 1, 2004 (“ASTM D6985”), IBR approved for § 1065.701(f). (Note: This standard was withdrawn by ASTM.)
(46) ASTM D7039–15a (Reapproved 2020), Standard Test Method for Sulfur in Gasoline, Diesel Fuel, Jet Fuel, Kerosine, Biodiesel, Biodiesel Blends, and Gasoline-Ethanol Blends by Monochromatic Wavelength Dispersive X-ray Fluorescence Spectrometry, approved May 1, 2020 (“ASTM D7039”), IBR approved for §§ 1065.703(b) and 1065.710(b).
(47) ASTM F1471–09, Standard Test Method for Air Cleaning Performance of a High- Efficiency Particulate Air Filter System, approved March 1, 2009 (“ASTM F1471”), IBR approved for § 1065.1001.
42 U.S.C. 7401–7671q.
(g) For additional information regarding the test procedures in this part, visit our website at
(a) * * *
(1) Use instrument manufacturer recommendations and good engineering judgment to select at least ten reference values,
(d) * * *
(3) The load applied by the dynamometer simulates forces acting on the vehicle during normal driving according to the following equation:
(c)
(c) * * *
(4) Calculate the power equivalent of friction compensation error,
(d) * * *
(1) Calculate the force setting,
(c) * * *
(4) Determine the mean coastdown force,
(d) * * *
(2) For vehicles above 20,000 pounds GVWR, the maximum allowable error,
(b)
(d)
(1) For vehicles at or below 20,000 pounds GVWR, 1.0% or the value determined from Eq. 1066.270–3, whichever is greater.
(2) For vehicles above 20,000 pounds GVWR, 1.0% or the value determined from Eq. 1066.270–3 (substituting 8.8 lbf for 2.2 lbf), whichever is greater.
(a) Prepare the vehicle for testing (including measurement of evaporative and refueling emissions if appropriate), as described in the standard-setting part.
(b) If you inspect a vehicle, keep a record of the inspection and update your application for certification to document any changes that result. You may use any kind of equipment, instrument, or tool that is available at dealerships and other service outlets to identify malfunctioning components or perform maintenance.
(c) You may repair defective parts from a test vehicle if they are unrelated to emission control. You must ask us to approve repairs that might affect the vehicle's emission controls. If we determine that a part failure, system malfunction, or associated repair makes the vehicle's emission controls unrepresentative of production engines, you may not use it as an emission-data vehicle. Also, if the engine installed in the test vehicle has a major mechanical failure that requires you to take the vehicle apart, you may no longer use the vehicle as an emission-data vehicle for exhaust measurements.
(d) Control test cell ambient air humidity as follows:
(1) For vehicles at or below 14,000 pounds GVWR, follow the humidity requirements in Table 1 of this section, unless the standard-setting part specifies otherwise. When complying with humidity requirements in Table 1, where no tolerance is specified, use good engineering judgment to maintain the humidity level near the specified value within the limitations of your test facility.
(2) For vehicles above 14,000 pounds GVWR, you may test vehicles at any humidity.
(3) Table 1 follows:
(c) * * *
(4) For vehicles at or below 14,000 pounds GVWR, calculate HC concentrations, including dilution air background concentrations, as described in this section, and as described in § 1066.635 for NMOG. For emission testing of vehicles above 14,000 pounds GVWR, with fuels that contain 25% or more oxygenated compounds by volume, calculate THCE and NMHCE concentrations, including dilution air background concentrations, as described in 40 CFR part 1065, subpart I.
(h) * * *
(2) * * *
(i)
Eq. 1066.605–11
Using Eq. 1066.605–11:
(d) Determine the time-weighted dilution factor,
(c) During the test, operate the vehicle's interior climate control system with the heat on and air conditioning off. You may not use any supplemental auxiliary heat during this testing. You may set the heater to any temperature and fan setting during vehicle preconditioning.
(1)
(i) Set the climate control system as follows before the first acceleration (t = 20 s), or before starting the vehicle if the climate control system allows it:
(A)
(B)
(C)
(D)
(ii) At the second idle of the test cycle, which occurs 125 seconds after the start of the test, set the fan speed to maximum. Complete by 130 seconds after the start of the test. Leave temperature and air source settings unchanged.
(iii) At the sixth idle of the test interval, which occurs at the deceleration to zero miles per hour 505 seconds after the start of the test, set the fan speed to the lowest setting that maintains air flow. Complete these changes by 510 seconds after the start of the test. You may use different vent and fan speed settings for the remainder of the test. Leave the temperature and air source settings unchanged.
(2)
(3)
(4) A
(e) The following figure illustrates the FTP test sequence for measuring exhaust and evaporative emissions:
(a) Drain and refill the vehicle's fuel tank(s) if testing starts more than 72 hours after the most recent FTP or HFET measurement (with or without evaporative emission measurements).
(f) * * *
(2)
For point-source measurement of running loss emissions, use equipment meeting the specifications in 40 CFR 86.107–96(i).
(a)
(c)
(d)
(e)
(f)
42 U.S.C. 7401–7671q.
(a) The provisions of this part apply to everyone with respect to the engine and equipment categories as described in this paragraph (a). The provisions of this part apply to everyone, including owners, operators, parts manufacturers, and persons performing maintenance.
(1) This part applies to motor vehicles we regulate under 40 CFR part 86, subpart S, to the extent and in the manner specified in 40 CFR parts 85 and 86.
(2) This part applies for heavy-duty motor vehicles we regulate under 40 CFR part 1037, subject to the provisions of 40 CFR parts 85 and 1037. This includes trailers. This part applies to other heavy-duty motor vehicles and motor vehicle engines to the extent and in the manner specified in 40 CFR parts 85, 86, and 1036.
(3) This part applies to highway motorcycles we regulate under 40 CFR part 86, subparts E and F, to the extent and in the manner specified in 40 CFR parts 85 and 86.
(4) This part applies to aircraft we regulate under 40 CFR part 87 to the extent and in the manner specified in 40 CFR part 87.
(5) This part applies for locomotives that are subject to the provisions of 40 CFR part 1033. This part does not apply for locomotives or locomotive engines that were originally manufactured before July 7, 2008, and that have not been remanufactured on or after July 7, 2008.
(6) This part applies for land-based nonroad compression-ignition engines that are subject to the provisions of 40 CFR part 1039.
(7) This part applies for stationary compression-ignition engines certified using the provisions of 40 CFR parts 1039 and 1042 as described in 40 CFR part 60, subpart IIII.
(8) This part applies for marine compression-ignition engines that are subject to the provisions of 40 CFR part 1042.
(9) This part applies for marine spark-ignition engines that are subject to the provisions of 40 CFR part 1045.
(10) This part applies for large nonroad spark-ignition engines that are subject to the provisions of 40 CFR part 1048.
(11) This part applies for stationary spark-ignition engines certified using the provisions of 40 CFR part 1048 or 1054, as described in 40 CFR part 60, subpart JJJJ.
(12) This part applies for recreational engines and vehicles, including snowmobiles, off-highway motorcycles, and all-terrain vehicles that are subject to the provisions of 40 CFR part 1051.
(13) This part applies for small nonroad spark-ignition engines that are subject to the provisions of 40 CFR part 1054.
(14) This part applies for fuel-system components installed in nonroad equipment powered by volatile liquid fuels that are subject to the provisions of 40 CFR part 1060.
(b) We will store your confidential business information as described in 40 CFR part 2. Also, we will disclose it only as specified in 40 CFR part 2. This paragraph (b) applies both to any information you send us and to any information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential business information, we will assume it contains nothing confidential whenever we need to release information from it.
(b) * * *
(6) Engines exempt under this paragraph (b) may not be introduced into U.S. commerce before you make the determinations under paragraph (b)(2) of this section, except as specified in this paragraph (b)(6). We may waive the restriction in this paragraph (b)(6) for engines identified under paragraph (c)(5) of this section that you ship to a distributor. Where we waive the restriction in this paragraph (b)(6), you must take steps to ensure that the engine is installed consistent with the requirements of this paragraph (b). For example, at a minimum you must report to us annually whether engines we allowed you to ship to a distributor under this paragraph (b)(6) have been placed into service or remain in inventory. After an engine is placed into service, your report must describe how the engine was installed consistent with the requirements of this paragraph (b). Send these reports to the Designated Compliance Officer by the deadlines we specify.
(c) * * *
(1) You may produce a limited number of replacement engines under this paragraph (c) representing 0.5 percent of your annual production volumes for each category and subcategory of engines identified in Table 1 to this section or five engines for each category and subcategory, whichever is greater. Calculate this number by multiplying your annual U.S.-directed production volume by 0.005 (or 0.01 through 2013) and rounding to the nearest whole number. Determine the appropriate production volume by identifying the highest total annual U.S.-directed production volume of engines from the previous three model years for all your certified engines from each category or subcategory identified in Table 1 to this section, as applicable. In unusual circumstances, you may ask us to base your production limits on U.S.-directed production volume for a model year more than three years prior. You may include stationary engines and exempted engines as part of your U.S.-directed production volume. Include U.S.-directed engines produced by any affiliated companies and those from any other companies you license to produce engines for you.
(3) Send the Designated Compliance Officer a report by September 30 of the year following any year in which you produced exempted replacement engines under this paragraph (c).
(i) In your report include the total number of replacement engines you produce under this paragraph (c) for each category or subcategory, as appropriate, and the corresponding total production volumes determined under paragraph (c)(1) of this section. If you send us a report under this paragraph (c)(3), you must also include the total number of complete and partially complete replacement engines you produced under paragraphs (b) and (e) of this section (including any replacement marine engines subject to reporting under 40 CFR 1042.615).
(ii) Count exempt engines as tracked under paragraph (b) of this section only if you meet all the requirements and conditions that apply under paragraph (b)(2) of this section by the due date for the annual report. In the annual report you must identify any replaced engines from the previous year that you were not able to recover by the due date for the annual report. Continue to report those engines in later reports until you recover the replaced engines. If any replaced engine is not recovered for the fifth annual report following the production report, treat this as an untracked replacement in the fifth annual report for the preceding year.
(iii) You may include the information required under this paragraph (c)(3) in
42 U.S.C. 7401–7671q.
(a) This appendix describes EPA's interpretation of the Clean Air Act regarding the authority of states to regulate the use and operation of nonroad engines.
(b) EPA believes that states are not precluded under 42 U.S.C. 7543 from regulating the use and operation of nonroad engines, such as regulations on hours of usage, daily mass emission limits, or sulfur limits on fuel; nor are permits regulating such operations precluded, once the engine is no longer new. EPA believes that states are precluded from requiring retrofitting of used nonroad engines except that states are permitted to adopt and enforce any such retrofitting requirements identical to California requirements which have been authorized by EPA under 42 U.S.C. 7543.